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Administrative Proceedings Archive 1997
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 |
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 |
http://www.sec.gov/litigation/admin/adminarchive/adminarc1997.shtml
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