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Administrative Proceedings Archive 2001
The list below provides links to notices and orders concerning the institution and/or settlement of administrative proceedings.
Fourth Quarter | Third Quarter | Second Quarter | First Quarter
Additional Archives
2008 | 2007 | 2006 | 2005 | 2004 | 2003 | 2002 | 2001 | 2000 | 1999 | 1998 | 1997 | 1996 | 1995
| Release No. |
Date |
Respondents |
| Fourth Quarter |
|
33-8050 |
Dec. 31, 2001 |
Jonathan Aerospace Materials Corporation |
|
34-45208 |
Dec. 28, 2001 |
W. J. Nolan & Company, Inc. |
|
34-45198 |
Dec. 27, 2001 |
Banjamin J. Maldonado, III |
|
34-45197 |
Dec. 27, 2001 |
Barbara Horvath, CPA |
|
34-45196 |
Dec. 27, 2001 |
Jeffrey Bacsik, CPA |
|
34-45195 |
Dec. 27, 2001 |
Rachel Eckhaus, CPA |
|
33-8047 |
Dec. 21, 2001 |
Lawrence B. Irwin and Burton Financial Management Associates, Inc.
Release Nos.: 34-45187, IA-2005 |
|
34-45186 |
Dec. 21, 2001 |
James D. Cooper, III
Release No.: IA-2004 |
|
33-8046 |
Dec. 20, 2001 |
Zion Capital Management LLC and Ricky A. Lang
Release Nos.: 34-45175, IA-2003, IC-25322 |
|
33-8045 |
Dec. 19, 2001 |
Carmel Equity Partners, et al.
Release Nos.: 34-45173 |
|
33-8044 |
Dec. 19, 2001 |
Carmel Equity Partners, et al.
Release Nos.: 34-45172 |
|
33-8043 |
Dec. 19, 2001 |
Carmel Equity Partners, et al.
Release Nos.: 34-45171 |
|
33-8042 |
Dec. 19, 2001 |
Dennis M. Wilson |
|
34-45169 |
Dec. 19, 2001 |
Zila, Inc. and Joseph Hines |
|
34-45168 |
Dec. 19, 2001 |
Robert C. Ellenburg |
|
34-45157 |
Dec. 17, 2001 |
Republic New York Securities Corp. |
|
34-45159 |
Dec. 14, 2001 |
Timothy Tuttle |
|
34-45158 |
Dec. 14, 2001 |
Corrine Davies |
|
IA-2002 |
Dec. 14, 2001 |
Market Timing Systems, Inc., Gregory Meadors and Mark Shinnick |
|
IA-2001 |
Dec. 12, 2001 |
Cambridge Equity Advisors, Inc. and Michael E. Goldston |
|
34-45143 |
Dec. 10, 2001 |
Nolan W. Wade |
|
34-45142 |
Dec. 10, 2001 |
Kenneth R. Grossfield |
|
34-45140 |
Dec. 7, 2001 |
Lee E. Gahr |
|
34-45135 |
Dec. 6, 2001 |
Pinnacle Holdings, Inc. |
|
34-45131 |
Dec. 5, 2001 |
Christopher A. Lowry |
|
34-45123 |
Dec. 4, 2001 |
Raffi T. King |
|
IA-2000 |
Dec. 3, 2001 |
Felix Anthony Berry |
|
33-8038 |
Nov. 28, 2001 |
Clyde Wayne Gregory |
|
34-45107 |
Nov. 27, 2001 |
John Montelbano and Gerard McMahon |
|
34-45092 |
Nov. 21, 2001 |
Bernadette Stevens a/k/a Bernadette Stevens Bell |
|
34-45091 |
Nov. 21, 2001 |
Wayne L. Prichason |
|
33-8037 |
Nov. 20, 2001 |
Michael A. Furr
Release No.: 34-45085 |
|
34-45084 |
Nov. 20, 2001 |
Edward Bracken |
|
33-8036 |
Nov. 19, 2001 |
The State Bank of India and Citibank, N.A. |
|
34-45070 |
Nov. 16, 2001 |
Joseph M. Blumenthal |
|
34-45069 |
Nov. 16, 2001 |
George W. Guttman
|
|
33-8035 |
Nov. 15, 2001 |
Vector Index Advisors, Inc. and Steven H. Adler
Release No.: 34-45065, IA-1997, IC-25269 |
|
33-8034 |
Nov. 15, 2001 |
Vector Index Advisors, Inc. and Steven H. Adler
Release Nos.: 34-45064, IA-1996, IC-25268 |
|
34-45058 |
Nov. 15, 2001 |
Bruce E. Straughn
|
|
34-45057 |
Nov. 15, 2001 |
The Classica Group, Inc. |
|
34-45056 |
Nov. 15, 2001 |
Disease Sciences, Inc. |
|
34-45055 |
Nov. 15, 2001 |
R-Tec Technologies, Inc. |
|
33-8033 |
Nov. 14, 2001 |
Kent T. Black, Joel L. Hurst, David E. Lynch, Larry E. Muller, and Robert L. McCook
Release No.: 34-45052 |
|
33-8032 |
Nov. 13, 2001 |
Toks, Inc.
