Administrative Proceedings Archive 2002

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

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Release No.	Date	Respondents
Fourth Quarter
34-47107	Dec. 30, 2002	Laurie Jones Canady
34-47102	Dec. 27, 2002	Gemisys Corporation and Stephen A. Finn
33-8172	Dec. 23, 2002	Robert A. Putnam Release Nos. 34-47083; AAER-1696
34-47079	Dec. 23, 2002	Jeffrey M. Goldberg
IA-2095	Dec. 23, 2002	Gordon J. Rollert
34-47074	Dec. 20, 2002	Kalman Renov
34-47073	Dec. 20, 2002	Vito Capotorto
34-47072	Dec. 20, 2002	Alan Stahler
34-47071	Dec. 20, 2002	Kenton Wood
34-47070	Dec. 20, 2002	D.H. Blair & Co., Inc.
34-47064	Dec. 20, 2002	Luis Martinez Release No.: IA-2094
34-47063	Dec. 20, 2002	Guillermo Wydler Release No.: IA-2093
34-47058	Dec. 19, 2002	Alexis Stock Transfer and Gina Ann Zapara
34-47051	Dec. 19, 2002	Erika D. Whitman
34-47050	Dec. 19, 2002	Stephen E. Sokoloff
34-47049	Dec. 19, 2002	John Tripp Sines, III
34-47048	Dec. 19, 2002	Christopher J. Richardson
34-47047	Dec. 19, 2002	Christopher D. Panza
34-47046	Dec. 19, 2002	Stacey Meyers
34-47045	Dec. 19, 2002	John J. Messina
34-47044	Dec. 19, 2002	Salvatore C. Marchiano
34-47043	Dec. 19, 2002	Stephen H. Kaplan
34-47042	Dec. 19, 2002	Vincent Caracciolo
33-8169	Dec. 19, 2002	A.S. Goldmen & Co., Inc., Anthony J. Marchiano, Stuart E. Winkler, John T. Diasabeyagunawardena (a.k.a. John Abbey), John P. Delcioppo, Christopher M. Delcioppo, Vincent J. Lia, Duane P. Taylor, and Charles Trento Release No.: 34-47041
33-8168	Dec. 19, 2002	A.S. Goldmen & Co., Inc., Anthony J. Marchiano, Stuart E. Winkler, John T. Diasabeyagunawardena (a.k.a. John Abbey), John P. Delcioppo, Christopher M. Delcioppo, Vincent J. Lia, Duane P. Taylor, and Charles Trento Release No.: 34-47040
33-8167	Dec. 19, 2002	A.S. Goldmen & Co., Inc., Anthony J. Marchiano, Stuart E. Winkler, John T. Diasabeyagunawardena (a.k.a. John Abbey), John P. Delcioppo, Christopher M. Delcioppo, Vincent J. Lia, Duane P. Taylor, and Charles Trento Release No.: 34-47039
33-8166	Dec. 19, 2002	A.S. Goldmen & Co., Inc., Anthony J. Marchiano, Stuart E. Winkler, John T. Diasabeyagunawardena (a.k.a. John Abbey), John P. Delcioppo, Christopher M. Delcioppo, Vincent J. Lia, Duane P. Taylor, and Charles Trento Release No.: 34-47038
33-8165	Dec. 19, 2002	A.S. Goldmen & Co., Inc., Anthony J. Marchiano, Stuart E. Winkler, John T. Diasabeyagunawardena (a.k.a. John Abbey), John P. Delcioppo, Christopher M. Delcioppo, Vincent J. Lia, Duane P. Taylor, and Charles Trento Release No.: 34-47037
33-8163	Dec. 16, 2002	Ira A. Gerard and Karen S. Harris Release No.: 34-47001, AAER-1692
34-47005	Dec. 16, 2002	e-Smart Technologies, Inc.
34-47004	Dec. 16, 2002	Hamilton Bancorp., Inc. Release No.: AAER-1693
34-47002	Dec. 16, 2002	Allen E. Weintraub and Florida Stock Transfer, Inc.
