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Administrative Proceedings Archive 1999
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 |
34-42278 |
Dec. 27, 1999 |
Robert A. Schatz |
34-42277 |
Dec. 27, 1999 |
Brad Haddy and Ronald D. Spencer |
34-42276 |
Dec. 27, 1999 |
John F. LaSala |
34-42275 |
Dec. 27, 1999 |
Ronald A. Martini |
IA-1849 |
Dec. 22, 1999 |
Michael T. Sullivan, III |
IA-1848 |
Dec. 22, 1999 |
Scudder Kemper Investments, Inc. and Gary Paul Johnson |
34-42262 |
Dec. 21, 1999 |
Peachtree Stock Transfer and Robert J. Crain, Jr. |
34-42261 |
Dec. 21, 1999 |
Taft Womack and Frank Gaines |
34-42245 |
Dec. 17, 1999 |
Robert J. Strauss |
34-42244 |
Dec. 17, 1999 |
John H. Kim Release Nos. 33-7786, 34-42244 |
34-42243 |
Dec. 17, 1999 |
Alan B. Schlussel Release Nos. 33-7785, 34-42243 |
34-42237 |
Dec. 15, 1999 |
Brian D. O'Toole, d/b/a O'Toole Capital Management, Spectrum Securities Inc., and Steven D. Pirrone |
34-42234 |
Dec. 14, 1999 |
William A. Fain, Jr. |
34-42229 |
Dec. 14, 1999 |
Jose E. Rivera, CPA |
33-7784 |
Dec. 10, 1999 |
Michael L. Pitts |
33-7783 |
Dec. 10, 1999 |
Richard J. Michael |
34-42211 |
Dec. 9, 1999 |
Ronald A. Knittle and Gregory G. Vernon |
34-42206 |
Dec. 7, 1999 |
Scott A. Rude |
34-42204 |
Dec. 6, 1999 |
Paschal Gene Allen |
34-42199 |
Dec. 3, 1999 |
Paul Thomas Fink, C.P.A. Release Nos. 33-7782, 34-42199 |
34-42197 |
Dec. 2, 1999 |
Virginia Horler |
34-42196 |
Dec. 2, 1999 |
Thomas Gaeton Scalzo, Jr. |
34-42182 |
Nov. 29, 1999 |
Eugene K. Laff |
34-42181 |
Nov. 29, 1999 |
Lawrence Caito |
34-42172 |
Nov. 23, 1999 |
Rodger Evans Rees |
33-7781 |
Nov. 23, 1999 |
Americorp Securities, Inc. and Drew Edgar Schaefer |
33-7780 |
Nov. 22, 1999 |
Windswept Environmental Group, Inc. |
34-42158 |
Nov. 19, 1999 |
Kenneth R. Starnes |
34-42157 |
Nov. 19, 1999 |
Michael J. Hooper, CPA |
33-7779 |
Nov. 18, 1999 |
Minotaur Capital, Inc. and David J. Feingold |
33-7778 |
Nov. 17, 1999 |
BT Alex. Brown Incorporated |
33-7777 |
Nov. 17, 1999 |
HDI, Inc. and. Dennis E. Thiemann |
33-7776 |
Nov. 17, 1999 |
JMS Associates, Inc. and John M. Seidman |
34-42140 |
Nov. 16, 1999 |
City of Anaheim, City of Irvine, Irvine Unified School District, North Orange County Community College District, and Orange County Board of Education |
34-42139 |
Nov. 15, 1999 |
The Cronos Group |
34-42125 |
Nov. 10, 1999 |
Joseph Salamon |
34-42124 |
Nov. 10, 1999 |
Jimmy L. Duckworth, CPA |
34-42109 |
Nov. 5, 1999 |
Jethro J. Barlow, CPA, Alan K. Burton, J. Edwards Cox, Robert G. Weeks, David A. Hesterman, and Kenneth L. Weeks |
34-42107 |
Nov. 4, 1999 |
Jerry C. Berman |
34-42106 |
Nov. 4, 1999 |
Lawrence J. Penna, Herman Epstein and Douglas J. Mangan |
34-42105 |
Nov. 4, 1999 |
Andrew Bressman, Roman Okin, Richard Acosta, Richard Simone, Burton Blank, Mark Goldman and Jack Wolynez |
34-42104 |
Nov. 4, 1999 |
Andrew Bressman, Roman Okin, Richard Acosta, Richard Simone, Burton Blank, Mark Goldman and Jack Wolynez |
34-42103 |
Nov. 4, 1999 |
Andrew Bressman, Roman Okin, Richard Acosta, Richard Simone, Burton Blank, Mark Goldman and Jack Wolynez |
34-42097 |
Nov. 4, 1999 |
Michael W. Rehtorik |
34-42096 |
Nov. 4, 1999 |
Jean-Paul Bolduc, Brian J. Smith, CPA, Richard N. Sukenik, CPA, Philip J. Ryan III, Constantine L. Hampers, A. Miles Nogelo, and Robert W. Armstrong III, CPA |
34-42085 |
Nov. 1, 1999 |
Jamie T. Tsutsui |
34-42084 |
Nov. 1, 1999 |
Lawrence A. Petersen |
IA-1844 |
Nov. 1, 1999 |
Apodaca Investment Group, Inc., Brower Financial Services, Inc., Ethical Investments, Inc., Ronald Allan McDow, Van Cleef Asset Management, Inc. and WWW Advisors, Inc |
34-42083 |
Nov. 1, 1999 |
Robert J. Carucci and R.M. Carucci Corp. |
34-42082 |
Nov. 1, 1999 |
Jeffrey L. Harfst,William R. Hebel and Joseph E. Muehl |
34-42080 |
Nov. 1, 1999 |
Jeffrey L. Harfst,William R. Hebel and Joseph E. Muehl |
34-42079 |