|
|
34-45044 |
Nov. 7, 2001 |
Richard M. Eisenmenger |
|
34-45042 |
Nov. 7, 2001 |
Leroy K. Messenger |
|
33-8030 |
Nov. 5, 2001 |
Joseph R. Blackwell, Bradford D. Blackwell, and Timothy R. Blackwell
Release No.: 34-45018 |
|
33-8029 |
Nov. 5, 2001 |
Israel M. Shenker
Release No.: 34-45017 |
|
IA-1995 |
Nov. 7, 2001 |
James L. Binge and Eric V. Bartoli
|
|
34-45006 |
Oct. 31, 2001 |
Roger J. Walstra
Release No.: IA-1992 |
|
34-45005 |
Oct. 31, 2001 |
Henry Salzhauer and Michael Salzhauer |
| 34-45002 |
Oct. 30, 2001 |
Mark Steven Snader, individually and d/b/a, e-highyields.com and The High Yield Club |
| 34-44982 |
Oct. 25, 2001 |
Dale E. Frey |
| 34-44970 |
Oct. 23, 2001 |
Gisela de Leon-Meredith |
| 34-44966 |
Oct. 22, 2001 |
Madera International, Inc. |
| IA-1991 |
Oct. 19, 2001 |
F.X.C. Investors Corp. and Francis X. Curzio |
| 34-44959 |
Oct. 19, 2001 |
Leonard B. Greer |
| 33-8026 |
Oct. 18, 2001 |
Hunter Adams, Gregg Adams, Alan Berkun, Robert Lisnoff, James L. Bila, Leonard Bila, Christian Blake, Brian Carroll, Joseph Digirolamo, and Joseph Mannino
Release No.: 34-44954 |
| 33-8025 |
Oct. 18, 2001 |
NexPub, Inc., formerly known as PrintontheNet.com, Inc.
Release No.: 34-44951 |
| 34-44934 |
Oct. 15, 2001 |
Eric John Watson |
| 34-44926 |
Oct. 15, 2001 |
Philip A. Sharpton |
| 34-44925 |
Oct. 15, 2001 |
Joseph F. Denson, Jr. |
| 33-8023 |
Oct. 11, 2001 |
Millennium Group of New York, LLC, Roman Suleymanov, Alex Rovner, and Gennady Favelyukis
Release No.: 34-44919 |
| 34-44912 |
Oct. 5, 2001 |
Thomas P. Raabe |
| 34-44911 |
Oct. 5, 2001 |
Arete Industries, Inc. f/n/a Travis Industries, Inc. |
| IA-1988 |
Oct. 3, 2001 |
Tiffany Capital Advisors, Inc. and Curtis Townsend
Release No.: IC-25203 |
| 34-44902 |
Oct. 3, 2001 |
Chiquita Brands International, Inc. |
| 34-44901 |
Oct. 3, 2001 |
James L. Binge and Eric V. Bartoli |
| Third Quarter |
| 33-8021 |
Sep. 28, 2001 |
PriorityAccess, Inc., Endpoint Technologies, Inc. and Roger Shearer |
| 34-44883 |
Sep. 28, 2001 |
Robert Bruce Lohmann
Release No.: IA-1987 |
| 34-44882 |
Sep. 28, 2001 |
Lawrence P. Grady
Release No.: IC-25201 |
| 34-44881 |
Sep. 28, 2001 |
Daniel J. Murphy d/b/a Financial Picks |
| 34-44880 |
Sep. 28, 2001 |
Benefit Concepts Group, Inc. and James D. Cannon
Release No.: IA-1986 |
| IA-1985 |
Sep. 28, 2001 |
Chris Woessner
Release No.: 3-10607 |
| IA-1984 |
Sep. 28, 2001 |
Duff & Phelps Investment Management Co., Inc.