34-47000	Dec. 16, 2002	Mercator Software, Inc. Release No.: AAER-1691
IA-2092	Dec. 13, 2002	Millenium Capital Advisors of Pennsylvania, Inc. and Louis J. Sozio
34-46993	Dec. 13, 2002	Strata Coal Company (f/k/a WesPac Technologies Corp.) and Terrence A. Tecco
34-46991	Dec. 13, 2002	Frank Thomas Devine
34-46988	Dec. 12, 2002	Susan Moore Release No.: AAER-1689
33-8161	Dec. 11, 2002	Rodona Garst Release No.: 34-46987
33-8159	Dec. 10, 2002	John Vailati Release No.: 34-46978
34-46979	Dec. 10, 2002	Syncor International Corporation Release No.: AAER-1687
34-46970	Dec. 9, 2002	Mark May Release No.: IA-2090
34-46969	Dec. 9, 2002	Craig A. Herl Release No.: IA-2089
33-8155	Dec. 6, 2002	Harvey M. Burstein and James D. Loeffelbein Release No.: 34-46955
33-8158	Dec. 6, 2002	Betty L. Vinson, CPA Release No.: 34-46964, AAER-1686
33-8157	Dec. 6, 2002	David F. Myers Release Nos.: 34-46963, AAER-1685
33-8156	Dec. 6, 2002	Buford Yates, Jr. Release No.: 34-46962, AAER-1684
34-46954	Dec. 6, 2002	Elliot S. Fisher, Esq. Release No.: AAER-1681
34-46953	Dec. 6, 2002	Bruce B. Edmondson, CPA Release No.: AAER-1680
34-46952	Dec. 6, 2002	Birte Boock and Irwin Boock
34-46950	Dec. 5, 2002	Neoteric Group, Inc. formerly knowns as Voyager Group, Inc.
34-46945	Dec. 4, 2002	Thomas E. Hall
34-46937	Dec. 3, 2002	Deutsche Bank Securities, Inc., Goldman, Sachs & Co., Morgan Stanley & Co. Incorporated, Salomon Smith Barney Inc., and U.S. Bancorp Piper Jaffray Inc.
IA-2087	Nov. 27, 2002	Financial Asset Management, Inc., James B. Rader and Debra L. Kennedy Release Nos. 33-8153; 34-46928
33-8152	Nov. 27, 2002	William L. Bates Release Nos. IC-25837; IA-2086
34-46910	Nov. 26, 2002	Yezhak Dov Knoll
34-46909	Nov. 26, 2002	First Virtual Communications, Inc. Release No. AAER-1677
34-46908	Nov. 26, 2002	Michael Sullivan, CPA Release No. AAER-1676
34-46907	Nov. 26, 2002	Anicom, Inc. Release No. AAER-1675
34-46900	Nov. 25, 2002	Nils O. Johannesson
34-46899	Nov. 25, 2002	David C. Watt
34-46897	Nov. 25, 2002	Raytheon Company and Franklyn A. Caine
34-46896	Nov. 25, 2002	Siebel Systems, Inc.
34-46895	Nov. 25, 2002	Secure Computing Corporation and John McNulty
34-46880	Nov. 21, 2002	BDO International, Minas Ioannou, and Christakis Ioannou Release No. AAER-1672
34-46873	Nov. 21, 2002	Arjun Sekhri Release No. IA-2085
34-46871	Nov. 21, 2002	Sharad Kapoor Release No. IA-2084
33-8149	Nov. 21, 2002	Schwendiman Partners, LLC Release Nos. 34-46863; IA-2083
34-46870	Nov. 21, 2002	James A. Fitzhenry Release No. AAER-1670
34-46867	Nov. 21, 2002	Peter C. Restivo
34-46866	Nov. 21, 2002	Nicola A. Liantonio, Jr.
34-46865	Nov. 21, 2002	Cesare J. Iori, Jr.
34-46864	Nov. 21, 2002	Peter Restivo, Inc. d/b/a U.S. Funding
34-46856	Nov. 20, 2002	Enrique E. Perusquia
34-46854	Nov. 20, 2002	Rodolfo Luzardo
34-46845	Nov. 18, 2002	Michael G. Horsey, CPA, Michael D. Watson, CPA, and Sallie D. Feldman, CPA Release No.: AAER-1667
34-46842	Nov. 18, 2002	J. Charles Reives Release No.: IA-2082
33-8148	Nov. 14, 2002	Jeffrey R. Patterson and Terrance Turman Release Nos. 34-46838; IA-2081
34-46837	Nov. 14, 2002	David E. Morris
34-46836	Nov. 14, 2002	James Silver
33-8146	Nov. 13, 2002	Ernst & Young LLP Release Nos. 34-46821, AAER-1661
34-46813	Nov. 12, 2002	Stephen R. Becker, C.P.A.
IA-2080	Nov. 8, 2002	Dennis S. Herula
IA-2079	Nov. 8, 2002	Gintel Asset Management, Inc., Gintel & Co. LLC, Robert M. Gintel, and Stephen G. Stavrides
IA-2078	Nov. 8, 2002	Robert C. Sears
34-46791	Nov. 8, 2002	Robert F. Curley
34-46777	Nov. 6, 2002	Frederick W. Kolling III, CPA Release No. AAER-1659
34-46775	Nov. 5, 2002	Max C. Tanner, Esq.