Nov. 1, 1999 |
Jeffrey L. Harfst,William R. Hebel and Joseph E. Muehl |
34-41069 |
Oct. 28, 1999 |
Cery B. Perle |
34-42066 |
Oct. 28, 1999 |
Vincent J. Iovine |
34-42065 |
Oct. 27, 1999 |
Geoffrey A. Newman |
34-42064 |
Oct. 27, 1999 |
Aubrey O'Connor, Rick Pierson, James Winter, Gregory Bowen, and Kenneth Ward |
34-42063 |
Oct. 27, 1999 |
Aubrey O'Connor, Rick Pierson, James Winter, Gregory Bowen, and Kenneth Ward |
34-42062 |
Oct. 27, 1999 |
Aubrey O'Connor, Rick Pierson, James Winter, Gregory Bowen, and Kenneth Ward |
34-42059 |
Oct. 26, 1999 |
Joseph J. Barbato, Neal C. Harper and Frederick J. Krause |
34-42047 |
Oct. 21, 1999 |
Stephen J.Kesh, CPA |
34-42046 |
Oct. 21, 1999 |
Rick W. Gossett, CPA |
34-42045 |
Oct. 21, 1999 |
Lee R. Fontaine, CPA |
33-7758 |
Oct. 20, 1999 |
Louis Sitaras |
33-7757 |
Oct. 20, 1999 |
John R. Hoff |
33-7756 |
Oct. 20, 1999 |
Richard L. Davis |
34-42031 |
Oct. 19, 1999 |
David E. Stevenson |
34-42030 |
Oct. 19, 1999 |
Albert Glenn Yesner, CPA |
34-42022 |
Oct. 18, 1999 |
Jerry M. Walker, CPA |
34-42021 |
Oct. 18, 1999 |
Thor Industries, Inc. |
33-7753 |
Oct. 13, 1999 |
Scott P. Flynn and Strategic Network Development, Inc. Release Nos. 33-7753, 34-42000 |
34-41976 |
Oct. 5, 1999 |
Peter W. Zent and Michael A. Cornblum |
IA-1843 |
Oct. 4, 1999 |
Gordon Richard Taubenheim |
IA-1842 |
Oct. 4, 1999 |
James William Fuller |
Third Quarter |
34-41966 |
Sep. 30, 1999 |
David E. Houge |
34-41965 |
Sep. 30, 1999 |
Michael Paul Green |
34-41964 |
Sep. 30, 1999 |
Jeffrey A. Parker |
34-41963 |
Sep. 30, 1999 |
Legg Mason Wood Walker, Inc., Thomas M. Daly, and Joseph Sullivan |
34-41962 |
Sep. 30, 1999 |
Jerald F. Albin |
34-41960 |
Sep. 30, 1999 |
Howard Zalkin and Barry E. Adelson |
34-41959 |
Sep. 30, 1999 |
Ralph W. LeBlanc |
34-41958 |
Sep. 30, 1999 |
Frank Gaines |
34-41957 |
Sep. 30, 1999 |
Briant C. Patterson, Inc. and Briant Patterson |
34-41956 |
Sep. 30, 1999 |
Frank Grillo |
34-41955 |
Sep. 30, 1999 |
Seasongood & Mayer and Richard D. Reis |
34-41954 |
Sep. 30, 1999 |
William J. Bramble, Jr. |
34-41953 |
Sep. 30, 1999 |
Amerivest Financial Group, Inc. |
34-41952 |
Sep. 30, 1999 |
Michael Goldberg, CPA |
34-41951 |
Sep. 30, 1999 |
Ronald A. Knittle and Gregory G. Vernon |
34-41950 |
Sep. 30, 1999 |
Madlyn L. Ferro and Dwight H. Stephens |
34-41949 |
Sep. 30, 1999 |
Jeno K. Koch |
33-7749 |
Sep. 30, 1999 |
Derrick C. Johnson |
33-7747 |
Sep. 30, 1999 |
Bobby L. Rodgers |
IA-1841 |
Sep. 30, 1999 |
Marvin & Palmer Associates, Inc., David F. Marvin, MacThom Associates, Inc. and Thomas E. Dubis |
IA-1840 |
Sep. 30, 1999 |
Jeffrey Brommer |
IA-1839 |
Sep. 30, 1999 |
Rupay-Barrington Investment Advisory Services, Inc. |
IA-1838 |
Sep. 30, 1999 |
J. Scott Eskind |
34-41945 |
Sep. 29, 1999 |
John Picardi |
34-41944 |
Sep. 29, 1999 |
Christine A. Beyer |
34-41942 |
Sep. 29, 1999 |
Sterling Foster & Company, Inc. and Adam Lieberman |
33-7746 |
Sep. 29, 1999 |
Paul Page, Jr. and The Page Group |
34-41941 |
Sep. 29, 1999 |
Charles D. Ledford |
34-41940 |
Sep. 29, 1999 |
Mario Iacoviello |
IA-1837 |
Sep. 29, 1999 |
Robert J. Smith |
34-41935 |
Sep. 28, 1999 |
Peter Madsen and Mark Rafferty Release Nos. 34-41935 |
34-41934 |
Sep. 28, 1999 |
Paul Thomas Fink Release Nos. 34-41934 |
34-41933 |
Sep. 28, 1999 |
Kenneth Schwartz and Joel Steinberg Release Nos. 34-41933 |
34-41932 |
Sep. 28, 1999 |
Model Imperial, Inc. |
34-41931 |
Sep. 28, 1999 |
Danny R. Auerbach, Michael L. Glaser, and James Montgomery, II Release Nos. 34-41931 |
34-41930 |
Sep. 28, 1999 |
Material Sciences Corporation Release Nos. 34-41930 |
34-41929 |
Sep. 28, 1999 |
Stephen J. Pace Release Nos. 34-41929 |
34-41928 |
Sep. 28, 1999 |
Laura M. Drews Release Nos. 34-41928 |
34-41927 |
Sep. 28, 1999 |
Joseph A. Mathes |
34-41926 |
Sep. 28, 1999 |
Robert S. Chamberlain |
34-41925 |
Sep. 28, 1999 |
Raintree Healthcare Corporation, formerly known as Unison HealthCare Corporation |