Release Nos.: IC-25200, 3-10606 |
| IA-1983 |
Sep. 28, 2001 |
Wayne C. Stevens |
| 33-8020 |
Sep. 28, 2001 |
Kevin G. Quinn
Release No.: 34-44879 |
| 34-44877 |
Sep. 28, 2001 |
Edward Bracken and Douglas Diggins |
| 33-8019 |
Sep. 28, 2001 |
Kyle R. Kirkland
Release No.: 34-44876, IA-1982, IC-25199 |
| 33-8018 |
Sep. 28, 2001 |
Trudie D. Whitehead
Release No.: 33-44875, IA-1981, IC-25198 |
| IA-1980 |
Sep. 28, 2001 |
Western Asset Management Co. and Legg Mason Fund Adviser, Inc. |
| 34-44873 |
Sep. 28, 2001 |
George T. Helm, Jr. |
| IA-1979 |
Sep. 28, 2001 |
David F. Bellet |
| 33-8017 |
Sep. 28, 2001 |
Enrico Cortesano |
| 34-44869 |
Sep. 28, 2001 |
Rajiv Vohra |
| IA-1978 |
Sep. 27, 2001 |
Performance Analytics, Inc. and Robert P. Moseson |
| IA-1977 |
Sep. 27, 2001 |
Merrimac Advisors Company and Fredric J. French
Release No.: IC-25195 |
| IA-1976 |
Sep. 28, 2001 |
James S. Saltzman |
| 33-8015 |
Sep. 27, 2001 |
Royal Bank of Canada
Release No. 34-44865 |
| 33-8014 |
Sep. 27, 2001 |
Rauscher Pierce Refsnes, Inc. now known as Dain Rauscher Incorporated |
| 33-8013 |
Sep. 27, 2001 |
Rauscher Pierce Refsnes, Inc. now known as Dain Rauscher Incorporated
Release No.: 34-44864
See also 33-8014 and 33-8015 |
| 34-44860 |
Sep. 27, 2001 |
Paul S. Jurewicz |
| 34-44859 |
Sep. 27, 2001 |
Joseph H. Kiser |
| 34-44858 |
Sep. 27, 2001 |
Charles K. Springer, CPA; Robert S. Haugen, CPA; Haugen, Springer & Co., PC |
| 33-8011 |
Sep. 26, 2001 |
Michael D. Young
Release No.: 34-44851 |
| 34-44842 |
Sep. 25, 2001 |
Gunther International, Ltd. |
| 33-8009 |
Sep. 25, 2001 |
Jonathan Aerospace Materials Corporation |
| 33-8006 |
Sep. 24, 2001 |
W.J. Nolan & Co. and William J. Nolan
Release No.: 34-44833 |
| 34-44835 |
Sep. 24, 2001 |
The Chase Manhattan Bank |
| 34-44821 |
Sep. 20, 2001 |
Michael E. Furr |
| 34-44817 |
Sep. 19, 2001 |
Harlan & Boettger, LLP; William C. Boettger, CPA and P. Robert Wilkinson, CPA |
| 34-44816 |
Sep. 19, 2001 |
Ralph Sanchez, CPA |
| 34-44815 |
Sep. 19, 2001 |
Regina Fernandez |
| 34-44814 |
Sep. 19, 2001 |
Madera International, Inc. |
| 34-44806 |
Sep. 17, 2001 |
Robert M. Fuller |
| 34-44805 |
Sep. 17, 2001 |
Charles F. Morgan |
| 34-44786 |
Sep. 12, 2001 |
Adam E. Peck |
| 34-44785 |
Sep. 12, 2001 |
Raffi T. King |
| 34-44784 |
Sep. 12, 2001 |
Baker Hughes Incorporated |
| 33-8003 |
Sep. 10, 2001 |
George Kelly Moore, CPA
Release No. 34-44781 |
| 33-8002 |
Sep. 10, 2001 |
Louis P. Reames, Sr.
