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Commission Opinions & Orders
With Appeals

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).

Release No. Date Respondents
34-48246 Jul. 29, 2003 Michael J. Marrie, CPA and Brian L. Berry, CPA
Rel. No.: AAER-1823
(Court of Appeals Opinion available)
34-47980 Jun. 4, 2003 WHX Corporation
(Court of Appeals Opinion available)
34-47627 Apr. 3, 2003 John R. D'Alessio, and D'Alessio Securities, Inc.
(Note: Reconsideration order available)
(Court of Appeals Opinion available)
34-47357 Feb. 12, 2003 Nicholas P. Howard
(Court of Appeals Opinion available)
33-8174 Jan. 9, 2003 Charles F. Kirby and Gene C. Geiger
(Court of Appeals Opinion available)

 

 

 

http://www.sec.gov/litigation/opinions-app.shtml


Modified: 08/30/2004