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Administrative Proceedings Archive 1996

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

Release No. Date Respondents
Fourth Quarter
34-38102 Dec. 31, 1996 Mark S. Ferber
34-38088 Dec. 26, 1996 Dennis Lindsay Helliwell
34-38083 Dec. 24, 1996 Michael Donald McGahee
34-38074 Dec. 23, 1996 Stanley L. Swoyer
34-38061 Dec. 19, 1996 Dale E. Barlage
34-38055 Dec. 18, 1996 Peter M. Harrington
33-7374 Dec. 16, 1996 Ernest W. Grendi
33-7372 Dec. 16, 1996 Sky Scientific, Inc., Denver Broker-Dealers and Others
33-7370 Dec. 10, 1996 Robert Tatarowicz
34-38037 Dec. 10, 1996 Frederick V. Dona, Jr.
34-38035 Dec. 10, 1996 Michael Goodbread
34-38028 Dec. 9, 1996 Steven A. Lapper
34-38027 Dec. 9, 1996 Shaner & Company, Inc. and Mark S. Shaner
34-38026 Dec. 6, 1996 Stratton Oakmont, Inc. and Daniel M. Porush
33-7368 Dec. 4, 1996 Portfolio Management Consultants, Inc.
34-38016 Dec. 4, 1996 Westcap Securities, L.P.
33-7367 Dec. 2, 1996 Philip S. Sindler
34-38003 Dec. 2, 1996 James W. Adams
34-38002 Dec. 2, 1996 David Anderson
34-38001 Dec. 2, 1996 Stuart, Coleman & Co., Inc.
33-7366 Nov. 26, 1996 DeSoto Broadcasting, Inc. and Danford Sawyer, Jr.
34-37984 Nov. 25, 1996 Alliance Industries, Inc.
34-37966 Nov. 19, 1996 OmniGene Diagnostics, Inc.
33-7365 Nov. 18, 1996 Carmel Equity Partners, Richard L. Goodrich, Lawrence D. Isen, Peter P. Kim, Bruce E. Mesnekoff, John B. Morris, and Kelsey Van Deventer
33-7364 Nov. 14, 1996 Quality Products, Inc.
34-37940 Nov. 12, 1996 Fox-Pitt, Kelton, Inc.
33-7363 Nov. 12, 1996 George R. Johnston and Johnston Kent Securities, Inc.
34-37938 Nov. 12, 1996 Karl G. Wassmann III
34-37932 Nov. 8, 1996 Atlantis Group, Inc. (formerly known as Microterra, Inc.), Richard Fox and James E. Sidbury
34-37926 Nov. 6, 1996 Edward D. Jones & Co.
33-7362 Nov. 6, 1996 Robert Gann
33-7360 Oct. 31, 1996 Gruntal & Co., Inc. and Gruntal Financial Corp.
33-7359 Oct. 31, 1996 Gruntal & Co., Inc.
34-37905 Oct. 31, 1996 Troy Lee Wood
34-37898 Oct. 31, 1996 Peter C. Tosto
34-37892 Oct. 29, 1996 Richard K. Steele, Sr.
34-37889 Oct. 29, 1996 International Energy, Development Coproation and Jerome B. Richter
34-37879 Oct. 28, 1996 Alan G. Lewis
34-37848 Oct. 22, 1996 Calvin M. Dyer
34-37847 Oct. 22, 1996 Midisoft Corporation
34-37843 Oct. 21, 1996 Greg Steven Kaplan
33-7358 Oct. 17, 1996 Cambridge Biotech Corporation
34-37834 Oct. 17, 1996 Nir Kantor
IA-1594 Oct. 17, 1996 Calamos Asset Management, Inc. and John P. Calamos
34-37832 Oct. 17, 1996 Andrew Bressman, Roman Okin, Richard Acosta, Richard Simone, Burton Blank, Mark Goldman and Jack Wolynez
34-37831 Oct. 17, 1996 A.R. Baron & Co., Inc.
34-37830 Oct. 17, 1996 A.R. Baron & Co. Inc., Andrew E. Bressman and Roman Okin
34-37822 Oct. 15, 1996 George A. Rotelli
34-37821 Oct. 15, 1996 Alfred M. Bauer
34-37820 Oct. 15, 1996 Flagship Securities, Inc., Dennis G. Milewitz And Noreen M. Barrington
34-37819 Oct. 15, 1996 Novatek International, Inc.