Release No.: 34-44780 |
| 33-8001 |
Sep. 10, 2001 |
Walter T. Reeder
Release No.: 34-44799 |
| 34-44782 |
Sep. 10, 2001 |
Glen T. Vittor |
| 34-44775 |
Sep. 7, 2001 |
Jon Martin Carlson and Carlson National Brokers, Inc. |
| 34-44774 |
Sep. 7, 2001 |
D. Dean Pearson |
| 34-44773 |
Sep. 7, 2001 |
John Telford Snipes |
| 34-44765 |
Sep. 5, 2001 |
Carl Albano |
| 34-44764 |
Sep. 5, 2001 |
Indus International, Inc. |
| 34-44761 |
Sep. 4, 2001 |
Salvatore T. Marino, CPA |
| 34-44751 |
Aug. 29, 2001 |
Alvis Colin Smith, Jr. |
| 34-44711 |
Aug. 16, 2001 |
Leslie D. Crone, CPA |
| IA-1968 |
Aug. 15, 2001 |
Charles K. Seavey and Alexander Lushtak |
| 33-8000 |
Aug. 14, 2001 |
Joan L. Fleener, JMC International, Inc., Carolla S.R. Hopkins and Northstar, Inc. |
| 34-44685 |
Aug. 13, 2001 |
Roger M. Taft |
| 34-44684 |
Aug. 13, 2001 |
Richard H. Steinberg |
| 34-44679 |
Aug. 10, 2001 |
Andrew S. Parlin
Release No.: IA-1967 |
| 34-44678 |
Aug. 10, 2001 |
Angelo Iannone |
| 34-44677 |
Aug. 10, 2001 |
ABN AMRO Incorporated |
| IA-1966 |
Aug. 10, 2001 |
Oechsle International Advisors L.L.C. |
| IA-1965 |
Aug. 10, 2001 |
David Clark Stewart |
| IA-1964 |
Aug. 10, 2001 |
Jeffrey L. Grayson |
| IA-1963 |
Aug. 10, 2001 |
Capital Consultants |
| IA-1962 |
Aug. 10, 2001 |
Barclay L. Grayson |
| IA-1961 |
Aug. 9, 2001 |
Charles G. Dyer, Hawthorne Investment Trust, Hawthorne Associates, Inc. |
| 34-44671 |
Aug. 9, 2001 |
John E. Brinker, Jr. and Gary J. Bentz |
| 33-7998 |
Aug. 3, 2001 |
Harvey M. Burstein and James D. Loeffelbein |
| 34-44650 |
Aug. 3, 2001 |
John K. Boyd, III |
| IA-1959 |
Aug. 3, 2001 |
Donna L . Wood |
| 34-44634 |
Aug. 1, 2001 |
Roger A. Rawlings |
| 34-44633 |
Aug. 1, 2001 |
MAX Internet Communications Inc. |
| IA-1957 |
Jul. 31, 2001 |
Dana C. Giacchetto and The Cassandra Group, Inc. |
| 34-44613 |
Jul. 30, 2001 |
BankAmerica Corp. (now known as Bank of America Corp.) |
| 34-44606 |
Jul. 27, 2001 |
Jeffrey M. Yonkers, CPA |
| 33-7997 |
Jul. 27, 2001 |
Sage Advisory Services LLC, as successor to Standard Asset Group LP, and Standard Group Holdings LLC, as successor to Standard Asset Group, Inc. |
| 34-44591 |
Jul. 26, 2001 |
Dean C. Turner |
| 34-44590 |
Jul. 26, 2001 |
Joseph M. Salvani and Mainstreetipo.com, Inc. |
| 34-44587 |
Jul. 24, 2001 |
Judah Wernick |
| 34-44586 |
Jul. 24, 2001 |
Leonard B. Greer |
| 34-44585 |
Jul. 23, 2001 |
Richard S. Chancis, Michael J. Anton, Antonio R. Campos, Luis R. Loza, and Wayne W. Schumacher |
| IA-1953 |
Jul. 20, 2001 |
Founders Asset Management LLC and Bjorn K. Borgen |
| IA-1952 |
Jul. 20, 2001 |
Owen-Joseph Asset Management Corp. and William O. Foster |
| 34-44581 |
Jul. 20, 2001 |
Richard P. Macchiarulo, CPA |
| 34-44578 |
Jul. 19, 2001 |
Stephen G. Donahue
Release No. IA-1951 |
| 34-44577 |
Jul. 19, 2001 |
Ellsworth Wayne McLaws and Alan Clagg |
| 33-7996 |
Jul. 18, 2001 |
Am-Pac International, Inc.
Release No. 34-44566 |
| 34-44565 |
Jul. 18, 2001 |
Mark Goldberg, C.P.A. |
| 33-7995 |
Jul. 18, 2001 |
John Lerlo
Release No. 34-44564 |
| 33-7994 |
Jul. 18, 2001 |
American Bank Note Holographics, Inc.