34-41924 |
Sep. 28, 1999 |
Steven R. Zemaitis and Julie Freisinger |
34-41923 |
Sep. 28, 1999 |
Ricky D. Barkley Release Nos. 34-41923 |
34-41919 |
Sep. 27, 1999 |
Steven J. Erlsten, Jr., William H. Clark, Derek L. DuBois and Aaron Finkelstein |
IA-1836 |
Sep. 27, 1999 |
Ellen Griggs |
IA-1835 |
Sep. 27, 1999 |
William J. Lieberman |
IA-1834 |
Sep. 27, 1999 |
Capital Markets Research Company and Paul Edward Holl |
IA-1833 |
Sep. 27, 1999 |
Harry Michael Schwartz |
34-41915 |
Sep. 27, 1999 |
Gary A. Rue |
34-41914 |
Sep. 24, 1999 |
Bernard J. Krispinsky Release Nos. 34-41914, IA-1832 |
34-41913 |
Sep. 24, 1999 |
Warren G. Trepp |
34-41911 |
Sep. 24, 1999 |
Jerry W. Anderson and Robert M. Kerns |
34-41909 |
Sep. 23, 1999 |
Marsh Block & Co., Inc, Alfred G. Block, Kenneth L. Marsh, and Jeffrey M. Miller |
34-41908 |
Sep. 23, 1999 |
First Colonial Securities Group, Inc., Michael E. Golden, and Steven D. Schwartz |
34-41906 |
Sep. 23, 1999 |
David Scott Heredia |
34-41899 |
Sep. 22, 1999 |
Robin A. Heiney |
34-41898 |
Sep. 22, 1999 |
Philip A. Lehman and Tower Equities, Inc. Release Nos. 33-7742, 34-41898, IA-1831 |
IA-1830 |
Sep. 22, 1999 |
Gary L. Pittsford |
34-41895 |
Sep. 22, 1999 |
William A. Moler and Strategic Resource Management, Inc. |
34-41894 |
Sep. 22, 1999 |
Herbert Woll, C.P.A. |
IA-1829 |
Sep. 22, 1999 |
Edward Arnold Patterson |
34-41896 |
Sep. 22, 1999 |
City of Miami, Florida, Cesar Odio and Manohar Surana |
34-41893 |
Sep. 22, 1999 |
Barry A. Bates |
34-41888 |
Sep. 20, 1999 |
Brian D. O'Toole, Steven D. Pirrone, and Spectrum Securities Inc. Release Nos. 34-41888, IA-1828 |
34-41887 |
Sep. 20, 1999 |
Dorthy A. Chikly Release Nos. 34-41887, IA-1827 |
34-41885 |
Sep. 20, 1999 |
William McNamara |
34-41878 |
Sep. 15, 1999 |
Madison Group Associates, Inc. |
34-41876 |
Sep. 14, 1999 |
Kevin James Quinn |
34-41873 |
Sep. 14, 1999 |
Dominic Scacci |
34-41865 |
Sep. 13, 1999 |
Kevin C. Samson |
IA-1825 |
Sep. 13, 1999 |
Engebretson Capital Management, Inc. and Lester W. Engebretson |
34-41853 |
Sep. 10, 1999 |
Wayne J. Conners, Thomas A. Piechowicz, James M. Flynn, Sharon Bartock, Winfred Kipp and Christopher D. Conway Release Nos. 33-7738, 34-41853 |
IA-1824 |
Sep. 9, 1999 |
Schield Management Company, Marshall L. Schield, and Troy Schield |
IA-1823 |
Sep. 9, 1999 |
Michael J. Rothmeier, Clarke T. Blizzard, Rudolph Abel, Donald C. Berry, Christopher P. Roach, Craig Janutol, East West Institutional Services, Inc. |
IA-1822 |
Sep. 9, 1999 |
Karen Michalski and Christopher D. Sargent |
IA-1821 |
|
Fleet Investment Advisors Inc. (as successor to Shawmut Investment Advisers, Inc.) |
34-41842 |
Sep. 8, 1999 |
Annable Turner & Co., Inc. ("ATCO") and Roger E. Turner |
34-41841 |
Sep. 8, 1999 |
David A. Johnston |
IA-1819 |
Sep. 8, 1999 |
Van Kampen Investment Advisory Corp. and Alan Sachtleben |
34-41835 |
Sep. 3, 1999 |
Steven G. Barkus |
34-41807 |
Aug. 30, 1999 |
Cery B. Perle |
34-41806 |
Aug. 30, 1999 |
Jerald M. Banks |
33-7729 |
Aug. 30, 1999 |
Fastlane Footwear, Inc. and John H. Lefere |
34-41798 |
Aug. 26, 1999 |
Alpha Tech Stock Transfer Trust, Greenfield Fund, Inc., Manor Investment Funds, Inc., and United Stock Transfer, Inc. |
34-41793 |
Aug. 26, 1999 |
Peachtree Stock Transfer and Robert J. Crain, Jr. |
34-41792 |
Aug. 26, 1999 |
Bassett Furniture Industries, Inc. and Thermal Energy Storage, Inc. |
IA-1818 |
Aug. 26, 1999 |
Calvin Douglas Brace |
IA-1817 |
Aug. 26, 1999 |
Amervest Company, Inc. and KMI Realty Advisors, Inc. |
IA-1816 |
Aug. 26, 1999 |
Huber Hogan Consulting, Inc. ("Huber Hogan"); Russon Financial Services, Inc. ("Russon"); and Robert C. Sears ("Sears") |
34-41785 |
Aug. 24, 1999 |
Carl F. Ruzicka |
34-41784 |
Aug. 24, 1999 |
Mamadou M. M'Bodj |
34-41765 |
Aug. 19, 1999 |
Ronnie R. Neihart |
34-41764 |
Aug. 19, 1999 |
Daniel L. Koehler |
