Commission Opinions and Adjudicatory Orders

This page features opinions and orders issued by the Commission in connection with its adjudication of administrative proceedings, appeals from initial decisions of ALJs, and appeals from SRO or PCAOB action.

The links below direct you to the docket pages for such adjudicatory proceedings as well as to docket pages for respondents’ requests to vacate bars under Koch v. SEC or Bartko v. SEC. The docket pages contain the Commission opinions and orders as well as significant pleadings for such matters.

Date	Respondents
Date: Dec. 20, 1999	Respondents: Harry Gliksman and William J. Gallagher Release No. 34-42255 File Number: 3-9891
Date: Nov. 16, 1999	Respondents: Keith L. Mohn Release No. 34-42144 File Number: 3-9832
Date: Nov. 10, 1999	Respondents: Russo Securities, Inc. and Ferdinand Russo; Brenda P. Murray, Chief Administrative Law Judge Release No. 34-42121 File Number: 3-8573-EAJ
Date: Oct. 26, 1999	Respondents: Healthtech International, Inc. Release No. 34-42060 File Number: 3-9667
Date: Oct. 14, 1999	Respondents: Sharon M. Graham, Stephen C. Voss, James J. Pasztor; Glenn Robert Lawrence, Administrative Law Judge Release No. 34-42008 File Number: 3-8511
Date: Oct. 7, 1999	Respondents: Coastline Financial, Inc., and Donald Allyson Williams Release No. 34-41989 File Number: 3-9276
Date: Sept. 29, 1999	Respondents: Jonathan Feins Release No. 34-41943 File Number: 3-8721
Date: Sept. 1, 1999	Respondents: Rafael Pinchas Release No. 34-41816 File Number: 3-9639
Date: Sept. 1, 1999	Respondents: SC&T International, Inc. Release No. 34-41815 File Number: 3-9593
Date: Aug. 31, 1999	Respondents: Jacob Adoni Release No. 34-41813 File Number: 3-9700
Date: Aug. 27, 1999	Respondents: William J. Murphy Release No. 34-41804 File Number: 3-9682
Date: Aug. 23, 1999	Respondents: Donald R. Gates Release No. 34-41777 File Number: 3-8580
Date: Aug. 18, 1999	Respondents: La Jolla Capital Corporation and Harold B. Gallison, Jr. Release No. 34-41755 File Number: 3-9557
Date: Aug. 11, 1999	Respondents: Al Rizek; G. Marvin Bober, Administrative Law Judge Release No. 34-41725 File Number: 3-9041
Date: July 21, 1999	Respondents: Imaging Diagnostic Systems, Inc. Release No. 34-41633 File Number: 3-9624
Date: July 20, 1999	Respondents: Martin Kaiden; Robert G. Mahony, Administrative Law Judge Release No. 34-41629 File Number: 3-9403
Date: July 20, 1999	Respondents: Stephen J. Gluckman Release No. 34-41628 File Number: 3-9545
Date: April 26, 1999	Respondents: Sierra Nevada Securities, Inc. Release No. 34-41330 File Number: 3-9623
Date: April 14, 1999	Respondents: Jon G. Symon and J.G. Symon & Companies Release No. 34-41285 File Number: 3-9609
Date: April 13, 1999	Respondents: Transnet Corporation Release No. 34-41278 File Number: 3-9637
Date: April 5, 1999	Respondents: Laurie Jones Canady; Glenn Robert Lawrence, Administrative Law Judge Release No. 34-41250 See Also: Court of Appeals Opinion File Number: 3-8531
Date: March 30, 1999	Respondents: Eliezer Gurfel Release No. 34-41229 See Also: Court of Appeals Opinion File Number: 3-9651
Date: March 30, 1999	Respondents: Robert Sayegh, Thomas Core, and John J. Cranley, Jr.; Brenda P. Murray, Chief Administrative Law Judge Release No. 34-41226 File Number: 3-9019
Date: March 1, 1999	Respondents: Ted Harold Westerfield; G. Marvin Bober, Administrative Law Judge Release No. 34-41126 File Number: 3-9355
Date: March 1, 1999	Respondents: Frederick Entman, Norman B. Rothstein, Frank Louis Palumbo, Jacob Wonsover, Howard Richard Perles, M. Rimson & Co., Inc., and Moshe Rimson; Burton S. Kolko, Administrative Law Judge Release No. 34-41123 See Also: Court of Appeals Opinion File Number: 3-8584
Date: Feb. 10, 1999	Respondents: Joseph J. Barbato, Neal C. Harper and Frederick J. Krause; Burton S. Kolko, Administrative Law Judge Release No. 34-41034 File Number: 3-8575
Date: Feb. 1, 1999	Respondents: Kenneth C. Krull Release No. 34-41008 File Number: 3-9394
Date: Feb. 1, 1999	Respondents: James Thornton and Payne Thornton, Inc., d/b/a Retirement Investment Group; Brenda P. Murray, Chief Administrative Law Judge Release No. 34-41007 File Number: 3-9046