Massachusetts state ethics commission



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ADVICE ◊ EDUCATION ◊ DISCLOSURE ◊ ENFORCEMENT

2009


Advisory Opinions

Enforcement Actions






MASSACHUSETTS STATE ETHICS COMMISSION

One Ashburton Place, Room 619

Boston, MA 02108

617-371-9500

www.mass.gov/ethics

Included in this publication are:



State Ethics Commission Decisions and Orders, Disposition

Agreements and Public Enforcement Letters issued in 2009

Cite Enforcement Actions by name of respondent, year, and page, as follows:


In the Matter of John Doe, 2009 SEC (page number).

Typographical errors in the original texts of Commission documents have been corrected.




TABLE OF CASES
(By Subject or Respondent from 1979 through 2009)


(CASES WITHOUT PAGE NUMBERS WERE NOT PUBLISHED, BUT ARE AVAILABLE UPON REQUEST.)


Name (Year) Page

Abrams, Hal (2003) .............................................................. 1105 Ackerley Communications (1991) ......................................... 518

Adamson, Randy (2007) ..................................................... 2127

Almeida, Victor (1980) ............................................................ 14

Alves, Alan (2000) ..................................................................957

Amorello, Matthew (2009) ………………..…….……..… 2213

Anderson, Joan (2009) …………………………………... 2205

Angelo, Steven (2003) .......................................................... 1144 Ansart, James (1998) .............................................................. 905 Antonelli, Ralph (1986) .......................................................... 264 Antonelli, Rocco J., Sr. (1982) ............................................... 101


Aragona, David (2007) ........................................................ 2091
Arlos, Peter (2006) ............................................................... 2050 Associated Industries of Massachusetts (1996)...................... 790 Atstupenas, Ross A. (2002) .................................................. 1061 Auty, J. Martin (1998) ............................................................ 904 Aylmer, John F. (1990) .......................................................... 452 Bagni, William L., Sr. (1981)................................................... 30

Baj, Frank (1987) ................................................................... 295 Baldwin, Charles O. (1990) ................................................... 470 Banks, Rudy (1992) ............................................................... 595 Barboza, Joanne (1985) ......................................................... 235 Barletta, Vincent D. (1995) ................................................... 736 Barnes, James (2003) .......................................................... 1154 Barrasso, Kathy (2004) ....................................................... 1190 Bartley, John (1994) .............................................................. 685 Bates, Stanley (1993) ............................................................ 642 Battle, Byron (1988) .............................................................. 369 Bauer, Wolfgang (1996) ....................................................... 771 Bayko, Andrew (1981)........................................................... 34

Baylis, Robert (2007) ........................................................ 2093

Beaudry, Francis (1996) ........................................................ 799 Becker, Mark (2006) ........................................................... 2062 Bencal, Michael (2006) ....................................................... 2041 Benevento, Anthony (1993) .................................................. 632 Berlucchi, Stephen (1994) ..................................................... 700 Bernard, Paul A. (1985) ....................................................... 226 Bernstein, Susan P. (2003) .................................................. 1097 Besso, Donald P. (2003) ..................................................... 1148 Beukema, John (1995) ........................................................... 732 Bingham, G. Shepard (1984) ................................................. 174

Bitzas, George (2009) ………………………….……..…. 2236

Bonavita, Richard (2008) …………………….………..….. 2140

Bossi, Ruthanne (2002) ........................................................ 1043 Boston Collector-Treasurer’s Office (1981) ............................ 35 Boyle, James M. (1989) ......................................................... 398

Bradley, Christopher (2007) ............................................... 2086

Brawley, Henry A. (1982) ....................................................... 84 Breen, Mark A. (1992) .......................................................... 588 Brennan, James W. (1985) .................................................... 212
Brennan, Maureen (2009) …............................................. 2237

Brensilber-Chidsey (2007) …………………………….... 2129

Bretschneider, Richard (2007) ........................................... 2082

Brewer, Walter (1987) .......................................................... 300

Brooks, Edward (1981) .......................................................... 74


Name (Year) Page

Brougham, Harry L. (1999) ................................................... 934

Brunelli, Albert R. (1988)....................................................... 360

Buckley, Elizabeth (1983) ...................................................... 157 Buckley, John R. (1980) ............................................................ 2