34-41761 |
Aug. 19, 1999 |
Michael P. Traba Release Nos. 33-7727, 34-41761 |
34-41760 |
Aug. 19, 1999 |
Peachtree Partners |
34-41759 |
Aug. 19, 1999 |
IG Holding, Inc. |
34-41756 |
Aug. 18, 1999 |
Christian R. Higgins, Charles L. Powell, James P. Gallaher, Dale J. Engelhardt, and Trey L. Friedmann |
34-41754 |
Aug. 18, 1999 |
John J. McGarry Release Nos. 33-7726, 34-41754 |
34-41753 |
Aug. 18, 1999 |
Welco Securities, Inc., William S. Shapiro, and Kenneth S. Shapiro |
34-41751 |
Aug. 17, 1999 |
Inamed Corporation |
34-41750 |
Aug. 17, 1999 |
Steven Gale Trapp |
34-41749 |
Aug. 17, 1999 |
Raymond R. Kripaitis |
34-41745 |
Aug. 16, 1999 |
Meda Belle McKinney |
34-41744 |
Aug. 16, 1999 |
Michael A. Usher and Gilbert Marshall & Co, Inc. |
34-41741 |
Aug. 13, 1999 |
Michael William Ribant |
34-41740 |
Aug. 13, 1999 |
Ronald Obsgarten |
34-41739 |
Aug. 13, 1999 |
Craig Freeman, William Lashbrook, and Robert Sewell |
IA-1814 |
Aug. 12, 1999 |
Bing Sung |
34-41734 |
Aug. 12, 1999 |
Jeffrey Feld |
34-41729 |
Aug. 11, 1999 |
Owen D. Taranta, CPA |
33-7722 |
Aug. 11, 1999 |
Americorp Securities, Inc., and Drew Edgar Schaefer |
34-41720 |
Aug. 10, 1999 |
Michael J. Marrie and Brian L. Berry |
34-41713 |
Aug. 6, 1999 |
Laurie Jones Canady |
34-41710 |
Aug. 5, 1999 |
Jennifer D'Antoni |
34-41696 |
Aug. 3, 1999 |
Jon Mark Stewart |
IA-1813 |
|
Bell Capital Management, Inc., Ronnie H. Bell, Thomas C. Comsudes, and Mark S. Palmer |
34-41708 |
Aug. 5, 1999 |
Richard Harriton Release Nos. 33-7719, 34-41708 |
34-41707 |
Aug. 5, 1999 |
Bear, Stearns Securities Corporation Release Nos. 33-7718, 34-41707 |
34-41697 |
Aug. 3, 1999 |
DeWayne R. VonFeldt |
34-41695 |
Aug. 2, 1999 |
Del Mar Financial Services, Inc. and Private Brokers Corporation and Others Release Nos. 33-7717, 34-41695 |
34-41694 |
Aug. 2, 1999 |
Morton B. Lempel Release Nos. 33-7716, 34-41694 |
34-41693 |
Aug. 2, 1999 |
Nicholas Catalano Release Nos. 33-7715, 34-41693 |
34-41692 |
Aug. 2, 1999 |
Jeffery W. Berns Release Nos. 33-7714, 34-41692 |
34-41691 |
Aug. 2, 1999 |
G. Bradley Taylor Release Nos. 33-7713, 34-41691 |
34-41690 |
Aug. 2, 1999 |
RichMark Capital Corporation and Doyle Mark White Release Nos. 33-7712, 34-41690 |
34-41689 |
Aug. 2, 1999 |
Jethro J. Barlow, CPA, Alan K. Burton, J. Edwards Cox, Robert G. Weeks, David A. Hesterman and Kenneth L. Weeks Release Nos. 33-7711, 34-41689 |
34-41688 |
Aug. 2, 1999 |
Dynamic American Corporation |
34-41687 |
Aug. 2, 1999 |
National Stock Transfer, Inc., Krista Castleton Nielsen, and Roger Lee Greer Release Nos. 33-7709, 34-41687 |
34-41686 |
Aug. 2, 1999 |
John J. Kenna |
34-41685 |
Aug. 2, 1999 |
Michael R. Reilly |
34-41681 |
Aug. 2, 1999 |
American Telephone + Data, Inc. |
34-41680 |
Aug. 2, 1999 |
Gerald R. Hinshaw |
34-41679 |
Aug. 2, 1999 |
Steven J. Cook Release Nos. 33-7708, 34-41679 |
33-7710 |
Aug. 2, 1999 |
Fastlane Footwear, Inc. and John H. Lefere |
IA-1811 |
Aug. 2, 1999 |
Energy Equities Inc. and David G. Snow |
34-41676 |
Jul. 30, 1999 |
Richard I. Brewer, CPA |
34-41667 |
Jul. 28, 1999 |
Great White Marine & Recreation, Inc. |
34-41665 |
Jul. 28, 1999 |
Micro Warehouse, Inc. |
34-41656 |
Jul. 27, 1999 |
Hartley T. Bernstein |
33-7706 |
Jul. 26, 1999 |
Robert J. Stahl |
33-7705 |
Jul. 26, 1999 |
Elizabeth A. Boyd |
34-41639 |
Jul. 22, 1999 |
Sean P. Brennan and Keith E. Walsh Release Nos. 33-7704, 34-41639, IA-1810 |
34-41632 |
Jul. 21, 1999 |
Web Works Marketing.com, Inc. and Trace D. Cornell Release Nos. 33-7703, 34-41632 |
34-41631 |
Jul. 21, 1999 |
Joe Loofbourrow Release Nos. 33-7700, 34-41631 |
33-7702 |
Jul. 21, 1999 |
WowAuction.com Inc. and Steven Michael Gaddis, Sr. |
33-7701 |
Jul. 21, 1999 |
Theodore Sotirakis |
34-41616 |
Jul. 13, 1999 |
Peter W. Zent and Michael A. Cornblum |
33-7697 |
Jul. 7, 1999 |
Gary J. Pierce and C.S.I. Ag. |
34-41601 |
Jul. 7, 1999 |
A.S. Goldmen & Co., Inc. |
