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Commission Opinions & Orders Archive 2003

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

Additional Archives

2008 | 2007 | 2006 | 2005 | 2004 | 2003 | 2002 | 2001 | 2000 | 1999 | 1998 | 1997 | 1996

*Release No.*	*Date*	*Respondents*
Fourth Quarter
35-27782	Dec. 29, 2003	Enron Corporation PDF version
34-49002	Dec. 29, 2003	Edward I. Frankel
34-49001	Dec. 29, 2003	Ciro Cozzolino
34-49000	Dec. 29, 2003	Stephen S. Wien
33-8348	Dec. 17, 2003	Stuart E. Winkler PDF version
34-48927	Dec. 16, 2003	Calvin David Fox PDF version Note: See also Release Nos. 34-54840, 34-55452, and 34-48731
34-48917	Dec. 12, 2003	Marshall Financial, Inc. PDF version
33-8345A	Dec. 11, 2003	Zion Capital Management LLC and Ricky A. Lang Release Nos. 34-48904A; IC-26289A; IA-2200A PDF version
33-8344	Dec. 11, 2003	William C. Piontek Release No. 34-48903 PDF version
34-48866	Dec. 3, 2003	Nicholas T. Avello PDF version
33-8334	Nov. 7, 2003	Robert J. Setteducati PDF version
34-48760	Nov. 7, 2003	David M. Levine and Triple J Partners, Inc. PDF version (Court of Appeals Opinion available)
33-8333	Nov. 7, 2003	RichMark Capital Corporation and Doyle Mark White Release No. 34-48758 PDF version (Note: Order Making Sanctions Effective) (Court of Appeals Opinion available)
34-48731	Oct. 31, 2003	Calvin David Fox PDF version Note: See also Release Nos. 34-54840, 34-55452, and 34-48927
34-48707	Oct. 28, 2003	Richard Kwiatkowski PDF version
33-8314	Oct. 24, 2003	Del Mar Financial Services, Inc., Kevin C. Dills, Private Brokers Corporation, Robert A. Roberts, and Matthew R. Jennings Release No. 34-48691 PDF version (Note: Reconsideration order available)
33-8313	Oct. 23, 2003	Robert G. Weeks Release No. 34-48684 PDF version
34-48618	Oct. 9, 2003	Anthony A. Adonnino and Thomas Cannizzaro (Court of Appeals Opinion available)
34-48590	Oct. 2, 2003	The Rockies Fund, Inc., Stephen G. Calandrella, Charles M. Powell, Clifford C. Thygesen, John C. Power (Note: Reconsideration order available) (Court of Appeals Opinion available)
IA-2179	Oct. 2, 2003	The Barr Financial Group, Inc. and Alfred E. Barr (Note: Reconsideration order available)
Third Quarter
34-48573	Sep. 30, 2003	National Association of Securities Dealers, Inc. and NASDAQ Stock Market, Inc.
34-48554	Sep. 26, 2003	Edward John McCarthy (Court of Appeals Opinion available
34-48550	Sep. 26, 2003	Ko Securities, Inc. and Terrance Y. Yoshikawa (Court of Appeals Opinion available)
34-48473	Sep. 10, 2003	Pacific On-Line Trading & Securities, Inc. and Timothy Alan McAdams
34-48433	Sep. 03, 2003	Perpetual Securities, Inc. Rel. No. 34-48433
33-8276	Aug. 26, 2003	Piper Capital Management, Inc., Marijo A. Goldstein, Robert H. Nelson, Amy K. Johnson, and Molly J. Destro Rel. Nos. 34-48409, IC-26167, IA-2163 (Court of Appeals Opinion available)
33-8274	Aug. 25, 2003	Byron G. Borgardt and Eric M. Banhazl Rel. No. IC-26169
33-8273	Aug. 25, 2003	Robert M. Fuller Rel. No. 34-48406
33-8271	Aug. 21, 2003	Terence Michael Coxon, Alan Michael Sergy and World Money Managers Rel. Nos. 34-48385; IA-2161; IC-26165 (Court of Appeals Opinion available)
34-48378	Aug. 20, 2003	Wheat, First Securities, Inc., f/k/a First Union Capital Markets Corp. and Teressa L. Cawley
