Administrative Proceedings Archive 1997

The list below provides links to notices and orders concerning the institution and/or settlement of administrative proceedings.

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Release No.	Date	Respondents
Fourth Quarter
33-7493	Dec. 31, 1997	Kerrigan Sean Weber Release No.: 34-39508
34-39507	Dec. 31, 1997	Oliver G. Richard III, and Jay B. Corn
34-39506	Dec. 31, 1997	New Jersey Resources Corp., Laurence M. Downes and Glenn C. Lockwood
33-7492	Dec. 30, 1997	Elliot B. Rosenberg, Jack A. Gilbert, Howard M. Caplan, Gerald J. Perlmutar and Douglas H. Mansfield Release No.: 34-39501
34-39486	Dec. 23, 1997	H. Thomas Fehn
34-39485	Dec. 23, 1997	James A. Terrano, Lynn R. Michl, CPA
33-7490	Dec. 23, 1997	Eugene Bilotti Release No.: IA-1689
34-39471	Dec. 22, 1997	Rocky Mountain International, Ltd.
IA-1688	Dec. 22, 1997	Renaissance Capital Advisors, Inc. and Richard N. Fine
34-39472	Dec. 22, 1997	Presstek, Inc.
34-39464	Dec. 18, 1997	Graham F. Lacey
34-39463	Dec. 18, 1997	Alan R. Mishkin
34-39447	Dec. 12, 1997	Warren L. Rawls, C.P.A. Release No.: AAER-995
34-39432	Dec. 11, 1997	Simon Dominic Baier
34-39430	Dec. 11, 1997	Nicholas Giandomenico
34-39431	Dec. 11, 1997	Charles O. Huttoe
33-7489	Dec. 11, 1997	Phillip Pepe Release No.: 34-39429
33-7488	Dec. 11, 1997	Anthony Lollis Release No.: 34-39428
33-7487	Dec. 11, 1997	Craig Curtis Peterson Release No.: 34-39427
33-7486	Dec. 11, 1997	Kenneth Alan Larson Release No.: 34-39426
33-7485	Dec. 11, 1997	Michael Graber Release No.: 34-39425
33-7484	Dec. 11, 1997	Brian Patrick Cork Release No.: 34-39424
33-7482	Dec. 4, 1997	Armscott Securities, Ltd. Release No.: 34-39398
IA-1683	Dec. 4, 1997	A. Morgan Maree, Jr. & Associates, Inc., and Hugh Duff Robertson Release No.: 34-39397
33-7483	Dec. 4, 1997	Mark David Anderson Release No.: 34-39399
33-7481	Dec. 3, 1997	Brent W. Berry Release No.: 34-39396
33-7480	Dec. 3, 1997	Lazard Freres & Co. LLC Release No.: 34-39388
34-39376	Dec. 1, 1997	Stephen P. Morin, CPA Release No.: AAER-991
33-7477	Dec. 1, 1997	Eric S. Blumen, Ira A. Boshnack, Andrew S. Friedman, Jordan I. Shamah and Irving Stitsky, all former principals and registered representatives ("RRs"), and Douglas C. Miller, a former RR, at Stratton Oakmont, Inc. Release No.: 34-39375
34-39362	Nov. 26, 1997	Freeman B. Irby III
34-39400	Dec. 4, 1997;	KPMG Peat Marwick LLP Release No.: AAER-994
34-39377	Dec. 1, 1997	Robert Gossett and Ronald Langos Release No.: AAER-992
34-39360	Nov. 26, 1997	Anthony S. Battaglia, Jr.
34-39335	Nov. 18, 1997	Wayne J. Conners, Thomas A. Piechowicz, James M. Flynn, Sharon Bartock, Winfred Kipp, and Christopher D. Conway
34-39329	Nov. 17, 1997	Bausch & Lomb Incorporated, Harold O. Johnson, Ermin Ianacone, and Kurt Matsumoto Release No.: AAER-987
34-39314	Nov. 7, 1997	Kenneth O'Neal, Donald White, and George Christopher Bleier
34-39312	Nov. 7, 1997	Russo Securities, Inc., Patrick Russo, and Kimberly Kent
33-7474	Nov. 7, 1997	Sky Scientific, Inc. Release No.: 34-39310
33-7473	Nov. 4, 1997	Dickinson & Co. and T. Marshall Swartwood Release No.: 34-39293
34-39290	Nov. 3, 1997	Orlando Super Card, Inc.