34-46773	Nov. 5, 2002	Salman Shariff Release No. IA-2077
34-46770	Nov. 5, 2002	U.S. Bancorp Piper Jaffray Inc.
33-8143	Nov. 4, 2002	William M. Stephens Release Nos. 34-46766; IA-2076
34-46754	Oct. 31, 2002	Greater Northwest Research & Development Group, Inc.
34-46749	Oct. 30, 2002	Sidney A. Johnson and Leslie H. Fleishman
34-46748	Oct. 30, 2002	J. Charles Reives Release No. IA-2073
IA-2074	Oct. 30, 2002	John Raymond Linney Clain
IA-2072	Oct. 29, 2002	Craig P. Scanlon
33-8141	Oct. 29, 2002	Kenneth D. Ough Release No. 34-46736
IA-2071	Oct. 25, 2002	Paul J. House and Brandon R. Moore
IA-2070	Oct. 25, 2002	Back Bay Advisors, L.P.
IA-2069	Oct. 25, 2002	Edgar M. Reed
34-46715	Oct. 24, 2002	Ambassador Eyewear Group, Inc.
34-46694	Oct. 21, 2002	Aaron Chaitovsky and Robert Glass Release No.: AAER-1652
IA-2068	Oct. 21, 2002	Stevin R. Hoover and Hoover Capital Management, Inc.
34-46687	Oct. 21, 2002	Joseph Randolph Belew
34-46665	Oct. 16, 2002	Louis M. Lazorwitz Release No.: IA-2067
34-46634	Oct. 10, 2002	J. Mark Samper, CPA Release No.: AAER-1649
34-46627	Oct. 9, 2002	Jean-Paul Bolduc, Brian J. Smith, C.P.A., Richard N. Sukenik, C.P.A., Philip J. Ryan III,Constantine L. Hampers, A. Miles Nogelo, and Robert W. Armstrong III, C.P.A Release No. AAER-1646
34-46626	Oct. 9, 2002	Las Vegas Entertainment Network, Inc.
34-46623	Oct. 8, 2002	Joseph J. Shew, CPA Release No. AAER-1645
34-46622	Oct. 8, 2002	John Giesecke Jr., CPA Release No. AAER-1644
33-8137	Oct. 8, 2002	John Christopher McCamey and Sierra Equity Partners, LP. Release No. 34-46621
34-46608	Oct. 7, 2002	Michael Nicolaou
34-46584	Oct. 2, 2002	Michael Ploshnick Release No.: IA-2066
33-8136	Oct. 2, 2002	The Thurlow Funds, Inc., Thurlow Capital Management, Inc. and Thomas F. Thurlow Release Nos.: IA-2065; IC-25761
IA-2064	Oct. 1, 2002	Renberg Capital Management, Inc. and Daniel H. Renberg
34-46578	Oct. 1, 2002	Dean Witter Reynolds Inc., n/k/a Morgan Stanley DW, Inc., Mark Rodgers, and Paul Grande
Third Quarter
34-46574	Sep. 30, 2002	Alfred M. Lemcke Release No.: IA-2063
33-8135	Sep. 30, 2002	FLIR Systems, Inc. Release Nos.: 34-46573; AAER-1637
34-46570	Sep. 30, 2002	Brett R. Mallory
34-46565	Sep. 27, 2002	Bruce D. Le Duc Release No.: IA-2062
34-46558	Sep. 26, 2002	Ambassador Eyewear Group, Inc.
34-46550	Sep. 25, 2002	Gary Salter
34-46538	Sep. 24, 2002	Basic Capital Management, Inc., Nevada Sea Investments, Inc., International Health Products, Inc., One Realco Corporation, TacCO Financial, Inc. and Gene E. Phillips
34-46536	Sep. 24, 2002	Kfir Barzilay, Yan Dikshteyn, Boris Fidler, Lawrence Pross, and Eugene Beigelman
33-8134	Sep. 24, 2002	Dynegy Inc.
33-8133	Sep. 24, 2002	Martin P. Joswick
IA-2061	Sep. 23, 2002	Oxford Capital Management, Inc. and John G. Danz, Jr.
33-8132	Sep. 23, 2002	Tyrone Killebrew
34-46526	Sep. 20, 2002	Donald D. Lukens
34-46516	Sep. 20, 2002	Joseph Orlando and Victor Samaha
34-46510	Sep. 18, 2002	Robert F. Curley
34-46504	Sep. 17, 2002	Louis M. Lazorwitz
IA-2057	Sep. 17, 2002	John Raymond Linney Clain
34-46500	Sep. 16, 2002	Enrique E. Perusquia
34-46499	Sep. 16, 2002	Richard Mann
34-46497	Sep. 13, 2002	Adrien Arpel, Inc.