Bukowski, Paulin J. (1998) .................................................... 923

Bump, Suzanne M. (1994) ..................................................... 656

Bunker, David (2003)............................................................ 1161



Buonopane, Angelo R. (2006) .............................................. 2040

Burger, Robert (1985) ........................................................... 216

Burgess, Richard (1992) ........................................................ 570 Burgmann, Robert (1993) ..................................................... 627 Burke, John P. (1987) ............................................................ 323 Burke, William A., Jr. (1985).................................................. 248 Burlingame, Elliot (1992) ...................................................... 578 Burnett, Thomas E. (2004) ................................................... 1193

Bush, Elaine (1995) ............................................................... 731

Butters, William (1992) .......................................................... 601 Byrne, James (2005) ............................................................. 2032 Cabral, Francisco (2003) ...................................................... 1101

Cahoon, Kevin (2007) ......................................................... 2114

Caissie, Jennie (1999) ........................................................... 927

Caliri, Michael A. (2001)....................................................... 995 Callahan, Francis (2002) ..................................................... 1044

Calo, Robert (1994) ............................................................... 704 Camandona, Robert (1982)

Campanini, Eileen (2004) ................................................... 1184

Campbell, Thomas (2007) .................................................... 2108

Capalbo, Kevin (2005) ....................................................... 2028 Cardelli, John (1984) ........................................................... 197 Carignan, David (2000) .......................................................... 197 Caroleo, Vincent (1980)

Carroll, Ann R. (1983)........................................................... 144

Cass, William F. (1994) ........................................................ 665 Cassidy, Peter J. (1988) ......................................................... 371 Cataldo, Robert (1996) .......................................................... 793

Cataldo, Edward (2007) ...................................................... 2103

Cellucci, Argeo Paul (1994) .................................................. 688 Cellucci, Joseph D. (1988) .................................................... 346 Chase, Dana G. (1983) ........................................................... 153

Chilik, Thomas A. (1983) ..................................................... 130 Chilik, Thomas (2004) ........................................................ 1164 Chmura, John (1980)

Choate Group, The (1996) .................................................... 792

Christianson, Carl G. Jr. (2007) .......................................... 2117

Churchill, Robert (2000) ....................................................... 965 Cibley, Lawrence J. (1989) ................................................... 422 Cimeno, Kenneth (1988) ....................................................... 355 Cislak, Thomas E. (2006) .................................................... 2057 Clancy, Edward J. (2000) ...................................................... 983 Clifford, Andrew P. (1983)

Cobb, Cynthia B. (1992) ....................................................... 576

Coelho, Paul (2004) .............................................................. 1180

Cokinos, Paul (2007) ............................................................ 2100

Cole, Harold (2004) ............................................................. 1197

Cole, Robert G. (2009) ……………………………….….. 2285

Collas, Andrew (1988) .......................................................... 360



Name (Year) Page

Colella, George (1989) ..................................................................... 409

Collett, Thomas (2004) ....................................................... 1179 Collins, James M. (1985) ...................................................... 228

Columbus, Robert (1993) ...................................................... 636

Comiskey, Robert (2002) ..................................................... 1079

Commeret, Thomas (2009) ................................................. 2268

Connery, James F. (1985) .................................................... 233 Cornacchioli, Louis (2003) ................................................ 1146 Corso, Carol (1990) ............................................................. 444

Corson, Philip T. (1998) ....................................................... 912 Costa, Frank (2001) ............................................................. 1000 Coughlin, Marguerite (1987) ................................................ 316

Coughlin, Robert K. (2008) ………………….………..….. 2195

Counter, Joseph (1980)

Cox, John F. (1994) .............................................................. 676

Craven, James J., Jr. (1980) .................................................... 17

Crean, Thomas (2007) .......................................................... 2084

Croatti, Donald (1988) .......................................................... 360 Cronin, Frederick B., Jr. (1986) ............................................ 269 Crossen, Ralph (2003) ......................................................... 1103 Crossman, David (1992) ....................................................... 585 Cummings, Thomas (1980)

Cunningham, George (1982) .................................................. 85 Curtin, Peter (2001) ............................................................ 1024

Daigle, Valorie (2009) …………..…………………….… 2280

Daly, Joseph (2008) ………… …………………...………..2143

D’Amico, Michael J. (2002) ........................................... ... 1083 D’Arcangelo, Ronald J. (2000) ............................................. 962