34-39283	Oct. 29, 1997	Ronald J. Viemont
34-39279	Oct. 27, 1997	Bradbury Financial Group, Inc., and Randall E. Bradbury Release No.: IA-1680
33-7471	Oct. 22, 1997	Sky Scientific, Inc., at al. Release No.: 34-39263
33-7469	Oct. 20, 1997	Lawrence A. Krause, Kw Financial Services, Inc., KW Securities Corp., Lawrence A. Krause & Associates, Inc. Release No.: IA-1678
34-39243	Oct. 16, 1997	John L. Bridges, Jr.
33-7467	Oct. 7, 1997	Wayne J. Conners, Thomas A. Piechowicz, James M. Flynn, Sharon Bartock, Winfred Kipp, and Christopher D. Conway Release No.: 34-39208
33-7466	Oct. 7, 1997	Wayne J. Conners, Thomas A. Piechowicz, James M. Flynn, Sharon Bartock, Winfred Kipp, Thomas A. Piechowicz, and Christopher D. Conway Release No.: 34-39207
33-7468	Oct. 7, 1997	Wayne J. Conners, Thomas A. Piechowicz, James M. Flynn, Sharon Bartock, Winfred Kipp and Christopher D. Conway Release No.: 34-39209
34-39215	Oct. 7, 1997	United States Properties, Inc. ("USPI")
34-39212 IA-1677	Oct. 7, 1997	Mark E. Gatch
34-39210	Oct. 7, 1997	Duane Green
34-39194  AAE-975	Oct. 3, 1997	Pinnacle Micro, Inc., Scott A. Blum, and Lilia Craig
Third Quarter
34-39154	Sep. 30, 1997	Sandra Simpson and Daphne Pattee
34-39151	Sep. 30, 1997	Michael L. Cooperstock
34-39150	Sep. 30, 1997	William H. Malek
34-39171	Sep. 30, 1997	Christopher Laporte and Government Securities Corporation
33-7465 34-39170	Sep. 30, 1997	Marion Bass Securities Corp. ("MBSC"), and Gerald P. Chandik ("Chandik")
34-39168	Sep. 30, 1997	Helen A. Roy, Christopher E. Beimel, William P. Hogan, Bruce W. Batley, Daniel D. Beimel, and John W. Ford
34-39168	Sep. 30, 1997	Penn Capital Financial Services, Inc
34-39165	Sep. 30, 1997	Frank Klaus
34-39160	Sep. 30, 1997	Joseph P. Greenwald
33-7462 34-39158	Sep. 30, 1997	Fundamental Portfolio Advisers, Inc., Lance M. Brofman, Vincent J. Malanga, and Fundamental Service Corporation
34-39155	Sep. 30, 1997	Sam Moore
IA-1675	Sep. 30, 1997	Schuylkill Capital Management, Ltd. and Howard A. Trauger
34-39152	Sep. 30, 1997	Mark Coleman Graves
33-7460 34-39149 AAE-970	Sep. 30, 1997	The City Of Syracuse, New York, Warren D. Simpson, and Edward D. Polgreen
AAE-969 34-39148	Sep. 30, 1997	Mary Brennan
AAE-968 34-39147	Sep. 30, 1997	Philip Mcinnes
IA-1672	Sep. 26, 1997	Advisors, Inc. f/k/a Public Employees Financial Advisors, Inc. and Thomas Leroy Brown
33-7464 34-39167 AAE-972	Sep. 30, 1997	John R. Alfson
33-7463 34-39166 AAE-971	Sep. 30, 1997	Laser Photonics, Inc.
34-39164	Sep. 30, 1997	Mark A. Ritacco
34-39163	Sep. 30, 1997	Paul Francis Mabry
34-39161	Sep. 30, 1997	Diversified Capital Resources, Inc. and Angel Lorie
33-7462 34-39158	Sep. 30, 1997	Fundamental Portfolio Advisers, Inc., Lance M. Brofman, Vincent J. Malanga, and Fundamental Service Corporation
34-39156	Sep. 30, 1997	W.R. Grace and Co.