33-8129	Sep. 12, 2002	Americorp Securities, Inc., and Drew Edgar Schaefer Release No.: 34-46493
34-46478	Sep. 10, 2002	Shawn F. Hackman
34-46470	Sep. 6, 2002	R&RX Group, Inc., f/k/a Neoteric Group, Inc.
34-46465	Sep. 6, 2002	NetAir.com, Inc.
IA-2055	Sep. 4, 2002	Davis Selected Advisers-NY, Inc.
34-46447	Sep. 3, 2002	John Cook
IA-2053	Sep. 3, 2002	Vanderbilt Capital Advisors LLC
33-8127	Sep. 3, 2002	Leslie Arouh Release No.: 34-46450
33-8126	Sep. 3, 2002	Harvey I. Rubinstein Release No.: 34-46449
33-8125	Sep. 3, 2002	Keith J. Mauney Release No.: 34-46448
IA-2051	Aug. 30, 2002	Thomas M. Durkin
IA-2050	Aug. 30, 2002	John E. Orin, Jr.
34-46445	Aug. 30, 2002	SCB Computer Technology, Inc. Release No.: AAER-1622
34-46442	Aug. 30, 2002	James Murphy, C.P.A. Release No.: AAER-1620
34-46431	Aug. 29, 2002	Monica Lynn Coleman Release No.: IA-2049
IA-2048	Aug. 28, 2002	Market Timing Systems, Inc., Gregory L. Meadors, and Mark F. Shinnick
IA-2047	Aug. 28, 2002	Market Timing Systems, Inc., Gregory L. Meadors, and Mark F. Shinnick
34-46426	Aug. 28, 2002	Joseph Randolph Belew
34-46424	Aug. 28, 2002	Chimneyville Investments Group, Inc.
34-46423	Aug. 28, 2002	Michael J. Christie
34-46420	Aug. 27, 2002	Ives Health Company, Inc.
34-46408	Aug. 23, 2002	William M. Ucherek
34-46388	Aug. 21, 2002	NorthStar Network, Inc.
34-46387	Aug. 20, 2002	Gregory A. Hinkson
33-8122	Aug. 16, 2002	Kurt D. Saliger, CPA Release No.: AAER-1615
34-46359	Aug. 15, 2002	Roger Fan
34-46358	Aug. 15, 2002	Joseph Orlando and Victor Samaha
34-46342	Aug. 13, 2002	Mark A. Taylor, Sr., and Kevin J. Ruggiero
33-8121	Aug. 13, 2002	RBC Dain Rauscher Incorporated, as successor to Rauscher Pierce Refsnes, Inc. Release No.: 34-46346
34-46336	Aug. 12, 2002	Joao P. Santos
IA-2046	Aug. 12, 2002	Michael L. Smirlock
33-8120	Aug. 9, 2002	Arthur Lee Kunes
34-46322	Aug. 8, 2002	Edward T. Creevy Release No.: AAER-1612
34-46317	Aug. 6, 2002	James A. Nies
33-8118	Aug. 2, 2002	Gas and Oil Technologies, Inc., Ingrid Aliet-Gass and Glen Morinaka, CPA Release No.: 34-46302; AAER-1608
34-46291	Aug. 1, 2002	Richard P. Bellinger, Jack P. Bates, and Stephen S. Winslett Release No.: AAER-1604
34-46290	Aug. 1, 2002	David Friend, CPA Release No.: AAER-1603
34-46286	Jul. 31, 2002	NetAir.com Inc.
34-46285	Jul. 31, 2002	AremisSoft Corporation
33-8117	Jul. 30, 2002	Consortium Investments, Ltd., P. Chad Castle, and James David Groce Release No.: 34-46281; IA-2045
34-46283	Jul. 30, 2002	NewCom, Inc.
34-46279	Jul. 29, 2002	Johann M. Smith
34-46278	Jul. 29, 2002	John J. Savarese
34-46277	Jul. 29, 2002	Mark R. Savarese
34-46276	Jul. 29, 2002	Michael D. Richmond
34-46273	Jul. 29, 2002	Eric C. Brown Release No.: AAER-1602
34-46271	Jul. 26, 2002	Tradamax Group, Inc. Release No.:
33-8115	Jul. 26, 2002	Fonecash, Inc.
34-46254	Jul. 25, 2002	Oxford Health Plans, Inc., Andrew B. Cassidy, and Brendan R. Shanahan Release No.: AAER-1600
33-8113	Jul. 24, 2002	Rodona Garst Release No.: 34-46246
34-46247	Jul. 24, 2002	Richard Mann
34-46242	Jul. 22, 2002	George Lafauci
34-46241	Jul. 22, 2002	Alan S. Lipstein
34-46240	Jul. 22, 2002	George Carapella
34-46230	Jul. 19, 2002	Hightec, Inc.