DeFeo, Lona (2009) …………………………………...… 2228

Deibel, Victoria (2001) ....................................................... 1002 DeLeire, John A. (1985)........................................................ 236 DelPrete, Edmund W. (1982) .................................................. 87 DeMarco, Robert (2003) ..................................................... 1157 DeOliveira, John (1989) ........................................................ 430 Deschenes, Douglas (2006) ........................... ..................... 2038 Desrosiers, Yvonne B. (1987)................................................ 309 Devlin, William J. (1998) .............................. ...................... 915 Dewald, John (2006) ...................................... .................... 2051 Dias, Joao M.V. (1992) ......................................................... 574


DiNatale, Louis (2007) ...................................................... 2131

DiPasquale, Adam (1985) ..................................................... 239 DiPasquale, Julie A. (1996) .................................................. 852 DiPasquale, Julie A. (1996) .................................................. 853 DiVirgilio, Dominic (1993) .................................................. 634 Doherty, Henry M. (1982) .................................................... 115 Doherty, William G. (1984) .................................................. 192 Donaldson, Robert (1993) ..................................................... 628

Donlan, Paul (2007) ............................................................. 2107
Donovan, Joseph F. (1999) ................................................... 949 Dormady, Michael (2002) .................................................. 1074 Doughty, Katherine (1995) ................................................... 726 Doyle, Patricia A. (2000) ...................................................... 967 Doyle, C. Joseph (1980) .......................................................... 11 Dray, David L. (1981) ............................................................. 57

Drew, Edward (2008) ……………………...………….….. 2164

Driscoll, Lawrence (2008) …………………...……….…... 2137

Dubay, Francis H. (2003) .................................................... 1099 Duggan, Joseph (1995) ......................................................... 729

Edwards, Terry (2009) ……………………………….….. 2247



Name (Year) Page

Egan, Robert (1988) ............................................................... 327

Ellis, David (1999) ................................................................. 930

Emerson, Michael W.C. (1983) .............................................. 137 Emerson, Michael W.C. (1983) .............................................. 160 Emilio, Frank A. (1994) ......................................................... 658 Enis, Paul (1996) .................................................................... 779

Erbetta, Robert (2009) …………...……………………….. 2269

Esdale, John (1981)

Esposito, Michele (1991) ........................................................ 529

EUA Cogenex (1992) ............................................................. 607 Eunson, Donald (1993) ......................................................... 623

Farley, Robert (1984) ............................................................. 186

Farretta, Patrick D. (1987) ..................................................... 281

Felix, Edward (2003) .............................................................1142

Fennelly, Edward (2001) ..................................................... 1025

Fitzgerald, Kevin (1991) ........................................................ 548 FitzPatrick, Malcolm (1990) ................................................. 482

Flaherty, Charles F. (1990) ................................................... 498

Flaherty, Charles F. (1996) .....................................................784
Flaherty, Joseph (2006) ....................................................... 2048 Flanagan, James (1996) ......................................................... 757 Fleming, David I., Jr. (1982) ................................................. 118 Flynn, Dennis (1985) ............................................................. 245 Flynn, Peter Y. (1991) ........................................................... 532 Foley, Carole (2001) ............................................................. 1008 Foley, Cornelius J., Jr. (1984) ............................................... 172 Foley, Martin V. (1984)

Ford, Robert F. (2004) ......................................................... 1188

Foresteire, Frederick (1992) .................................................. 590

Foresteire, Frederick (2009) ……………………………... 2220

Forristall, John (1992) ........................................................... 615 Foster, Badi G. (1980) ............................................................. 28 Foster, James (2002) ........................................................... 1082 Fowler, Robert A. (1990)....................................... ............... 474 Fredrickson, Michael (2003) ....................................... ....... 1156

Fripp, Amy J. (2007) ........................................................... 2090

Fryer, Josef (2005) .............................................................. 2030 Gagne, Armand (1996)................................................ ......... 825 Galewski, Robert M. (1991) ................................................. 504

Galewski, Robert (2007) ..................................................... 2101

