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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
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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
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