34-46226	Jul. 18, 2002	Knight Securities, L.P.
33-8112	Jul. 18, 2002	PNC Financial Services Group, Inc.
34-46217	Jul. 17, 2002	Ronald K. Mahabir
34-46216	Jul. 17, 2002	PricewaterhouseCoopers LLP, and PricewaterhouseCoopers Securities LLC
34-46215	Jul. 17, 2002	Avon Products, Inc.
34-46206	Jul. 15, 2002	Jean-Paul Bolduc, Brian J. Smith, C.P.A., Richard N. Sukenik, C.P.A., Philip J. Ryan III, Constantine L. Hampers, A. Miles Nogelo, and Robert W. Armstrong III, C.P.A. Release No.: AAER-1594
34-46205	Jul. 15, 2002	Jean-Paul Bolduc, Brian J. Smith, C.P.A., Richard N. Sukenik, C.P.A., Philip J. Ryan III, Constantine L. Hampers, A. Miles Nogelo, and Robert W. Armstrong III, C.P.A. Release No.: AAER-1593
34-46204	Jul. 15, 2002	Thomas Cavallino and Oakwood Securities, Inc.
34-46203	Jul. 15, 2002	Edward J. Mueger
34-46202	Jul. 15, 2002	Thomas Bock
34-46201	Jul. 15, 2002	William S. Killeen
34-46200	Jul. 15, 2002	James A. Nies
34-46199	Jul. 15, 2002	John Adams, Jr., et al.
33-8111	Jul. 11, 2002	Schwendiman Partners, LLC, Gary Schwendiman, and Todd G. Schwendiman Release No.: 34-46184; IA-2043
IA-2042	Jul. 10, 2002	Edward F. Gobora
33-8110	Jul. 9, 2002	Gerald Cohn
34-46177	Jul. 10, 2002	Steven C. Veen, CPA Release No.: AAER 1591
34-46175	Jul. 9, 2002	Glen P. Duffy, CPA Release No.: AAER-1590
34-46174	Jul. 9, 2002	Gregory D. Norton Release No.: AAER-1589
34-46173	Jul. 9, 2002	Raphael "Ray" Levy,
34-46172	Jul. 9, 2002	Thomas F. Wraback, CPA
34-46171	Jul. 9, 2002	Joseph E. Erwin
34-46158	Jul. 2, 2002	David Rubinov
34-46157	Jul. 2, 2002	Peter D. Stewart, C.A., John L. Harbor, C.A., and David Chopping, C.A. Release No.: AAER-1587
34-46156	Jul. 2, 2002	Scott Schoenbauer
34-46151	Jul. 1, 2002	Charles Edward Dickerson
34-46150	Jul. 1, 2002	Terrance Michael O'Donohue Release No.: IA-2041
Second Quarter
34-46142	Jun. 28, 2002	Andrew P. Bodnar
34-46130	Jun. 27, 2002	Moret Ernst & Young Accountants, n/k/a Ernst & Young Accountants Release No.: AAER-1584
34-46121	Jun. 26, 2002	Donna N. Morehead
IA-2040	Jun. 26, 2002	William F. Branston
34-46118	Jun. 25, 2002	Steven Shane Nichols
34-46109	Jun. 25, 2002	John Adams, Jr., et al.
34-46108	Jun. 25, 2002	Benjamin C. Snyder
34-46107	Jun. 24, 2002	Michael Anthony Lester
34-46105	Jun. 24, 2002	The S.I.N.C.L.A.R.E. Group, Inc.
33-8108	Jun. 24, 2002	Investment Technology, Inc.
34-46100	Jun. 21, 2002	Timothy J. Noonan Release No.: AAER-1580
34-46099	Jun. 21, 2002	Rite Aid Corporation Release No.: AAER-1579
IA-2038	Jun. 20, 2002	Portfolio Advisory Services, LLC, and Cedd L. Moses
34-46094	Jun. 20, 2002	Peter P. Tarangelo Release No.: IA-2037
34-46089	Jun. 18, 2002	Seth Miller
34-46088	Jun. 18, 2002	Fifth Third Securities, Inc.
34-46087	Jun. 18, 2002	Fifth Third Securities, Inc.
34-46083	Jun. 17, 2002	James W. Spratt III
34-46081	Jun. 17, 2002	Performance Analytics, Inc., and Leslie I. Golembo Release Nos.: IA-2036; IC-25615
34-46080	Jun. 17, 2002	Jeffrey Dene Leader
34-46074	Jun. 12, 2002	Sara Gomez de Ferro
34-46068	Jun. 12, 2002	Douglas C. Brandon, Esq.
34-46063	Jun. 12, 2002	John Adams, Jr., et al.
