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Commission Opinions & Orders Archive 2004
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 |
| 34-50917 |
Dec. 22, 2004 |
Robert Langley
PDF version
|
| 34-50889 |
Dec. 20, 2004 |
Leslie A. Arouh
PDF version
See also: Reconsideration Order
|
| IA-2334 |
Dec. 3, 2004 |
Michael Batterman and Randall B. Batterman III
PDF version
(Court of Appeals Opinion available)
|
| 34-50786 |
Nov. 30, 2004 |
Michael T. Studer and Castle Securities Corp.
PDF version
|
| 34-50543A |
Nov. 30, 2004 |
Michael T. Studer and Castle Securities Corp.
PDF version
|
| 34-50737 |
Nov. 24, 2004 |
PTR, Inc. and Dennis McBride
PDF version
|
| 34-50730 |
Nov. 23, 2004 |
Mark S. Parnass
PDF version
|
| 34-50729 |
Nov. 23, 2004 |
Daniel S. Lezak
Other Release No.: AAER-2149
PDF version
|
| 34-50691 |
Nov. 18, 2004 |
Joseph J. Vastano, Jr.
PDF version
|
| 34-50695 |
Nov. 18, 2004 |
John A. Carley, et al.
PDF version
|
| 34-50633 |
Nov. 4, 2004 |
Nicholas P. Howard
PDF version
|
| 34-50570 |
Oct. 20, 2004 |
Lee Gura
PDF version
|
| 34-50543 |
Oct. 14, 2004 |
Michael T. Studer and Castle Securities Corp.
PDF version
|
| 34-50514 |
Oct. 12, 2004 |
e-Smart Technologies, Inc.
PDF version
|
| 34-50513 |
Oct. 12, 2004 |
Allen Douglas Securities, Inc.
PDF version
|
| Third Quarter |
| 34-50480 |
Sep. 30, 2004 |
Carroll A. Wallace, CPA
Other No.: AAER-2119
See Opinion
PDF version
|
| 33-8498 |
Sep. 30, 2004 |
James F. Glaza, d/b/a Falcon Financial Services, Inc.
Other No.: 34-50474
PDF version
|
| 34-50411 |
Sep. 20, 2004 |
Michael T. Studer
PDF version
(Note: Reconsideration order available)
(Court of Appeals Opinion available)
|
| 34-50393 |
Sep. 16, 2004 |
Scott E. Wiard
PDF version
|
| 34-50343 |
Sep. 10, 2004 |
Marshall Financial, Inc.
PDF version
|
| 34-50324 |
Sep. 7, 2004 |
Lek Securities Corp. and Samuel F. Lek
PDF version
|
| 34-50219 |
Aug. 19, 2004 |
Joseph J. Vastano, Jr.
PDF version
|
| 34-50168 |
Aug. 9, 2004 |
Russell W. Stein
PDF version
Other No.: IA-2274
(Note: Reconsideration order; see Opinion in this matter) |
| 34-50031 |
Jul. 16, 2004 |
Chris Dinh Hartley
PDF version
|
| 34-50030 |
Jul. 16, 2004 |
e-Smart Technologies, Inc. f/k/a Plainview Laboratories, Inc.
PDF version
|
| 33-8441 |
Jul. 13, 2004 |
MicroCap Marketing, Inc. and Shane M. Nelson
PDF version
|
| 34-50008 |
Jul. 13, 2004 |
IFG Network Securities, Inc., William Kissinger, Kissinger Advisory, Inc., Bert Miller, Glenn Wilkinson, and David Ledbetter
PDF version
See also: Release No. 33-8252 |
| 33-8437 |
Jul. 7, 2004 |
Michael Flanagan, Ronald Kindschi, and Spectrum Administration, Inc.
PDF version
Other Nos.: 34-49979; IA-2258 |
| 33-8436 |
Jul. 6, 2004 |
Edgar B. Alacan
PDF version |
| Second Quarter |
| IA-2253 |
Jun. 23, 2004 |
Clarke T. Blizzard and Rudolph Abel
PDF version |
| 34-49894 |
Jun. 18, 2004 |
Peter F. Comas
PDF version |
| 34-49819 |
Jun. 7, 2004 |
Reuben D. Peters and Peters Securities Co., LP
PDF version |
| 34-49788 |
Jun. 1, 2004 |
The Rockies Fund, Inc., Stephen G. Calandrella, Charles M. Powell, Clifford C. Thygesen, and John C. Power
PDF version
(Note: Reconsideration order; see Opinion in this matter)
(Court of Appeals Opinion available) |
| 34-49727 |
May 19, 2004 |
Gina M. Guzzone
PDF version |
| 34-49666 |
May 7, 2004 |
Citadel Securities Corp.
PDF version |
| 33-8417 |
Apr. 30, 2004 |
RichMark Capital Corporation and Doyle Mark White
PDF version
(Note: Order Making Sanctions Effective; see Opinion in this matter) |
| 34-49542 |
Apr. 8, 2004 |
Anthony H. Barkate
PDF version
(Court of Appeals Opinion available)
|
| First Quarter |
| 34-49389 |
Mar. 10, 2004 |
Amr Elgindy and Key West Securities, Inc.
PDF version
(Court of Appeals Opinion available) |
| 34-49375 |
Mar. 8, 2004 |
Bearcat, Inc., Seth Diamond, and Peter Fineberg
PDF version |
| 33-8395 |
Mar. 5, 2004 |
Orlando Joseph Jett
Release No. 34-49366
PDF version |
| 33-8391 |
Feb. 23, 2004 |
Charles Trento |
| 34-49255 |
Feb. 13, 2004 |
Toni Valentino
PDF version |
| 34-49248 |
Feb. 13, 2004 |
Mark H. Love
PDF version |
| 34-49216 |
Feb. 10, 2004 |
Dane S. Faber
PDF version |
| 34-49182 |
Feb. 4, 2004 |
James Thomas McCurdy, CPA
Release No. AAER-1952
PDF version
(Court of Appeals Opinion available) |
| 34-49076 |
Jan. 14, 2004 |
Bloomberg L.P.
PDF version |
| 34-49052 |
Jan. 12, 2004 |
Stephen Michael Sohmer and Spyder Securities, Inc.
PDF version |
http://www.sec.gov/litigation/opinions/opinionarchive/opinarch2004.shtml
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