34-41587 |
Jul. 1, 1999 |
James T. Staples |
33-7696 |
Jul. 1, 1999 |
City of Anaheim, City of Irvine, Irvine Unified School District, and Orange County Board of Education |
Second Quarter |
33-7695 |
Jun. 30, 1999 |
Joseph B. Septimus and Suzanne Pelosi Release No.: 34-41585 |
34-41584 |
Jun. 30, 1999 |
Dougherty Summit Securities LLC, Successor to Dougherty Dawkins, Inc., Thomas M. Strand, Ralph L. Mcginley, and Daniel G. Eitrheim |
34-41581 |
Jun. 30, 1999 |
Thomas J. Scanlon, C.P.A. |
34-41580 |
Jun. 30, 1999 |
Eugene F. Gaughan, C.P.A. |
33-7694 |
Jun. 30, 1999 |
H.J. Meyers & Co., Inc., and Tobin J. Senefeld Release No.: 34-41579 |
34-41578 |
Jun. 30, 1999 |
W.R. Grace & Co.; |
34-41574 |
Jun. 29, 1999 |
New York Stock Exchange, Inc. |
33-7693 |
Jun. 28, 1999 |
Thomas J. Dalton Release No.: 34-41566 |
33-7692 |
Jun. 28, 1999 |
LT Lawrence & Co., Inc., Todd E. Roberti, and Lawrence Principato Release No. 34-41565
|
IA-1807 |
Jun. 28, 1999 |
MPI Investment Management, David Pequet and Ashok Shende |
34-41559 |
Jun. 25, 1999 |
Gerard Burns |
34-41554 |
Jun. 24, 1999 |
Medisys Technologies, Inc. |
34-41537 |
Jun. 18, 1999 |
Certain market making activities on NASDAQ |
IA-1801 |
Jun. 10, 1999 |
Boston Investment Counsel, Inc. and Robert E. Campanella |
34-41505 |
Jun. 10, 1999 |
British Biotech PLC, Keith McCullagh, Peter Lewis and James Noble |
34-41485 |
Jun. 7, 1999 |
Raul N. Rodriguez |
34-41484 |
Jun. 7, 1999 |
Greenway Capital Corporation and Joseph M. Guccione |
34-41458 |
May 27, 1999 |
Jerome Edward Stockdale |
33-7686 |
May 25, 1999 |
MGSI Securities, Inc., Bradford A. Orosey, Larry J. Bagwell, Connie L. Bally, Joseph O. Fallin, and James W. Ogg |
33-7687 |
May 25, 1999 |
Michael A. Perozzi |
34-41428 |
May 20, 1999 |
William E. Willoughby |
33-7688 |
May 25, 1999 |
Michael D. Young |
34-41448 |
May 25, 1999 |
H. Michael Richardson |
34-41447 |
May 25, 1999 |
Derrick P. Dumont |
34-41443 |
May 25, 1999 |
William A. Fain, Jr. |
34-41434 |
May 21, 1999 |
Fred F. Liebau, Jr. |
34-41433 |
May 21, 1999 |
Asif Ameen and Bruce W. Bertsch |
34-41429 |
May 20, 1999 |
Kedar Gupta, Alvan Chorney, and Herbert Moskowitz |
34-41426 |
May 19, 1999 |
Dennis M. Gaito, CPA |
34-41425 |
May 19, 1999 |
Moore Stephens, P.C., Linda F. O'Donnell, CPA, and Angelo J. Coppolino, CPA |
34-41424 |
May 19, 1999 |
Charles E. Falk, CPA |
34-41417 |
May 18, 1999 |
Datek Online Brokerage Services Corp. and Moishe Zelcer |
34-41416 |
May 18, 1999 |
John F. Walsh, III |
34-41409 |
May 17, 1999 |
Insignia Solutions PLC |
34-41405 |
May 14, 1999 |
Gilbert A. Zwetsch |
33-7683 |
May 13, 1999 |
Dominion Capital Corporation, Douglas Woodrow Powell, Charles Dewey Elliott, and William Carl Berry |
33-7682 |
May 13, 1999 |
Robert G. Bettiga |
33-7681 |
May 11, 1999 |
Lawrence M. Artz, Neurotech Corp., Enhance Resources, Inc. and Bruce W. Lynch |
33-7680 |
May 11, 1999 |
Robert J. Stahl, Elizabeth A. Boyd, and Bobby L. Rodgers |
33-7679 |
May 11, 1999 |
David V. Francis, II |
33-7678 |
May 11, 1999 |
Lila Keith Release No.: 34-41388 |
33-7677 |
May 11, 1999 |
Derrick C. Johnson |
33-7676 |
May 11, 1999 |
Gary J. Pierce and C.S.I. Ag. |
IA-1800 |
May 4, 1999 |
Apodaca Investment Group, Inc., Brower Financial Services, Inc., Ethical Investments, Inc., Ronald Allan McDow, Van Cleef Asset Management, Inc., and WWW Advisors, Inc. |
IA-1799 |
May 4, 1999 |
BSN Gestion De Patrimonios SA SGC, and Asset Timing Corp. |
33-7674 |
May 4, 1999 |
Market America, Inc. and Richard D. Hall, Jr. Release No.: 34-41363 |
3441352 |
Apr. 30, 1999 |
"Report on Administrative Proceedings for October 1, 1998 through Mar. 31, 1999"- Rule 900 of the Commission's Rules of Practice (17 CFR 201.900) requires the Commission's Office of the Secretary to publish in the SEC Docket each October and Apr. a status report on the Commission's administrative proceedings caseload.