IA-2035	Jun. 12, 2002	Deprince, Race & Zollo, Inc., and John D. Race
34-46052	Jun. 10, 2002	Ashford.com, Inc., Kenneth E. Kurtzman, Brian E. Bergeron andAmazon.com, Inc.
34-46051	Jun. 10, 2002	Edward Neel Cox, Joseph Lee Covington, Billy Wayne Sparkman, Stephen T. Hoyle, Charles F. Johnson, Randy J. Post, Danny R. Mayfield, and Benny Armond Sides
33-8105	Jun. 7, 2002	Gerald S. Papazian Release No.: 34-46048; AAER-1572
33-8104	Jun. 7, 2002	Korea Data Systems USA, Inc., Lap Shun (John) Hui, and Bun (Ben) Wong Release No.: 34-46047; AAER-1571
34-46039	Jun. 6, 2002	Josephthal & Co., Inc.
34-46035	Jun. 5, 2002	John K. Bradley Release No.: AAER-1568
33-8103	Jun. 5, 2002	James E. Slayton, CPA Release No.: 34-46034, AAER-1567
34-46033	Jun. 5, 2002	James E. Slayton, CPA Release No.: AAER-1566
34-46031	Jun. 5, 2002	Katrina Krug, CPA Release No.: AAER-1565
34-46030	Jun. 5, 2002	Advanced Technical Products, Inc., James S. Carter, and Garrett L. Dominy Release No.: AAER-1564
34-46017	Jun. 3, 2002	Microsoft Corporation Release No.: AAER-1563
IA-2034	May 30, 2002	Alexis A. Arlett
34-45964	May 20, 2002	Ernst & Young
34-45962	May 20, 2002	Legato Systems, Inc. and Stephen Wise
34-45961	May 20, 2002	Kfir Barzilay, Yan Dikshteyn, Boris Fidler, Lawrence Pross, and Eugene Beigelman
34-45941	May 16, 2002	Dennis M. Gaito, CPA
33-8100	May 15, 2002	Bruce E. Straughn
34-45940	May 15, 2002	Joseph E. Erwin
34-45925	May 14, 2002	Edison Schools, Inc.
34-45917	May 13, 2002	John Adams, JR., et al.
34-45888	May 7, 2002	Steven S. Goldberg
34-45880	May 6, 2002	Anicom, Inc.
34-45878	May 3, 2002	Erich A. Kline Release No.: IA-2033
34-45874	May 3, 2002	Gemisys Corporation
34-45870	May 3, 2002	Lone Star Transfer, Inc. and Stanley P. Eisenberg
34-45856	May 1, 2002	Christina Skousen
34-45853	May 1, 2002	Michael A. Kolberg and Dale E. Huizenga
34-45852	May 1, 2002	Serologicals Corporation, Inc.
33-8096	Apr. 29, 2002	Andrew P. Bodnar
34-45841	Apr. 29, 2002	John Adams, Jr., et al.
34-45826	Apr. 26, 2002	Surety Capital Corporation
34-45822	Apr. 25, 2002	Hightec, Inc.
34-45821	Apr. 25, 2002	S.I.N.C.L.A.R.E. Group, Inc.
34-45820	Apr. 25, 2002	William L. Haynes
33-8094	Apr. 24, 2002	J.W. Barclay & Co., Inc., et al. Release No.: 34-45815
34-45814	Apr. 24, 2002	Kenneth W. Haver, CPA
34-45806	Apr. 24, 2002	Hugo Salvador Villa Manzo Release No.: IA-2031
34-45802	Apr. 23, 2002	John Adams, Jr., et al.
34-45797	Apr. 22, 2002	Michael R. Drogin, CPA
33-8093	Apr. 22, 2002	Teltran International Group, Ltd. Release No.: 34-45796
33-8092	Apr. 22, 2002	Investment Technology, Inc.
34-45785	Apr. 19, 2002	Laurie Jones Canady
IA-2029	Apr. 18, 2002	James Oh
34-45776	Apr. 18, 2002	H. Dalton Davlin
34-45767	Apr. 17, 2002	John Adams, Jr., et al.
34-45743	Apr. 12, 2002	ND Money Management, Inc., RansonCapital Corporation, Robert E. Walstad and Monte L. Avery
34-45735	Apr. 11, 2002	Mark W. Lancaster
33-8086	Apr. 11, 2002	Delores Easthom
33-8085	Apr. 11, 2002	Wayne Miller Release No.: 34-45738
33-8084	Apr. 10, 2002	Ronald Nelson Weems Release No.: 34-45724
33-8083	Apr. 10, 2002	Darrell Flanders and South West Trading Diversities, Inc. Release No.: 34-45723
34-45722	Apr. 10, 2002	Lee E. Gahr
33-8082	Apr. 9, 2002	Harvey M. Burstein and James D. Loeffelbein Release No.: 34-45716
33-8081	Apr. 9, 2002	Harvey M. Burstein and James D. Loeffelbein Release No.: 34-45715
33-8080	Apr. 8, 2002	Roundhill Securities, Inc., Robert J. Holub, Robert S. Minka, Sunil F. De Silva and Braxton G. Grizzard Release No.: 34-45705
33-8079	Apr. 8, 2002	FoneCash, Inc.