34-39146 IA-1674	Sep. 29, 1997	Mark S. Chanko
33-7459 34-39145 IA-1673	Sep. 29, 1997	Abraham and Sons Capital, Inc. and Brett G. Brubaker
34-39144 AAE-967	Sep. 29, 1997	Curtis L. Dally
33-7458; 34-39142	Sep. 29, 1997	LDF Management, Inc. and Laura D. Fletcher
34-39141	Sep. 29, 1997	Cary S. Greene
34-39138	Sep. 26, 1997	Cortlandt Capital Corp., Mayer Amsel, and Joseph Michael Guccione
34-39136 IA-1671	Sep. 26, 1997	Virgil Dean Damhof
34-39135	Sep. 26, 1997	A. Monzione, and Arthur R. Lapka
34-39134	Sep. 26, 1997	Kent T.Black, Joel L. Hurst, David E. Lynch, Larry E. Muller, and Robert L. McCook
34-39133	Sep. 25, 1997	Edward Christian Farni
33-7457	Sep. 25, 1997	Joseph F. Reese
34-39132	Sep. 25, 1997	Stephen D. Gellas
34-39130	Sep. 25, 1997	David M. Carmichael, Anthony Kohl, and Chris Adams
34-39128 AAE-965	Sep. 25, 1997	Kedar Gupta, Alvan Chorney, and Herbert Moskowitz
34-39127	Sep. 25, 1997	Michael J. Oberholzer
34-39125	Sep. 24, 1997	Nycal Corp
34-39124 AAE-963	Sep. 24, 1997	Elliot Stumacher
34-39123	Sep. 24, 1997	Gerald P. Hirsch
33-7456 34-39122	Sep. 24, 1997	Dwight Allen
33-7455; 34-39121	Sep. 24, 1997	Richard Milbrodt
33-7453 34-39107 IA-1669 IC-22829	Sep. 22, 1997	Michael C. Robertson and M.C. Robertson & Associates, Inc.
IA-1670	Sep. 22, 1997	ProFinancial Advisors, Inc., and W. Ralph Wills, III
33-7454	Sep. 22, 1997	J.M. Dickinson Bransford
34-39108	Sep. 22, 1997	Dennis Murray Bissell
34-39102, IA-1668	Sep. 22, 1997	Gary L. Hamby and Gary B. Ross
33-7453; 34-39107; IA-1669; IC-22829	Sep. 22, 1997	Michael C. Robertson and M.C. Robertson & Associates, Inc.
34-39097; IA-1667	Sep. 19, 1997	Joseph B. Johnson
33-7452; 34-39091	Sep. 18, 1997	George Garcy
33-7451; 34-39090	Sep. 18, 1997	A. David Hengstler
34-39089; AAE-962	Sep. 18, 1997	David Hersh, CPA
34-39085	Sep. 17, 1997	Freddie Don Stewart
34-39081, AAE-961	Sep. 16, 1997	Century Technologies Inc.
IA-1666	Sep. 16, 1997	Stephens Inc.
IA-1665	Sep. 16, 1997	D.L. Gresty & Company, Inc., David Lee Gresty, and Marcia A. Gresty
34-39078	Sep. 15, 1997;	Rodney B. Hedges
AAE-960, 34-39077	Sep. 15, 1997;	James R. Bryan, CPA
34-39074, IA-1663, IC-22820	Sep. 15, 1997;	Vilis Pasts, Bts/Bond Timing, Inc., Bond Timing Securities Corp. and Adonis Berzins
IA-1662, 34-39073	Sep. 15, 1997;	John D. MacKenzie
. 34-39072	Sep. 15, 1997;	Legend Sports, Inc.
33-7450, 34-39061	Sep. 15, 1997;	Michael D. Gibson
34-39062	Sep. 12, 1997;	Edward M. Collins
3439056	Sep. 11, 1997;	Robert A. Quiel
34-39057	Sep. 11, 1997;	Monroe Parker Securities, Inc.
34-39052, AAE-958	Sep. 11, 1997;	Douglas R. Coates, CPA
34-39047	Sep. 10, 1997	Euro-Atlantic Securities, Inc., Brian A. Schmidt, Darlan E. Gordon, John T. Madden, William Aven, and John Aristotle Dilworth II
34-39046, IA-1661	Sep. 10, 1997	Carol A. Hamby and David W. Stepanek
34-39045, AAE-955	Sep. 10, 1997	William B. Sanders, CPA
33-7449, 34-39042	Sep. 10, 1997	Juergens Otto Winkler
34-39041, AAE-954	Sep. 10, 1997	Lynn K. Ross
34-39040, AAE-953	Sep. 10, 1997	Wyatt Gene Ross
34-39039, AAE-952	Sep. 10, 1997	Mickie E. Higgins-Hallke, CPA, CPA
34-39034, IA-1660, IC-22813	Sep. 9, 1997	Frank P. Meadows, III, and The Nottingham Co., Inc. d/b/a The Nottingham Management Co., Inc., d/b/a TNC, Inc., d/b/a F.P. Meadows & Co and d/b/a The Nottingham Co.