(Apr. 30, 1999. File name: 3441352.txt
[explanatory material only]; apst99-1.pdf
[report, in Adobe Acrobat(r)
format]) |
34-41349 |
Apr. 30, 1999 |
Rodd Buckle |
34-41345 |
Apr. 29, 1999 |
Pryor, McClendon, Counts & Company, Inc., Raymond J. McClendon, Allen W. Counts, and Theresa A. Stanford; |
33-7672 |
Apr. 28, 1999 |
Joseph P. Tufo |
34-41332 |
Apr. 26, 1999 |
Peter Joseph Cammarano |
34-41321 |
Apr. 22, 1999 |
Paul J. Argy, C.P.A. |
IA-1798 |
Apr. 22, 1999 |
Wren Harold Hart Co. LLC; |
33-7671 |
Apr. 21, 1999 |
Lazard Freres Co. LLC; |
33-7670 |
Apr. 21, 1999 |
Lazard Freres & Co. LLC |
34-41316 |
Apr. 21, 1999 |
Jeff Bergman |
34-41313 |
Apr. 20, 1999 |
Larry L. Skaff and John F. Liechty |
34-41312 |
Apr. 20, 1999 |
Terex Corporation, KCS Industries, L.P., f/k/a KCS Industries, Inc. and Randolph W. Lenz |
34-41309 |
Apr. 19, 1999 |
Robert Grady |
34-41308 |
Apr. 19, 1999 |
William Lowe |
34-41295 |
Apr. 15, 1999 |
Danny Lee Coomer |
34-41284 |
Apr. 14, 1999 |
Michael, Adest & Blumenkrantz, P.C., David Michael, CPA, and Paul Adest, CPA; |
34-41283 |
Apr. 14, 1999 |
Kevin E. Orton, CPA, and Orton & Company; |
34-41267 |
Apr. 9, 1999 |
Craig Freeman, William Lashbrook, and Robert Sewell |
34-41279 |
Apr. 13, 1999 |
SpaceDev, Inc. and James William Benson |
34-41265 |
Apr. 8, 1999 |
Peter C. Bucchieri |
34-41264 |
Apr. 8, 1999 |
David S. Weil |
34-41269 |
Apr. 9, 1999 |
Frank J. Greulich and John R. Rodeman |
34-41268 |
Apr. 9, 1999 |
Clyde Morgan, Ross Blevins, and Doug Cuthbert |
34-41266 |
Apr. 9, 1999 |
Howe, Solomon and Hall and Christopher J. Hall Research, Inc.; |
34-41258 |
Apr. 6, 1999 |
Marshall E. Melton and Asset Management & Research, Inc. |
34-41255 |
Apr. 5, 1999 |
Frederick R. Grant, CPA |
34-41241 |
Apr. 1, 1999 |
Former Auditors of Sky Scientific, Inc. |
34-41240 |
Apr. 1, 1999 |
KPMG Audit Partner |
34-41239 |
Apr. 1, 1999 |
Charles E. Wessman |
First Quarter |
33-7663 |
Mar. 31, 1999 |
John E. Thorn, Jr. and Thorn Welch & Co., Inc., formally known as Thorn, Alvis, Welch, Inc. |
33-7662 |
Mar. 31, 1999 |
Eugene J. Yelverton, Jr. |
34-41228 |
Mar. 30, 1999 |
Robert Mitchell and Gary Mitchell |
34-41227 |
Mar. 30, 1999 |
Theodore Heitzman |
34-41225 |
Mar. 30, 1999 |
Peter W. Zent and Michael A. Cornblum |
34-41224 |
Mar. 30, 1999 |
Kidder, Peabody & Co.. Inc.; |
34-41221 |
Mar. 29, 1999 |
Golf Ventures, Inc. |
34-41205 |
Mar. 23, 1999 |
Lawrence M. Knapp |
34-41202 |
Mar. 23, 1999 |
Roger Rees, Former President of Buckhead Financial Corporation |
34-41198 |
Mar. 22, 1999 |
Gerard Burns |
34-41197 |
Mar. 22, 1999 |
Miron Leshem |
34-41190 |
Mar. 19, 1999 |
Ernest J. Olde, Stanley A. Snider and Daniel D. Katzman |
34-41183 |
Mar. 18, 1999 |
Eugene K. Laff, Stanley Aslanian, Jr., and Lawrence Caito |
34-41182 |
Mar. 18, 1999 |
Jeffrey L. Streich |
34-41181 |
Mar. 18, 1999 |
Robert S. Barton, CPA |
34-41179 |
Mar. 17, 1999 |
Brian E. Farley |
34-41178 |
Mar. 17, 1999 |
Daniel L. Koehler |
34-41156 |
Mar. 11, 1999 |
Interstate Transfer Co. and Janis A. Patterson |
34-41166 |
Mar. 12, 1999 |
Larry E. Muller |
34-41165 |
Mar. 12, 1999 |
Joel L. Hurst |
34-41155 |
Mar. 11, 1999 |
Charles Stember |
34-41154 |
Mar. 11, 1999 |
Gerard W. King |
34-41146 |
Mar. 8, 1999 |
Jeffrey L. Harfst, CPA, William R. Hebel and Joseph E. Muehl |