Gannon, Harry (2006) ......................................................... 2056 Garvey, Robert J. (1990) ....................................................... 478 Gaskins, Mable E. (2001) .................................................... 1010 Gaudette, Paul (1992) ........................................................... 619 Gaudette, Paul (1999) ............................................................ 952 Geary, James (1987) .............................................................. 305 Giampa, Kelly (2006) .......................................................... 2037

Giannino, Anthony (2007) ................................................... 2126

Gibney, James (1995) ............................................................ 739 Gillis, Robert (1989) .............................................................. 413 Gilmetti, Fred L. (1996) ....................................................... 836 Giuliano, Patti (2001) .......................................................... 1018 Gnazzo, Jerold (1995) ........................................................... 748 Goddard Memorial Hospital (1987) ...................................... 293 Goldman, Sachs & Co. (1997). ............................................. 862 Goodhue, Richard. (2000) ..................................................... 967 Goodsell, Allison (1981).......................................................... 38 Gosselin, Marie (2002) ......................................................... 1070 Goudreault, Marjorie (1987) ................................................. 280



Name (Year) Page

Greeley, John E. (1983) ......................................................... 160

Green, Frank (1994) .............................................................. 714

Griffin, William T.(1988)...................................................... 383 Griffith, John L. (1992) ......................................................... 568 Grossman, Ruvane E. (2005) .............................................. 2021

Guertin, David (2007)…………..…………………..…….. 2081

Hackenson, Thomas D (2001) ............................................ 1013 Halle, Leon (2002) .............................................................. 1073

Haluch, Thomas (2004) ....................................................... 1165

Hamel, Therese A. (2006) ................................................... 2039 Hamilton, Andrew (2006) ................................................... 2043

Hanlon, John J. (1986) .......................................................... 253

[footnotes published on p. 389 of 1988 Rulings]

Hanna, Frederic (1980)………………………………..………. 1

Hanna, Robert (2002)…………………………..………… 1075

Harrington, Vera C. (1984)………………...………………. 165

Hart, William (1991)…………………………………...…... 505

Hartford, Lynwood, Jr. (1991)……………...……….……... 512

Hartnett, Jr., James J. (2002)…………………………….... 1084

Hartnett, Jr., James J. (2002) ............................................... 1085 Harutunian, Harry K. (2006) ............................................... 2054 Hatch, Donald (1986) ............................................................ 260 Hatem, Ellis John (1982) ...................................................... 121 Hayes, Kevin (1999) ............................................................ 951 Hebert, Raymond (1996) ....................................................... 800 Hermenau, Arthur (1994)....................................................... 681 Hewitson, Walter (1997) ....................................................... 874 Hickey, John R. (1983) ......................................................... 158 Hickson, Paul T. (1987) ........................................................ 296 Higgins, Edward, Jr. (2006) ................................................ 2064 Highgas, William, Jr. (1987) ................................................. 303 Highgas, William, Jr. (1988) ................................................. 334 Hilson, Arthur L. (1992)........................................................ 603 Hoeg, Edward C. (1985) ....................................................... 211 Hoen, Charles (1979)

Hoey, Paul (2007) ............................................................... 2098

Hohengasser, Herbert (1998) ................................................ 922 Honan, Kevin (1994) ............................................................. 679 Hopkins, Wendell R. (1987) ................................................. 289 Howarth, Robert (1994) ........................................................ 661 Howell, William E. (1991) .................................................... 525 Howlett, Roger W. (1997) ..................................................... 859 Hubbard, Hugh K. (1999) ..................................................... 933 Hulbig, William J. (1982) ..................................................... 112 Iannaco, Ronald (1994) ......................................................... 705

Inostroza, Albert (2007) ...................................................... 2110

Jenkins, John (2006) ........................................................... 2058 John Hancock Mutual Life Insurance Co. (1994) ................. 646 Johnson, Walter (1987) ......................................................... 291 Jones, William G. (1983)

Jordan, Patrick F. (1983) ....................................................... 132 Jovanovic, Michael (2002) .................................................. 1062

Joy, Thomas (1984) ............................................................... 191 Joyce, Kevin (2005) ............................................................ 2002

Karlson, Kenneth (2008) ………………………………….. 2134

Kaseta, Steven J. (1997) ........................................................ 865 Keeler, Harley (1996) ........................................................... 777 Kelleher, Michael (2003) .................................................... 1140

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