34-39029	Sep. 8, 1997	Fahnestock & Co., Inc. and William E. Bierlin, Jr.
34-39027, IA-1659	Sep. 8, 1997	Jocelyn Jane O'Rourke
33-7447, 34-39023	Sep. 5, 1997	Lloyd John Newton
33-7446, 34-39015, IA-1658, IC-22809	Sep. 4, 1997	Willy Kerzinger, D/B/A Commodity Pool Service
34-39006, IA-1657	Sep. 3, 1997	Walter Herbert Moore, Jr.
34-39005, IA-1656	Sep. 2, 1997	Aug. Mezzetta
34-39002, IA-1655	Sep. 2, 1997	Barbara B. Nolan
34-39003	Sep. 2, 1997	Nicholas Giandomenico and Simon Dominic Baier
33-7444, 34-39001, IA-1654, IC-22805	Septermber 2, 1997	Mitchell Hutchins Asset Management Inc.
34-38995	Aug. 29, 1997	David Scott Rossman
IA-1653, AAE-948	Sep. 2, 1997	S. Donald Sussman
34-38994	Aug. 29, 1997	Robert Thomas Beatty
AAE-946, 34-38988, 33-7443	Aug. 28, 1997	Ngai King Tak, Evelyn A. Wong, and Haroutioun K. Aydjian
IA-1652	Aug. 27, 1997	Peter S. Alsop
33-7441, 34-38977	Aug. 27, 1997	Willie Daniels
33-7442, 34-38978	Aug. 27, 1997	Derek Washington
33-7439, 34-38970	Aug. 26, 1997	Robert Alan Denton, Jeffrey Peter Morrison, Lee Michael Rough, Marc David Siden and Kenneth Thomas Tripoli
33-7440, 34-38976, IC-22799, IA-1651	Aug. 26, 1997	Hudson Investors Fund, Inc., Hudson Advisers, Inc., Javed Anver Latef and Larry Alan Stockett
34-38957	Aug. 21, 1997	John L. Bridges, Jr.
34-38946	Aug. 18, 1997	Thomas John Cloutier
33-7436, 34-38947	Aug. 18, 1997	Americorp Securities, Inc. and Drew Edgar Schaefer
34-38944	Aug. 18, 1997	Gary W. Berus
34-38942	Aug. 18, 1997	William P. Carroll
IA-1648	Aug. 13, 1997	First Capital Strategists, Robert E. Frith Jr., Keith H. Cunningham, Paul J. Gangemi, and John J. McCollum
34-38931	Aug. 13, 1997	Combined Companies International Corp.
34-38919	Aug. 11, 1997	William N. Briggs
34-38918	Aug. 11, 1997	Stock Clearing Corp Of Philadelphia and Philadelphia Depository Trust Co.
34-38917	Aug. 11, 1997	Timothy J. Guiheen
34-38914	Aug. 11, 1997	David P. Silver
34-38913	Aug. 11, 1997	H. Beck, Inc. and Gary S. Hurvitz
34-38878, IA-1645	Jul. 28, 1997	Stuart Gregory Smith, Capital Investment Managers, Inc., and Capital Fund Managers, Inc.
IA-1647	Aug. 6, 1997	Robert Pierce and Carrie L. Williams Pierce
34-38904	Aug. 6, 1997	Ted Harold Westerfield
34-38903, AAE-944	Aug. 5, 1997	James P. Brown
34-38902, AAE-943	Aug. 5, 1997	Robert L. Gresham, CPA
IA-1646, IC-22768	Jul. 29, 1997	Ronald J. Mitchellette
34-38876, AAE-941	Jul. 28, 1997	William D. Kyle
34-38880, IA-22767	Jul. 28, 1997	Edward D. Jones & Co., Donald E. Walter, Steven T. Roberts, Ronald L. Gorgen, and Charles R. Larimore
34-38877, IA-22766	Jul. 28, 1997	Edward D. Jones & Co., Donald E. Walter, Steven T. Roberts, Ronald L. Gorgen, and Charles R. Larimore
34-38863	Jul. 23, 1997	Thomas J. Fox
34-38858, AAE-938	Jul. 22, 1997	Ponder Industries, Inc., Mack Ponder, Charles E. Greenwood, and Michael A. Dupre
34-38857	Jul. 22, 1997	Alex David Shindman
34-38855	Jul. 21, 1997	Refco Securities, Inc.