34-45697	Apr. 5, 2002	Rajiv Vohra
34-45690	Apr. 4, 2002	Joao P. Santos
34-45689	Apr. 4, 2002	John Adams, Jr., Ronald Bongo, Samuel Del Presto, Sean Hart, Curtis Marchand, III, Michael McDermott, Palmer Myers, David Nelson, Daniel Petronelli, Gary Smolokoff, Malik Tawil, Lawrence Weil, and Neil White
34-45683	Apr. 2, 2002	David A. Thatcher
IA-2026	Apr. 1, 2002	Thomas J. Kearns
First Quarter
34-45669	Mar. 28, 2002	Edward Thomas Jung and E. Thomas Jung Partners, Ltd., also d/b/a ETJ Partners, Ltd. Release No.: IA-2025
34-45666	Mar. 28, 2002	David T. Dodge
34-45665	Mar. 28, 2002	PictureTel Corp. and Les B. Strauss
34-45655	Mar. 27, 2002	Signal Technology Corporation
33-8077	Mar. 25, 2002	Robert A. Papariella, Harvest Financial Corporation and Frank D. Ruscetti Release No.: 34-45637
34-45653	Mar. 27, 2002	Kimberly-Clark Corporation and John W. Donehower
34-45646	Mar. 26, 2002	Edward J. Muller
33-8076	Mar. 26, 2002	Douglas E. Costa Release No.: 34-45636
33-8075	Mar. 25, 2002	First Florida Communications, Inc. Release No.: 34-45635
IA-2023	Mar. 22, 2002	Stan D. Kiefer & Associates and Stanley D. Kiefer
34-45615	Mar. 21, 2002	Uri Evan, Joseph S. Cohen, and Frederick J. Horowitz
34-45614	Mar. 21, 2002	Daniel Parker
34-45613	Mar. 21, 2002	Harlan Schier
34-45612	Mar. 21, 2002	Frank Valdez
34-45611	Mar. 21, 2002	Keith Spero
34-45610	Mar. 21, 2002	Oleg Feldman
33-8073	Mar. 21, 2002	Financial Asset Management, Inc., James B. Rader and Debra L. Kennedy Release Nos.: 34-45608, IA-2022
34-45600	Mar. 20, 2002	Jeremiah J. Hegarty and Michael P. Hegarty Release No.: IA-2020
34-45599	Mar. 20, 2002	David E. Fitzgerald
34-45596	Mar. 20, 2002	Lisa M. Beuche, CPA
IA-2019	Mar. 19, 2002	Henry Weingarten
34-45588	Mar. 18, 2002	Elaine A. Decker, CPA
34-45587	Mar. 18, 2002	David Held, CPA
34-45586	Mar. 18, 2002	Timothy S. Heyerdahl
34-45583	Mar. 18, 2002	Frank J. Fasano and Arthur Bruce Bahlav
34-45582	Mar. 18, 2002	Frank J. Fasano and Arthur Bruce Bahlav
34-45565	Mar. 15, 2002	Ronald N. Pellett and Penny A. Sperry
34-45564	Mar. 15, 2002	Mark E. Rice
34-45555	Mar. 13, 2002	Bruce E. Straughn
34-45553	Mar. 12, 2002	IGI, Inc.
34-45552	Mar. 12, 2002	Donald J. MacPhee
34-45551	Mar. 12, 2002	William A. Dickson and Stephen P. Collins
34-45550	Mar. 12, 2002	Frederick W. Kolling, III, CPA
34-45549	Mar. 12, 2002	Victor R. Grauaug
33-8069	Mar. 8, 2002	Platinum Equities, Inc., Blackheath & Kent Holdings, Inc., John J. Kenny, and Pasquale Forti Release No.: 34-45520
33-8068	Mar. 7, 2002	Facundo Ponce Release No.: 34-45512
34-45510	Mar. 6, 2002	John W. Cruickshank, Jr.