Release No. 34-44563 |
| 34-44531 |
Jul. 10, 2001 |
Uniquest, Inc. |
| 34-44511 |
Jul. 3, 2001 |
Secure Sign, Inc. (formerly Yourbankonline.com), Pakie V. Plastino, and Williams L. Butcher, CPA |
| 34-44510 |
Jul. 3, 2001 |
Secure Sign, Inc. (formerly Yourbankonline.com), Pakie V. Plastino, and Williams L. Butcher, CPA |
| 34-44501 |
Jul. 2, 2001 |
James T. Rush |
| 34-44500 |
Jul. 2, 2001 |
Scott K. Barton, CPA |
| Second Quarter |
| 34-44496 |
Jun. 29, 2001 |
Richard T. Hammack |
| 33-7991 |
Jun. 29, 2001 |
Van R. Lewis III |
| 33-7990 |
Jun. 28, 2001 |
Norman Lescht |
| 34-44487 |
Jun. 28, 2001 |
James L Binge and Eric V. Bartoli |
| 34-44486 |
Jun. 28, 2001 |
Peter J. Esposito |
| 34-44474 |
Jun. 26, 2001 |
Jeffrey A. DeVille |
| 34-44473 |
Jun. 25, 2001 |
American Classic Voyages Co. |
| IA-1949 |
Jun. 22, 2001 |
Victor M. Wilson |
| 34-44461 |
Jun. 21, 2001 |
J. Allen Seymour, CPA |
| IA-1949 |
Jun. 22, 2001 |
Victor M. Wilson |
| 34-44461 |
Jun. 21, 2001 |
J. Allen Seymour, CPA |
| 34-44460 |
Jun. 21, 2001 |
Michael J. Becker |
| 34-44456 |
Jun. 20, 2001 |
W. Scott Long, III |
| 34-44448 |
Jun. 19, 2001 |
Robert G. Kutsenda, CPA |
| 33-7988 |
Jun. 19, 2001 |
Walter Cercavschi, CPA
Release No. 34-44447 |
| 33-7987 |
Jun. 19, 2001 |
Edward G. Maier, CPA
Release No. 34-44446 |
| 33-7986 |
Jun. 19, 2001 |
Robert E. Allgyer, CPA
Release No. 34-44445 |
| 34-44444 |
Jun. 19, 2001 |
Arthur Andersen LLP |
| 34-44441 |
Jun. 18, 2001 |
Arthur Bruce Bahlav and Frank J. Fasano, former owners of SFI Investments, Inc. |
| 34-44440 |
Jun. 18, 2001 |
China Food and Beverage Co. and James Tilton |
| 34-44439 |
Jun. 18, 2001 |
Trans-Global Holdings, Inc. and Jacques Verhaak |
| 34-44425 |
Jun. 14, 2001 |
James Thomas McCurdy, CPA |
| 34-44421 |
Jun. 13, 2001 |
Charles F. Hagemann |
| 34-44420 |
Jun. 13, 2001 |
Ricardo Ballesteros Gutierrez |
| 34-44419 |
Jun. 13, 2001 |
All-Tech Direct, Inc., f/k/a All-Tech Investment Group, Inc., Harry Lefkowitz, Mark Shefts,Lisa Esposito, Ralph Zulferino, David Waldman, Adams Leeds, and Barry Parish |
| 34-44418 |
Jun. 13, 2001 |
All-Tech Direct, Inc., f/k/a All-Tech Investment Group, Inc., Harry Lefkowitz, Mark Shefts,Lisa Esposito, Ralph Zulferino, David Waldman, Adams Leeds, and Barry Parish |
| 34-44417 |
Jun. 13, 2001 |
All-Tech Direct, Inc., f/k/a All-Tech Investment Group, Inc., Harry Lefkowitz, Mark Shefts,Lisa Esposito, Ralph Zulferino, David Waldman, Adams Leeds, and Barry Parish |
| 34-44416 |
Jun. 13, 2001 |
All-Tech Direct, Inc., f/k/a All-Tech Investment Group, Inc., Harry Lefkowitz, Mark Shefts,Lisa Esposito, Ralph Zulferino, David Waldman, Adams Leeds, and Barry Parish |
| 34-44415 |
Jun. 13, 2001 |
All-Tech Direct, Inc., f/k/a All-Tech Investment Group, Inc., Harry Lefkowitz, Mark Shefts,Lisa Esposito, Ralph Zulferino, David Waldman, Adams Leeds, and Barry Parish |
| 34-44414 |
Jun. 13, 2001 |
Patrick J. Rooney and Adrian Antoniu Alexander |
| 34-44413 |
Jun. 13, 2001 |
JPR Capital Corp., Paul Umansky, Charles Hampton and Jeffrey Wolf |