IA-1644	Jul. 18, 1997	LBS Capital Management, Inc.
34-38844, AAE-937	Jul. 17, 1997	Dennis Klein
34-38832	Jul. 11, 1997	Dennis Lindsay Helliwell
34-38775	Jun. 25, 1997	First Montauk Securities Corp.
34-38814	Jul. 3, 1997	Brian J. McCahery
34-38803	Jul. 1, 1997	Stephen J. Sogin
34-38802	Jul. 1, 1997	Steven N. Weiss
33-7429	Jul. 1, 1997	Paul Y. Okuda, Stephen A. Thorpe, and David J. Chester
33-7428	Jul. 1, 1997	Helen T. Chalut and Saleem Noorani
Second Quarter
33-7426	Jun. 25,1997	Spectrum Information Technologies, Incorporated
33-7425	Jun. 25, 1997	National Partnership Investments Corporation, National Partnership Equities, Inc., National Corporate Tax Credit Fund, Century Hillcreste Apartment Investors, L.P., Alan I. Casden, Charles H. Boxenbaum, and Bruce E. Nelson
34-38770	Jun. 25, 1997	Vincent Poliseno
34-38761	Jun. 24, 1997	Pendleton C. Waugh
34-38762	Jun. 24, 1997	Kenneth F. Richey
34-38765	Jun. 24, 1997	Gary A. Prince
34-38754	Jun. 23, 1997	George W. Meyers, Gregory W. Meyers, Tax Exempt Fund, Municipal Fund, and Fox, Reusch & Co., Inc.
34-38751	Jun. 20, 1997	Steven Ira Wertman, Robert Bruce Orkin, Edward Charles William Donner, III and Earl Seth David
3-9333	Jun. 18, 1997	GFL Ultra Fund, Inc. Note includes dissenting opinion from Commissioner Steven M.H. Wallman
IA-1636	Jun. 13, 1997	Oakwood Counselors, Inc. and Paul J. Sherman
34-38727	Jun. 10, 1997	B.J. Thomas
4-38726	Jun. 10, 1997	Kyle Weston
IA-1635	Jun. 6, 1997	McKenzie Walker Investment Management, Inc. and Richard C. McKenzie, Jr.
34-38714, 33-7421	Jun. 4, 1997	Aubrey O'Connor, Rick Pierson, James Winter, Gregory Bowen, Kenneth Ward
34-38713, AAE-921	Jun. 3, 1997	Steven F. Broadbent
34-38695	May 30, 1997	Amquest International, Ltd.
34- 38696	May 30, 1997	Christopher D. Jennings
34-38691, AAE-919	May 29, 1997	Combined Companies International Corp.
IA-1634, IC-22685	May 28, 1997	Parnassus Investments, Jerome L. Dodson, Marilyn Chou, and David Gibson
34-38684	May 28, 1997	Joseph Latona
34-38685	May 28, 1997	Jeffrey F. Green
34-38688, Release No. AAE-917	May 28, 1997	Steven W. Koinis
33 -7420, Release No. 34-38689	May 28, 1997	Dickinson & Co. and T. Marshall Swartwood
34- 38674	May 27, 1997	Arthur A. Graves, III
34- 38676	May 27, 1997	Richard K. Steele, Jr.
34-38673	May 27, 1997	Litwin Securities, Inc., Harold A. Litwin
34-38666	May 22, 1997	Herbert G. Brown, George W. Cook, Jared D. Brown, and Robert G. Brown
34-38661	May 21, 1997	James G. Freeman
34-38652	May 19, 1997	Thomas H. Ehrlich
4-38653	May 19, 1997	Combined Companies International Corp.
34-38677	May 17, 1997	William Rossi
34-38596	May 9, 1997	Russell William Stein, Ford D. Albritton, Jr., and Dover and Associates, Inc.
