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Commission Opinions & Orders Archive 1999
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).
Additional Archives
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| Release No. |
Date |
Respondents |
| 34-42255 |
Dec. 20, 1999 |
Harry Gliksman and William J. Gallagher |
|
34-42144 |
Nov. 16, 1999 |
Keith L. Mohn |
| 34-42121 |
Nov. 10, 1999 |
Russo Securities, Inc. |
| 34-42060 |
Oct. 26, 1999 |
Healthtech International, Inc. |
| 34-42008 |
Oct. 14, 1999 |
James J. Pasztor |
| 34-41989 |
Oct. 7, 1999 |
Coastline Financial, Inc., and Donald Allyson Williams |
| 34-41943 |
Sep. 29, 1999 |
Jonathan Feins |
| 34-41816 |
Sep. 1, 1999 |
Rafael Pinchas |
| 34-41815 |
Sep. 1, 1999 |
SC&T International, Inc. |
| 34-41813 |
Aug. 31, 1999 |
Jacob Adoni |
| 34-41804 |
Aug. 27, 1999 |
William J. Murphy |
| 34-41777 |
Aug. 23, 1999 |
Donald R. Gates |
| 34-41755 |
Aug. 18, 1999 |
La Jolla Capital Corporation and Harold B. Gallison, Jr. |
| 34-41725 |
Aug. 11, 1999 |
Al Rizek
See also: Court of Appeals Opinion |
| 34-41629 |
Jul. 20, 1999 |
Martin R. Kaiden |
| 34-41628 |
Jul. 20, 1999 |
Stephen J. Gluckman |
| 34-41633 |
Jul. 21, 1999 |
Imaging Diagnostic Systems, Inc. |
| 34-41330 |
Apr. 26, 1999 |
Sierra Nevada Securities, Inc. |
| 34-41285 |
Apr. 14, 1999 |
Jon G. Symon and J.G. Symon & Companies |
| 34-41278 |
Apr. 13, 1999 |
Transnet Corporation |
| 34-41250 |
Apr. 5, 1999 |
Laurie Jones Canady
See also: Court of Appeals Opinion |
| 34-41226 |
Mar. 30, 1999 |
Robert Sayegh |
| 34-41229 |
Mar. 30, 1999 |
Eliezer Gurfel
See also: Court of Appeals Opinion |
| 34-41126 |
Mar. 1, 1999 |
Ted Harold Westerfield |
| 34-41123 |
Mar. 1, 1999 |
Jacob Wonsover
See also: Court of Appeals Opinion |
| 34-41034 |
Feb. 10, 1999 |
Joseph J. Barbato |
| 34-41008 |
Feb. 1, 1999 |
Kenneth C. Krull |
| 34-41007 |
Feb. 1, 1999 |
James Harvey Thornton and Payne & Thornton, Inc.
See also: Court of Appeals Opinion |
http://www.sec.gov/litigation/opinions/opinionarchive/opinarch1999.shtml
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