A DVICE ◊ EDUCATION ◊ DISCLOSURE ◊ ENFORCEMENT
2008
Advisory Opinions
Enforcement Actions
MASSACHUSETTS STATE ETHICS COMMISSION
One Ashburton Place, Room 619
Boston, MA 02108
617-371-9500
HUwww.mass.gov/ethicsU
Included in this publication are:
State Ethics Commission Decisions and Orders, Disposition
Agreements and Public Enforcement Letters issued in 2008
Cite Enforcement Actions by name of respondent, year, and page, as follows:
In the Matter of John Doe, 2008 SEC (page number).
Typographical errors in the original texts of Commission documents have been corrected.
Name (Year) Page
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 Colella, George (1989) .......................................................... 409 Collas, Andrew (1988) .......................................................... 360 Collett, Thomas (2004) ....................................................... 1179 Collins, James M. (1985) ...................................................... 228 Columbus, Robert (1993) ...................................................... 636
TABLE OF CASES
(By Subject or Respondent from 1979 through 2008)
(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 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
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
Brensilber-Chidsey (2007) ………………………………....2129
Bretschneider, Richard (2007) ............................................. 2082
Brewer, Walter (1987) ............................................................. 300 Brooks, Edward (1981) ............................................................. 74 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
Name (Year) Page
Comiskey, Robert (2002) ....................................................... 1079
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
Daly, Joseph (2008) ………… ……………………………..2143
D’Amico, Michael J. (2002) ............................................. ... 1083 D’Arcangelo, Ronald J. (2000) ............................................... 962 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 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 Esdale, John (1981)
Name (Year) Page
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 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 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
Name (Year) Page
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 Kennedy, Edward J., Jr. (1995) ................................................. 728 Kenney, Richard (2005) .......................................................... 2006 Keverian, George (1990) .......................................................... 460 Khambaty, Abdullah (1987) ..................................................... 318 Kiley, Edwin (2001) ................................................................ 1022 Killion, Sylvia (1999) ............................................................... 936 Kincus, David F. (1990) ............................................................ 438
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