34-38583	May 8, 1997	Kenneth J. Schulte
34-38579	May 7, 1997	Douglas R. Damon, Robert M. Davis, and Kenneth C. Klovitz
34-38578	May 7, 1997	Gary J. Divall and Paul E. Magnuson
34-38572	May 5, 1997	Nicholas J. Pace
34-38560	Apr. 30, 1997	Ronald H. Hoffman
34-38559	Apr. 30, 1997	Richard J. Lajoie, Jr.
34-38555	Apr. 29, 1997	Dorothea Bossio, Michael Imbriale and Rocco Leone
No. IA-1630	Apr. 28, 1997	Alliance Capital Management L.P.
34-38539	Apr. 22, 1997	David McClure
34-38538	Apr. 22, 1997	Gregory C. Moore
34- 38529	Apr. 21, 1997	Stanley J. Feminella
34-38524	Apr. 18, 1997	James L. D'Angelo
34-38518	Apr. 17, 1997	Peter M. Harrington
34-38517	Apr. 16, 1997	Joseph P. Brooks
33-7416	Apr. 15, 1997	Wayne J. Conners, Thomas A. Piechowicz, James M. Flynn, Sharon Bartock, Winfred Kipp and Christopher D. Conway
34-38510	Apr. 15, 1997	Donald Spinks and CDS Financial Services
33-7414	Apr. 15, 1997	Michael D. Gibson, Gregory C. Moore, Jay D. Liebowitz and David McClure
34-38508	Apr. 15, 1997	Steven N. Weiss
3438500	Apr. 14, 1997	H. Ralph Sylvester, Donald R. Krueger and John C. Hawver
34-38496	Apr. 10, 1997	Janak C. Patel
3438492	Apr. 10, 1997	Historic Hotel Holdings, Inc.
34-38498	Apr. 11, 1997	J. M. Levy & Co. , Sol Greenbaum, and David Cohen
34- 38497	Apr. 10, 1997	Dennis T. Palmeri, Sr.
34-38494	Apr. 10, 1997	Philip S. Present II, and William J. Scanlon
34-38493	Apr. 10, 1997	Lynn K. Blattman
34-38477	Apr. 4, 1997	Ronald W. Daw and J. Weston Daw
34-38476	Apr. 4, 1997	Steven K. Clark
33-7412	Apr. 3, 1997	Sky Scientific, Inc., et al.
34-38475	Apr. 3, 1997	Jaron Equities Corp.. Sheridan Manhattan Group. Inc. and Dermot Sheridan
34-38459	Apr. 1, 1997	Robert D. Gersh
33-7410	Apr. 1, 1997	Quality Products, Inc.
First Quarter
3438454	Mar. 31, 1997	Brooklyn Capital & Securities Trading, Inc., and David Rybstein
33-7409	Mar. 27, 1997	Sheldon S. Traube and George F. Sweeney
34-38441	Mar. 26, 1997	Robert C. White
IA-1620	Mar. 17, 1997	Robert Pierce and Carrie L. Williams Pierce
34-38436	Mar. 25, 1997	Michael P. Sweeney
34-38433	Mar. 24, 1997	Matt Matson
33-7406	Mar. 24, 1997	Peter Tosto, Investor Relations, Inc.
34-38425	Mar. 20, 1997	Joseph Riccio
34-38424	Mar. 20, 1997	Michael J. Markowski
IA-1622	Mar. 18, 1997	H.P. Hambrick Co., Inc. and Henry P. Hambrick
IA-1621	Mar. 17, 1997	Vigil Asset Management Group, Inc., and Thomas Batterman
34-38395	Mar. 13, 1997	Duane V. Midgley
33-7402	Mar. 13, 1997	Kevin N. Campbell
33-7401	Mar. 12, 1997	Merle S. Finkel
34-38382	Mar. 11, 1997	Jon D. Aldrich
34- 38368	Mar. 5, 1997	Pace American Group, Inc.
34-38367	Mar. 5, 1997	Garcis U.S.A., Inc.
34-38361	Mar. 4, 1997	Michael Anthony Pierce
34-38359	Mar. 4, 1997	Robert Jarkow
34-38358	Mar. 4, 1997	John Thomas Royall
IC-22535	Feb. 28, 1997	Anthony J. Negus
34-38347	Feb. 27, 1997	David Schaen
34-38345	Feb. 27. 1997	Twenty First Century Health, Inc.