IA-1793 |
Mar. 10, 1999 |
Robert J. Smith |
34-41145 |
Mar. 8, 1999 |
Dean Witter Reynolds Inc., Henry L. Auwinger, and Dennis W. Peterson |
34-41144 |
Mar. 5, 1999 |
Andrew L. O'Connell |
34-41129 |
Mar. 3, 1999 |
R. Scot Rubel |
33-7652 |
Mar. 5, 1999 |
Eugene Bilotti |
34-41134 |
Mar. 3, 1999 |
Rodney W. Helm |
34-41133 |
Mar. 3, 1999 |
Randal Y. Stevens |
34-41132 |
Mar. 3, 1999 |
Robert D. Sichta |
34-41131 |
Mar. 3, 1999 |
Robin Heiney |
34-41125 |
Mar. 1, 1999 |
Robert Cedrone |
34-41097 |
Feb. 24, 1999 |
Sharon Longview, Christie Rockwood, Vicki Kranawetter, and Luther Dale Robinson |
34-41096 |
Feb. 24, 1999 |
Sunrise Medical Inc. |
33-7650 |
Feb. 26, 1999 |
TKO International, Inc. and Leonard A. Turano |
34-41102 |
Feb. 24, 1999 |
Scott P. Flynn and Strategic Network Development, Inc. |
34-41101 |
Feb. 24, 1999 |
RCG Capital Markets Group, Inc. and Arthur Max Ramras |
33-7643 |
Feb. 24, 1999 |
Hastings Communications |
34-41065 |
Feb. 17, 1999 |
James V. Pannone |
34-41061 |
Feb. 17, 1999 |
Barrett R. Rochman |
34-41043 |
Feb. 11, 1999 |
Micro Component Technology, Inc., DuaneAug. Wille, CPA, Steven David Turner, Jeff Allen Stewart, and Daniel James Hill |
34-41042 |
Feb. 11, 1999 |
Stephen J. McErlain |
34-41040 |
Feb. 10, 1999 |
Comstock Partners, L.L.C., Gelber Securities, Inc., and Bettinger & Leech Financial Corp. |
34-41039 |
Feb. 10, 1999 |
Madison Group, Inc. |
34-41038 |
Feb. 10, 1999 |
Miguel A. Cabrera, Jr. and M.A. Cabrera & Co., P.A. |
34-41037 |
Feb. 10, 1999 |
Anthony J. Gentile |
34-41036 |
Feb. 10, 1999 |
Republic New York Securities Corporation and James Edward Sweeney |
34-41035 |
Feb. 10, 1999 |
Joseph W. Pellechia |
34-41031 |
Feb. 9, 1999 |
Randy Depoister |
34-41024 |
Feb. 8, 1999 |
Marsh Block & Co., Inc., Alfred G. Block, Kenneth L. Marsh, and Jeffrey M. Miller |
34-41020 |
Feb. 3,1999 |
Laguna Financial Corporation, McGlone & Co., Phoenix Financial Services Corp., Multi Spectrum Investing Corporation, and E.C. Capital Ltd.; |
34-41012 |
Feb. 2, 1999 |
Donnkenny, Inc. |
34-40987 |
Jan. 28, 1999 |
James Bogner, CPA |
34-40986 |
Jan. 28, 1999 |
James C. Morris |
34-40984 |
Jan. 27, 1999 |
Randall W. Nelson |
34-40977 |
Jan. 26, 1999 |
Steven R. Schaefer and AMPG, Inc. |
34-40966 |
Jan. 22, 1999 |
RichardMar.ese |
34-40965 |
Jan. 22, 1999 |
William Masucci |
34-40964 |
Jan. 22, 1999 |
Eric Monchecourt |
34-40958 |
Jan. 21, 1999 |
Tony Fiorino |
33-7632 |
Jan. 21, 1999 |
Global Information Services, Inc., d/b/a Investment Hotlines and James E. Grady |
40952 |
Jan. 15, 1999 |
Frank E. Stephan, C.P.A. |
7630 |
Jan. 14, 1999 |
Leifer Capital, Inc., Jeffrey Leifer, and David Leifer |
34-40948 |
Jan. 14, 1999 |
Allegheny Financial Programs, Inc., and Atlantic-Pacific Capital, Inc. |
40945 |
Jan. 14, 1999 |
PricewaterhouseCoopers LLP |
34-40939 |
Jan. 13, 1999 |
Gordon C. Eckstein |
34-40938 |
Jan. 13, 1999 |
Christopher Mark Craib |
34-40937 |
Jan. 13, 1999 |
Livent Inc. |
33-7626 |
Jan. 11, 1999 |
John E. Backlund, John H. Hankins, Howard L. Peterson, and John G. Guffey |
33-7625 |
Jan. 11, 1999 |
Craig S. Vanucci and Brian K. Andrew |
34-40930 |
Jan. 11, 1999 |
William P. Heenan |
34-40929 |
Jan. 11, 1999 |
Warburg Dillon Read LLC, Michael R. Antolini, Stephen D. Murphy, David S. Rothman and Joel I. Zweig |
34-40928 |
