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Commission Opinions & Orders Archive 2006
This list below provides links to opinions and orders issued by the Commission on appeal of Initial ALJ Decisions or disciplinary decisions issued by self-regulatory organizations (such as the NYSE or NASD).
Fourth Quarter | Third Quarter | Second Quarter | First Quarter
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| Release No. |
Date |
Respondents |
| Fourth Quarter |
| 34-54991 |
Dec. 21, 2006 |
Philip A. Lehman
Other Release No.: IA-2574
See also: Opinion: Release No. 34-54660
|
| 34-54913 |
Dec. 11, 2006 |
Dennis A. Pearson, Jr.
See also: Reconsideration Order
|
| 34-54892 |
Dec. 7, 2006 |
The Rockies Fund, Inc., Stephen G. Calandrella, Charles M. Powell, and Clifford C. Thygesen
Other Release No.: IC-27593
See also: Court of Appeals Opinion, Reconsideration Order
|
| 34-54840 |
Nov. 30, 2006 |
Calvin David Fox
Note: See also Release Nos. 34-55452, 34-48731, and 34-48927
|
| 34-54824 |
Nov. 28, 2006 |
Kenneth W. Haver, CPA
Other Release No.: AAER-2517
|
| 34-54723 |
Nov. 8, 2006 |
Philippe N. Keyes
|
| 34-54722 |
Nov. 8, 2006 |
Raghavan Sathianathan
Note: See also Court of Appeals Opinion, Order, Release No. 34-55227
|
| 34-54711 |
Nov. 6, 2006 |
May Capital Group, LLC and Melvin Rokeach
See also: Opinion: Release No. 34-53796
|
| 34-54710 |
Nov. 3, 2006 |
James T. Patten
|
| 34-54708 |
Nov. 3, 2006 |
Irfan Mohammed Amanat
See also: Court of Appeals Opinion
|
| 34-54699 |
Nov. 3, 2006 |
Justin F. Ficken
|
| 34-54660 |
Oct. 27, 2006 |
Philip A. Lehman
Other Release No.: IA-2565
See also: Reconsideration Order
|
| 34-54600 |
Oct. 13, 2006 |
Lawrence Gage
|
| Third Quarter |
| 34-54481 |
Sep. 22, 2006 |
David C. Ho.
See also: Court of Appeals Order
|
| 34-54434 |
Sep. 13, 2006 |
PennMont Securities
|
| 34-54384 |
Aug. 30, 2006 |
Arthur James Niebauer
|
| 34-54363 |
Aug. 25, 2006 |
Jay Alan Ochanpaugh
|
| 34-54278 |
Aug. 7, 2006 |
Morton Kantrowitz
|
| 33-8721 |
Jul. 13, 2006 |
Dolphin and Bradbury, Incorporated and Robert J. Bradbury
Other Release No.: 34-54143
See also: Court of Appeals Opinion
|
| 34-54127 |
Jul. 11, 2006 |
IFG Network Securities, Inc., William Kissinger, and David Ledbetter
Other Release No.: IA-2533
|
| 34-54095 |
Jul. 5, 2006 |
Eagletech Communications, Inc.
|
| Second Quarter |
| 34-53957 |
Jun. 8, 2006 |
Ryan R. Henry
|
| 34-53907 |
May 31, 2006 |
Gateway International Holdings, Inc. and Lawrence A. Consalvi
|
| 34-53796 |
May 12, 2006 |
May Capital Group, LLC and Melvin Rokeach |
| 34-53731 |
Apr. 26, 2006 |
Terrance Yoshikawa |
| 33-8679 |
Apr. 14, 2006 |
Vladlen "Larry" Vindman
Other Release No.: 34-53654 |
| 33-8678 |
Apr. 13, 2006 |
Registration Statement of Apollo Publication Corporation |
| 34-53651 |
Apr. 13, 2006 |
Vladislav Steven Zubkis
See also: Opinion: Release No. 34-52876 |
| First Quarter |
| 34-53547 |
Mar. 24, 2006 |
Frank P. Quattrone |
| 34-53201 |
Jan. 31, 2006 |
Schield Management Company and Marshall Schield
Other Release No.: IA-2477 |
| 34-53145 |
Jan. 19, 2006 |
Elliot M. Hershberg |
| 34-53146 |
Jan. 19, 2006 |
Baunita M. Greer
|
| 34-53136 |
Jan. 18, 2006 |
Alvin W. Gebhart, Jr. and Donna T. Gebhart |
| 34-53128 |
Jan. 13, 2006 |
Application of The Nasdaq Stock Market LLC for Registration as a National Securities Exchange |
| 34-53122A |
Jan. 13, 2006 |
Harold F. Harris and Ronald E. Crews |
| 34-53066 |
Jan. 6, 2006 |
Joseph Abbondante |
http://www.sec.gov/litigation/opinions/opinionarchive/opinarch2006.shtml
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