| 34-44412 |
Jun. 13, 2001 |
Jeffrey Ramson |
| 34-44407 |
Jun. 11, 2001 |
Legg Mason Wood Walker, Incorporated, Thomas M. Daly, Jr., and Joseph A. Sullivan |
| 33-7984 |
Jun. 11, 2001 |
Legg Mason Wood Walker, Incorporated, Thomas M. Daly, Jr., and Joseph A. Sullivan |
| 34-44389 |
Jun. 5, 2001 |
Am-Pac International, Inc. |
| 34-44388 |
Jun. 4, 2001 |
James M. Cassidy and TPG Capital Corporation |
| 34-44387 |
Jun. 4, 2001 |
Mary E. Blake |
| 34-44384 |
Jun. 4, 2001 |
Scott N. Draime |
| 33-7982 |
Jun. 1, 2001 |
Carmel Equity Partners, et al. |
| 33-7981 |
Jun. 1, 2001 |
Carmel Equity Partners, et al. |
| 33-7980 |
Jun. 1, 2001 |
Carmel Equity Partners, et al. |
| 34-44380 |
Jun. 1, 2001 |
United Stock Transfer Inc. and John J. Donnelly |
| 34-44379 |
Jun. 1, 2001 |
Rockport Healthcare Group Inc., Harry M. Neer and Larry K. Hinson |
| IA-1947 |
Jun. 1, 2001 |
Michael T. Higgins |
| 34-44361 |
May 29, 2001 |
Vito Michael Randazzo |
| 34-44360 |
May 29, 2001 |
Michael P. Cilmi |
| 34-44359 |
May 29, 2001 |
Paul E. Colontino |
| 34-44358 |
May 29, 2001 |
Christopher J. Brand |
| 33-7979 |
May 24, 2001 |
Valentin L. Manglapus, II |
| 34-44350 |
May 24, 2001 |
Paul Nortman |
| 34-44346 |
May 24, 2001 |
Prime Capital Corporation |
| 34-44323 |
May 18, 2001 |
Troy W. Justus |
| 33-7978 |
May 17, 2001 |
Larry W. Tyler |
| 34-44313 |
May 17, 2001 |
Carolyn Birch Noonan |
| 34-44312 |
May 17, 2001 |
Dennis E. Ward |
| 34-44310 |
May 16, 2001 |
Michael Andrew Petrescu-Comnene |
| 34-44308 |
May 16, 2001 |
Microtest, Inc. |
| 33-7977 |
May 15, 2001 |
David C. Fannin |
| 33-7976 |
May 15, 2001 |
Sunbeam Corporation |
| 34-44284 |
May 9, 2001 |
Douglas E. Mallach |
| 34-44283 |
May 9, 2001 |
Guy P. Wyser-Pratte, Wyser-Pratte Management Co., Inc.and Wyser-Pratte and Co., Inc. |
| 34-44275 |
May 8, 2001 |
Roger Myatt |
| 34-44274 |
May 8, 2001 |
Edward E. Bao |
| 34-44270 |
May 7, 2001 |
Craig R. Clark, CPA |
| 34-44268 |
May 7, 2001 |
Joel R. Mogy Investment Counsel, Inc. and Joel R. Mogy |
| 34-44266 |
May 4, 2001 |
Richard A. Preisig, Jr. |
| 34-44265 |
May 4, 2001 |
R. Gordon Jones, CPA and Mark F. Jensen, CPA |
| 34-44264 |
May 4, 2001 |
Barry C. Scutilo, CPA, Mark F. Jensen, CPA, and R. Gordon Jones, CPA |
| 34-44263 |
May 4, 2001 |
Jeffrey A. Mansfield |
| 34-44262 |
May 4, 2001 |
Eugene J. Filippino |
| 34-44261 |
May 4, 2001 |
Richard S. Chancis, Michael J. Anton, Antonio R. Campos, Luis R. Loza and Wayne W. Schumacher |
| 33-7975 |
May 3, 2001 |
Robert J. Monski |
| 34-44255 |
May 3, 2001 |
Sunpoint Securities, Inc. |
| 34-44254 |
May 3, 2001 |
Mary Ellen Wilder |
| 34-44253 |
May 3, 2001 |
Van R. Lewis, III |
| 34-44252 |
May 3, 2001 |
Abraham Weitz |
| 34-44267 |
May 2, 2001 |
Glenn E. Lavender |
| 34-44247 |
May 2, 2001 |
Pat A. Rossetti, CPA |
| 34-44242 |
May 1, 2001 |
Dudley Mihran Freeland |
| 34-44241 |
May 1, 2001 |
John Romano |
| 34-44240 |
May 1, 2001 |
Joseph Bevacqua, CPA |
| 34-44229 |
Apr. 27, 2001 |
Arden Franklin, CPA |
| 34-44230 |
Apr. 27, 2001 |