Jan. 11, 1999 |
Tucker Anthony Inc. |
34-40927 |
Jan. 11, 1999 |
Spear Leeds & Kellogg, L.P., Michael J. Ling, James P. Morris, John J. Quigley, and Eric J. Scherzer; |
34-40926 |
Jan. 11, 1999 |
Sherwood Securities Corp., Brian J. Deegan, Richard M. Marino, Edward G. Schmitz, and David M. Zitman |
34-40925 |
Jan. 11, 1999 |
Salomon Smith Barney Inc., Glenn Y. Blitzer, Barry J. Dusti, and George C. Ross, Jr. |
34-40924 |
Jan. 11, 1999 |
Salomon Smith Barney Inc. |
34-40923 |
Jan. 11, 1999 |
Robinson-Humphrey Company, LLC |
34-40922 |
Jan. 11, 1999 |
Raymond James & Associates, Inc., Thomas J. Dudenhoefer, Timothy J. Kane |
34-40921 |
Jan. 11, 1999 |
Prudential Securities Inc., Michael T. Burke, Jr., Joseph G. Candela, Robert D. Sprotte |
34-40920 |
Jan. 11, 1999 |
Piper Jaffray Inc., and Stacey R. Rickert |
34-40919 |
Jan. 11, 1999 |
Richard A. Bruno, Peter F. Comas, Robert D. Coppola, Gerard Kane, Joseph J. Palma, Arthur A. Raiola, Joseph H. Raiola, and Reuben G. Taub |
34-40918 |
Jan. 11, 1999 |
CIBC Oppenheimer Corp., and William G. Clark, Jr. |
34-40917 |
Jan. 11, 1999 |
Olde Discount Corp., Jack G. Monopoli, Frank W. Schwarz, III, and John F. Watson, Jr. |
34-40916 |
Jan. 11, 1999 |
Morgan Stanley & Co., Inc., Peter W. Ferriso, Jr. and Robert S. Ranzman; |
34-40915 |
Jan. 11, 1999 |
Merrill Lynch, Pierce, Fenner & Smith Inc.; |
34-40914 |
Jan. 11, 1999 |
Mayer & Schweitzer, Inc., Robert Burns, and Christopher D. Colgan; |
34-40913 |
Jan. 11, 1999 |
Lehman Brothers Inc. |
34-40912 |
Jan. 11, 1999 |
Legg Mason Wood Walker, Inc. |
34-40911 |
Jan. 11, 1999 |
Jefferies & Company, Inc.; |
34-40910 |
Jan. 11, 1999 |
J.P. Morgan Securities, Inc., Donald A. Dunworth, Mark A. Gallagher and David J. Mottes |
34-40909 |
Jan. 11, 1999 |
Herzog, Heine, Geduld, Inc., Ronald F. Cullen, Jr. and Bradley Zipper |
34-40908 |
Jan. 11, 1999 |
Hambrecht &
Quist LLC and Edward L. Albert |
34-40907 |
Jan. 11, 1999 |
Gruntal & Co., L.L.C.; |
34-40906 |
Jan. 11, 1999 |
Donaldson, Lufkin & Jenrette Securities Corporation, Lawrence H. Kurtz; |
34-40905 |
Jan. 11, 1999 |
Dean Witter Reynolds, Inc. |
34-40904 |
Jan. 11, 1999 |
Credit Suisse First Boston Corporation |
34-40903 |
Jan. 11, 1999 |
SG Cowen Securities Corporation, Kennedy M. Buckley, David D. Dube, Peter M. Gilfillan, John P. Mottes, and Richard S. Striefler |
34-40902 |
Jan. 11, 1999 |
Cantor Fitzgerald & Co.; |
34-40901 |
Jan. 11, 1999 |
Bear, Stearns & Co., Inc. and Philip D. Zeifer; |
34-40900 |
Jan. 11, 1999 |
Nasdaq Market Makers |
34-40891 |
Jan. 7, 1999 |
Euro-Atlantic Securities, Inc., John T. Madden, Brian A. Schmidt, Darlan E. Gordon, John T. Madden, William Avent, and John Aristotle Dilworth |
34-40899 |
Jan. 7, 1999 |
Alpha Tech Stock Transfer Trust, Greenfield Fund, Inc., Manor Investment Funds, Inc. and United Stock Transfer, Inc. |
34-40895 |
Jan. 7, 1999 |
Corporate Planners, Inc., CSJ Limited Liability Company, Davidson Trust Co., Ivy Mackenzie Services Corp., and National Stock Transfer and Accounting, Inc. |
34-40892 |
Jan. 7, 1999 |
H.J. Meyers & Co., Inc. and Tobin J. Senefeld; |
34-40890 |
Jan. 7, 1999 |
Joel Pensley |
33-7621 |
Jan. 6, 1999 |
Jean Costanza |
http://www.sec.gov/litigation/admin/adminarchive/adminarc1999.shtml
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