33-8067	Mar. 6, 2002	James E. Slayton, CPA Release No.: 34-45509
34-45507	Mar. 5, 2002	Telxon Corporation, Gary L. Grand, and James G. Cleveland
34-45502	Mar. 5, 2002	Kevin R. Andersen
34-45498	Mar. 4, 2002	Ellsworth Wayne McLaws and Alan Clagg
34-45491	Mar. 1, 2002	Robert E. Duke
34-45486	Feb. 28, 2002	Christopher P. Roach and East West Institutional Services, Inc. Release No.: IA-2016
34-45485	Feb. 28, 2002	Frank Lee Harris III
34-45474	Feb. 25, 2002	David B. Gosse
IA-2015	Feb. 22, 2002	Eugene B. Deveney
34-45465	Feb. 21, 2002	Delta Equity Services Corporation and Raymond L. Grenier, Jr.
34-45473	Feb. 25, 2002	Edward Alexander
34-45463	Feb. 20, 2002	Nigel A. Ramsay
34-45461	Feb. 20, 2002	Mark McDermott
34-45460	Feb. 20, 2002	Norwest Investment Services, Inc., now known as Wells Fargo Brokerage Services, LLC, successor by merger
34-45459	Feb. 20, 2002	Russell C. Turek
34-45458	Feb. 20, 2002	JDN Realty Corporation
34-45455	Feb. 15, 2002	John Adams, Jr., Ronald Bongo, Samuel Del Presto, Sean Hart, Curtis Marchand, III, Michael Mcdermott, Palmer Myers, David Nelson, Daniel Petronelli, Gary Smolokoff, Malik Tawil, Lawrence Weil, and Neil White
34-45446	Feb. 14, 2002	Robert Shane Jones
34-45445	Feb. 14, 2002	Craig Wiginton
34-45441	Feb. 13, 2002	William H. Warner and Robert J. Quigley Release No.: AAER-1505
IA-2014	Feb. 13, 2002	Craig P. Scanlon
34-45409	Feb. 6, 2002	Edward Bracken and Douglas Diggins
34-45408	Feb. 6, 2002	Alefheim Prodani
34-45407	Feb. 6, 2002	Richard Silverman
33-8062	Feb. 6, 2002	Pryor, McClendon, Counts & Co., Inc., n/k/a Pryor, Counts & Co., Inc., Raymond J. McClendon, Allen W. Counts, and Theresa A. Stanford, Release No.: 34-45402
34-45393	Feb. 5, 2002	Critical Path, Inc.
34-45381	Feb. 1, 2002	Garri Zhigun
34-45380	Feb. 1 2002	Bernadette Stevens, aka Bernadette Stevens Bell
34-45372	Jan. 31, 2002	Thomas A. Carrey and Frank Marsella
34-45362	Jan. 30, 2002	Cyberguard Corporation, William D. Murray, Tommy D. Steele
IA-2012	Jan. 30, 2002	Rupay-Barrington Capital Management, Inc.
34-45356	Jan. 29, 2002	Thomas A. Carey and Frank Marsella
IA-2011	Jan. 24, 2002	United Custodial Corporation
33-8060	Jan. 24, 2002	Gregory F. Mazzeo Release No.: 34-45329
33-8059	Jan. 24, 2002	iCapital Markets LLC Release No.: 34-45328
33-8058	Jan. 24, 2002	Eric V. Schultz Release Nos.: 34-45327, IC-25400
33-8057	Jan. 23, 2002	BNB Capital, Inc. and Vincent W. Beale, Sr. Release No.: 34-45324
33-8055	Jan. 18, 2002	Raymond A. Parkins, Jr. Release Nos.: 34-45314, IA-2010
34-45298	Jan. 17, 2002	Daniel Patrick O'Connell
34-45296	Jan. 16, 2002	Jerry Lynn Ruyle
34-45294	Jan. 16, 2002	Woody Keith Lowe
34-45293	Jan. 16, 2002	Kurtis Keith Lowe
34-45292	Jan. 16, 2002	Robert Alen Blackburn
34-45287	Jan. 16, 2002	Trump Hotels & Casino Resorts, Inc.
34-45280	Jan. 15, 2002	Nelson Barber, CPA
34-45279	Jan. 15, 2002	BellSouth Corporation
33-8054	Jan. 14, 2002	Art H. Beroff
34-45272	Jan. 14, 2002	KPMG LLP Release No.: IC-25360
34-45245	Jan. 7, 2002	James E. Slayton
34-45243	Jan. 7, 2002	Carol Conway Dewees
33-8053	Jan. 7, 2002	California Software Corporation Release No.: 34-45242
IC-25356	Jan. 4, 2002	Merrimac Advisors Company and Fredric J. French Release No.: IA-2009
33-8052	Jan. 3, 2002	Financial Asset Management, Inc., James B. Rader and Debra L. Kennedy Release Nos.: 34-45224, IA-2007
IA-2006	Jan. 2, 2002	Reed E. Slatkin
33-8051	Jan. 2, 2002	Thomas J. Palazzolo Release No.: 34-45228

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