Todd J. Lascola |
| 33-7974 |
Apr. 26, 2001 |
Weber Investment Corporation |
| 33-7973 |
Apr. 23, 2001 |
John S. Reger II, and Business & Financial Advisors, Inc. |
| 34-44204 |
Apr. 19, 2001 |
Cristan Kinnard Blackman and Charles Ray Roberts, Jr. |
| 34-44202 |
Apr. 19, 2001 |
Autolend Group, Inc. |
| 34-44193 |
Apr. 18, 2001 |
Bruce J. Kingdon, Kenneth Goglia, and Harvey Plante |
| 33-7972 |
Apr. 18, 2001 |
Shamrock Partners, Ltd., James T. Kelly, John R. Doyle, and Steven J. Fischer |
| 33-7971 |
Apr. 18, 2001 |
Shamrock Partners, Ltd.,James T. Kelly, John R. Doyle, and Steven J. Fischer |
| 34-44192 |
Apr. 17, 2001 |
Alpha Tech Stock Transfer and James W. Farrell |
| 33-7970 |
Apr. 17, 2001 |
Steven T. Snyder |
| IA-1938 |
Apr. 12, 2001 |
Mumtaz Saxena |
| 34-44170 |
Apr. 10, 2001 |
Sean T. Healey |
| 33-7969 |
Apr. 10, 2001 |
John Wellington Bagwell |
| 34-44074a |
Apr. 4, 2001 |
Bill J. Short, II |
| 33-7967 |
Apr. 3, 2001 |
Garry P. Isaacs |
| 33-7966 |
Apr. 3, 2001 |
Mark E. Gould and Jackson L. Morris |
| First Quarter |
| 34-44137 |
Mar. 30, 2001 |
Mark R. Avila and Stephen R. Keenum |
| 34-44136 |
Mar. 30, 2001 |
Carl M. Apel |
| 34-44132 |
Mar. 29, 2001 |
Michael P. Keating and Keating Advisory Group |
| 34-44130 |
Mar. 29, 2001 |
National Steel Corporation |
| 33-7965 |
Mar. 28, 2001 |
Kenzie, Inc., the Three Oaks Fund, L.P., the Three Oaks Advanced Fund, L.L.C., Alfred R. Gerebizza and Daniel H.Spitzer |
| 34-44105 |
Mar. 27, 2001 |
Jerome M. Wenger |
| IA-1933 |
Mar. 20, 2001 |
Frederick A. Wolf |
| 34-44056a |
Mar. 16, 2001 |
Lloyd E. Wollmershauser |
| 34-44081 |
Mar. 15, 2001 |
David J. Naughton |
| 34-44080 |
Mar. 15, 2001 |
Ronald L. Gaiser |
| 34-44075 |
Mar. 14, 2001 |
Richard C. Reining, Michael R. Tompkins, Stephen R. Rawlings and Joseph L. Hill |
| 34-44074 |
Mar. 14, 2001 |
Bill J. Short |
| 34-44072 |
Mar. 14, 2001 |
Kevin E. Orton, CPA, and Orton & Company |
| 34-44069 |
Mar. 13, 2001 |
Shirley A. McKinney |
| 34-44068 |
Mar. 13, 2001 |
Michael J. McEvoy |
| 34-44064 |
Mar. 12, 2001 |
Kevin E. Orton, CPA |
| 34-44056 |
Mar. 9, 2001 |
Lloyd E. Wollmershauser a/k/a The PennyStockMan |
| 33-7963 |
Mar. 8, 2001 |
Hunter Adams, Jason A. Cohen, Steven M. Cohen, David Hirsch, Jonathan D. Winston, John J. Gremmo, III, James L. Bila, Christian W. Blake, Louis R. Facchini, Jr., Roberto A. Mangiarano, Joseph P. Mannino, David M. Margules, James J. Pellizzi, David M. Pesso, Michael Pugliese, Christopher J. Russo, Howard I. Weinstein, and Robert J. Winston
Release Nos. 33-7963, 34-44051 |
| 34-44050 |
Mar. 8, 2001 |
KPMG Peat Marwick LLP |
| 33-7962 |
Mar. 6, 2001 |
Thermotek International Inc. and Harold D. Massner |
| 33-7961 |
Mar. 5, 2001 |
John Chapman and Alan Wolfson
Release Nos. 33-7961, 34-44041 |
| 33-7960 |
Mar. 5, 2001 |
Cary Cimino
Release Nos. 33-7960, 34-44040 |
| 34-44029 |
Mar. 2, 2001 |
William Goodhue |
| 33-7958 |
Mar. 2, 2001 |
Sy Siegel
Release Nos. 33-7958, 34-44028 |
| 33-7957 |
Mar. 1, 2001 |
Gamal Marwan
Release Nos. 33-7957, 34-44027 |