34-38343	Feb. 27, 1997	David Gore, Robert Puetz, William McClure, Robert P. Murphy
33-7397	Feb. 26, 1997	DeSoto Broadcasting, Inc. and Danford Sawyer, Jr.
34-38335	Feb. 26, 1997	David P. Schwartz
34-38337	Feb. 26, 1997	Selheimer & Co. and Perry A. Selheimer
34-38325	Feb. 24, 1997	Norman Gelman
34-38327	Feb. 24, 1997	Vincent Poliseno
33-7395	Feb. 21, 1997	M. Rimson & Co., Inc., Moshe Rimson, Jonathan Mende & Associates, Inc., Jonathan Aurielio Mende, Todd Levaughn Hickman, Christian Jean-Marie Girodet, Mitchell Aguirre, Claudio Peter Iodice, IIIAlex David Shindman, Yevgeny G. Shkilko, David Feyjin and Roger Dantoni, III
34-38316	Feb. 20, 1997	Philip Greifeld
IA-1615	Feb. 18, 1997	Kent A. Ahrens
34-38301	Feb. 18, 1997	Linda A. Hodge
34-38297	Feb. 18, 1997	William D. Kyle
34-38300	Feb. 18, 1997	Milton Weinger
33-7389	Feb. 18, 1997	Alan D. Rosskamm
34-38263	Feb. 11, 1997	Marsh Block & Co., Inc., Alfred G. Block, Kenneth L. Marsh, and Jeffrey M. Miller
IA-1614	Feb. 10, 1997	Oakwood Counselors, Inc. and Paul J. Sherman
34-38264	Feb. 11, 1997	Howard F. Rubin
34-38250	Feb. 6, 1997	Harry T. Couch
34- 38249	Feb. 6, 1997	Daniel C. Langford, Daniel C. Langford, Jr., Stephanus A. de Kockand and Peter P. Irby
33-7387	Feb. 6, 1997	William T. Manak
34-38258	Feb. 7, 1997	Lyle Moss
34- 38260	Feb. 10, 1997	Twenty First Century Health, Inc.
34-38239	Feb. 5, 1997	Frederick R. Grant
IA-1612	Jan. 31, 1997	Benjamin Franklin Bush, III and Ben Bush Investment Management, Inc.
33-7385	Jan. 30, 1997	David L. Arnold
34-38220	Jan. 30, 1997	Jon Edelman
34-38227	Feb. 3, 1997	James Zimmerman and Old Naples Securities, Inc.
34-38228	Feb. 3, 1997	Jerry Silva
34-38217	Jan. 29, 1997	David Keery
34-38210	Jan. 28, 1997	Halsey Drug Company, Inc.
IA-1611	Jan. 24, 1997	Ronald M. Zook
IA-1610	Jan. 23, 1997	Cecil H. Suter
34-38178	Jan. 16, 1997	Bernard Zelenka
34-38192	Jan. 22, 1997	Cortland First Financial Corporation, Donald S. Ames, and Frederick G. Compagni, Sr.
IA-1607	Jan. 21, 1997	Norman L. Yu & Co., Inc., and Norman L. Yu
34-38176	Jan. 16, 1997	Brian J. McCahery
34-38177	Jan. 16, 1997	Robert Albert Merrifield
33-7381	Jan. 15, 1997	Suppes Securities, Inc.
34-38171	Jan. 15, 1997	Mark Anthony and Michelle Suppes
34-38173	Jan. 15, 1997	GKN Securities Corp. and Robert H. Gladstone
34-38174	Jan. 15, 1997	Royal Alliance Associates, Inc.
C-22461	Jan. 13, 1997	Ronald V. Speaker and Janus Capital Corporation
33-7379	Jan. 13, 1997	Michael Coxon, Alan Michael Sergy, World Money Managers and World Money Securities, Inc.
34-38150	Jan. 10, 1997	National Financial Services Corporation
34-38137	Jan. 8, 1997	Republic International Corporation
34-38136	Jan. 8, 1997	Peter C. Tosto
33- 7378	Jan. 8, 1997	Carolyn Safer Kenner
34-38135	Jan. 8, 1997	David P. Schwartz
34-38122	Jan. 6, 1997	R. E. Anderson Cain
34-38121	Jan. 6, 1997	Matthew E. Klenovic

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