34-48372	Aug. 20, 2003	Carroll A. Wallace, C.P.A. Rel. No. AAER-1846 See Order
33-8265	Aug. 15, 2003	Mark David Anderson Rel. No. 34-48352
33-8264	Aug. 13, 2003	Derek L. DuBois Rel. No. 34-48332
34-48292	Aug. 6, 2003	James L. Bari, Jr.
34-48255	Jul. 30, 2003	Michael Flanagan, Ronald Kindschi, and Spectrum Administration, Inc. Rel. No.: IA-2152
34-48254	Jul. 30, 2003	Ralph W. LeBlanc
34-48246	Jul. 29, 2003	Michael J. Marrie, CPA and Brian L. Berry, CPA Rel. No.: AAER-1823 (Court of Appeals Opinion available)
34-48245	Jul. 29, 2003	Nolan Wayne Wade
34-48238	Jul. 28, 2003	Barry C. Scutillo Rel. No.: AAER-1822
IA-2151	Jul. 25, 2003	Marshall E. Melton and Asset Management & Research, Inc. Rel. No.: 34-48228
33-8251	Jul. 15, 2003	Fundamental Portfolio Advisors, Inc., Lance M. Brofman, and Fundamental Service Corporation
33-8249	Jul. 10, 2003	Feeley & Willcox Asset Management Corp. and Michael J. Feeley Rel. Nos.: 34-48162 , IA-2143 (Note: Reconsideration order available)
34-48146	Jul. 9, 2003	Richard J. Adams
34-48143	Jul. 9, 2003	Robert Thomas Clawson (Court of Appeals Opinion available)
Second Quarter
34-48092	Jun. 26, 2003	Robert Bruce Lohmann
34-48087	Jun. 25, 2003	David I. Cassuto
33-8239	Jun. 9, 2003	Monetta Financial Services, Inc., Robert S. Bacarella, and Richard D. Russo Release Nos.: 34-48001; IA-2136; IC-26070 (Court of Appeals Opinion available)
34-47980	Jun. 4, 2003	WHX Corporation (Court of Appeals Opinion available)
34-47859	May 14, 2003	Wendell D. Belden
33-8234	May 14, 2003	John J. Kenny and Nicholson/Kenny Capital Management, Inc. (Court of Appeals Opinion available)
34-47784	May 2, 2003	Clarence Z. Wurts
34-47627	Apr. 3, 2003	John R. D'Alessio, and D'Alessio Securities, Inc. (Note: Reconsideration order available) (Court of Appeals Opinion available)
34-47626	Apr. 3, 2003	MFS Securities Corp. (Court of Appeals Opinion available)
First Quarter
IA-2119	Mar. 27, 2003	Charles K. Seavey
34-47572	Mar. 26, 2003	Robert L. McCook
33-8213	Mar. 21, 2003	The City of Miami, Florida
34-47542	Mar. 20, 2003	Javed Anver Latef and Larry Alan Stockett
34-47537	Mar. 19, 2003	Tower Trading, L.P. (Note: Reconsideration order available)
34-47534	Mar. 19, 2003	Robert Tretiak
33-8210	Mar. 19, 2003	Kenneth R. Ward Release No. 34-47535 (Court of Appeals Opinion available)
34-47504	Mar. 14, 2003	Russell W. Stein, Ford D. Albritton, Jr., and Dover and Associates, Inc. (Note: Reconsideration order available)
34-47502	Mar. 14, 2003	John Roger Faherty
34-47501	Mar. 14, 2003	William J. Gallagher
34-47476	Mar. 10, 2003	James B. Chase
34-47461	Mar. 7, 2003	Barry Wayne Blank (Court of Appeals Opinion available)
34-47357	Feb. 12, 2003	Nicholas P. Howard (Court of Appeals Opinion available)
34-47335	Feb. 10, 2003	Jack H. Stein
34-47227	Jan. 22 2003	John Montelbano, Gerard McMahon, and Michael Galasso, Jr. (Note: Reconsideration order available)
33-8174	Jan. 9, 2003	Charles F. Kirby and Gene C. Geiger (Court of Appeals Opinion available)
34-47142	Jan. 8, 2003	Michael F. Flannigan

http://www.sec.gov/litigation/opinions/opinionarchive/opinarch2003.shtml

Commission Opinions & Orders Archive 2003

Additional Archives

Modified: 11/30/2007