| 34-44024 |
Feb. 28, 2001 |
WallStreet Prophet and Ricky Laine Gaspard |
| 34-44023 |
Feb. 28, 2001 |
Log Point Technologies, Inc. and Samuel P. Shanks |
| 34-44022 |
Feb. 28, 2001 |
iBIZ Technology Corp. |
| 34-44016 |
Feb. 28, 2001 |
James F. Vigue and Ivy L. Gilbert
Release Nos. 34-44016, IA-1930 |
| 34-44015 |
Feb. 28, 2001 |
William H. Channell, Jr. |
| 33-7956 |
Feb. 28, 2001 |
Stuart Bockler and Imcadvisors Inc. |
| 34-44006 |
Feb. 27, 2001 |
Pakie V. Plastino |
| 34-43997 |
Feb. 23, 2001 |
Allan G. Schaefer |
| 33-7954 |
Feb. 22, 2001 |
Joseph Berryl Septimus |
| 34-43995 |
Feb. 22, 2001 |
Todd J. Lascola |
| 34-43990 |
Feb. 21, 2001 |
Stephen John Green |
| 34-43967 |
Feb. 15, 2001 |
David M. Bonrouhi |
| 34-43962 |
Feb. 14, 2001 |
Michael R. Ford, CPA |
| 34-43961 |
Feb. 14, 2001 |
George M. Lintz |
| 34-43960 |
Feb. 14, 2001 |
Howard M. Brenner |
| 33-7953 |
Feb. 14, 2001 |
Computron Software, Inc., currently named AXS-One Inc. |
| 33-7952 |
Feb. 14, 2001 |
Marketing Direct Concepts, Inc. and Michael A. Calderone |
| 33-7951 |
Feb. 9, 2001 |
Tariq Samad Khan
Release Nos. 33-7951, 34-43947 |
| 33-7950 |
Feb. 9, 2001 |
H. J. Meyers & Co., Inc., Robert Setteducati, William Masucci, Michael Vanechanos, and James Alan Villa |
| 33-7949 |
Feb. 9, 2001 |
H. J. Meyers & Co., Inc., Robert Setteducati, William Masucci, Michael Vanechanos, and James Alan Villa |
| 34-43942 |
Feb. 8, 2001 |
M. Mahmud Awan |
| 34-43937 |
Feb. 7, 2001 |
Daniel M. Porush |
| 34-43936 |
Feb. 7, 2001 |
Alan M. Stricoff |
| 33-7948 |
Feb. 7, 2001 |
Isaac Hager |
| 34-43923 |
Feb. 5, 2001 |
Secure Sign, Inc. (Formerly Yourbankonline.com), Pakie V. Plastinoand William L. Butcher C.P.A. |
| 34-43910 |
Jan. 31, 2001 |
Charles P. Morrison CPA |
| 34-43909 |
Jan. 31, 2001 |
Berkshire Hathaway, Inc. |
| 33-7947 |
Jan. 30, 2001 |
Prudential Securities, Incorporated |
| 34-43903 |
Jan. 30, 2001 |
Robert N. Young |
| 33-7945 |
Jan. 29, 2001 |
Prudential Securities Incorporated, Stuart P. Bianchi and John C.Burch |
| 34-43891 |
Jan. 26, 2001 |
John A. Blount, III |
| 34-43890 |
Jan. 26, 2001 |
Regard B.Smith |
| 34-43883 |
Jan. 25, 2001 |
Swart, Baumruk & Co., LLP, Harry J. Swart, CPA |
| 34-43881 |
Jan. 24, 2001 |
Michael Schuchard |
| 34-43878 |
Jan. 24, 2001 |
Ralph Glasgal |
| 33-7942 |
Jan. 23, 2001 |
Geoffrey A. Newman |
| 34-43850 |
Jan. 17, 2001 |
Mark Steven Lynch, CPA |
| 34-43845 |
Jan. 16, 2001 |
Nicholas Lobue
Release Nos. 34-43845, IA-1917 |
| 33-7934 |
Jan. 16, 2001 |
H. J. Meyers & Co., Inc., Robert Setteducati, Williams Masucci, Michael Vanchanos, and James Alan Villa
Release Nos. 33-7934 and 34-43844 |
| 34-43809 |
Jan. 4, 2001 |
Transcrypt International, Inc. |
| 34-43802 |
Jan. 4, 2001 |
Steven D. Pierrone |
| 34-43801 |
Jan. 4, 2001 |
Stephen B. Marek |
| 34-43800 |
Jan. 4, 2001 |
Dominic Roelandt |
| 34-43788 |
Jan. 3, 2001 |
Countryland Wellness, Inc. |
http://www.sec.gov/litigation/admin/adminarchive/adminarc2001.shtml
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