34-37804 Oct. 15, 1996 Greenway Capital Corporation and Joseph M. Guccione
34-37814 Oct. 11, 1996 Paul L. Parshall
33-7357 Oct. 10, 1996 Roland Acevedo, Alfred P. Avasso, George Badger, Steve Bingaman, Ira Blackey, Thomas J. Browne, Daryl Buerge, Richard Cedrone, Cary Cimino, Dale Eyman, John Fasano, Bartholomew Haring, Theodore Heitzman, Gary Hrycyk, Richard Langley, Jr., Michael Lapp, Gerald Larder, Norman Lescht, Miron Leshem, William Lucas, Richard Mallion, James Manas, Gamal Ashraf Marwan, Gerald Cash Mcneil, Gary Mitchell, Robert Mitchell, Gregory John Mouen, Timothy Murray, Edward Padnos, George Panagiotou, Joseph Pignatiello, Jeff Pokross, Alexander Ruge, Blake Marshall Russ, Mark Anthony Savage, Robert Schulman, Andrew Scudiero, Sy Siegel, Bertram Slutsky, Jeffry Szur, Jeff Trenk, Dean Christopher Verrigni, Trung Vugia, Edward Williamson, Allen Wolfson John Chapman;
34-37798 Oct. 9, 1996 Richard Cannistraro
34-37791 Oct. 7, 1996 Systems of Excellence, Inc.
34-37785 Oct. 4, 1996 William Edwin Somdahl
34-37775 Oct. 2, 1996 Daniel D. Dietrich and Robert J. Judge
33-7354 Oct. 2, 1996 Maricopa County
33-7353 Oct. 2, 1996 Peacock, Hislop, Staley & Given, Inc. and Larry S. Given
33-7352 Oct. 2, 1996 Aura Systems Inc., Zvi Kurtzman, Francis T. Phalen and Joseph Bevacqua
Third Quarter
34-37768Sep. 30, 1996Anthony Sarivola
34-37762 Sep. 30, 1996 Octagon, Inc.
34-37758 Sep. 30, 1996 Frederick V. Dona Jr.
34-37757 Sep. 30, 1996 Thomas A. Piechowicz, James M. Flynn and Christopher Conway
34-37756 Sep. 30, 1996 Michael D. Gibson, Gregory C. Moore, and Jay D. Liebowitz, and David McClure
34-37755 Sep. 30, 1996 The O.N. Equities Sales Company
33-7349 Sep. 30, 1996 American Financial Partners, Ltd. and Jeffrey S. Rosenberg
33-7346 Sep. 30, 1996 M. Charles Zanaty
IA-1589 Sep. 30, 1996 Domenic P. Ferrante
IA-1588 Sep. 30, 1996 Vigil Asset Management Group, Inc. and Thomas Batterman
34-37766 Sep. 30, 1996 Stephen J. Sogin and Steven N. Weiss
34-37765 Sep. 30, 1996 Philip Greifeld
34-3776 Sep. 30, 1996 Richard J. Line
34-37761 Sep. 30, 1996 Monte S. Colbert
34-37760 Sep. 30, 1996 Bernard Zelenka
34-37749 Sep. 30, 1996 Atlantis Group, Inc. (f/k/a Microterra, Inc.), Richard Fox and James E. Sidbury
34-37747 Sep. 30, 1996 Rom N. De Guzman
33-7344 Sep. 30, 1996 3Net Systems, Inc.
34-37754 Sep. 30, 1996 Fahnestock and Co., Inc. and William E. Bierlin, Jr.
33-7345 Sep. 30, 1996 Maricopa County, Arizona
33-7343 Sep. 30, 1996 Lawrence M. Gress
33-7348 Sep. 30, 1996 Curtis Lynch and David Hollander
33-7347 Sep. 30, 1996 Stires & Co., Inc., and Sidney H. Stires
IA-1586 Sep. 27, 1996 Milton Puryear
34-37743 Sep. 27, 1996 Philadelphia Investors, Ltd. and Clarence Z. Wurts
33-7342 Sep. 27, 1996 Norman L. Sirak
33-7341 Sep. 27, 1996 Carolyn Safer Kenner
IA-1585 Sep. 27, 1996 Concord Investment Company
IA-1584 Sep. 27, 1996 Patricia Owen-Michael
34-37742 Sep. 27, 1996 Michael G. Cohen
34-37741 Sep. 27, 1996 Republic International Corporation
34-37738 Sep. 27, 1996 Frederick W. Smith
34-377737 Sep. 27, 1996 Gerald Johnson
IA-1582 Sep. 26, 1996 Ira William Scott
33-7339 Sep. 26, 1996 Peter Tosto, Investor Relations, Inc., George Panagiotou, Mark Savage and Dean Verrigni
34-37733 Sep. 26, 1996 H. Ralph Sylvester, Donald R. Krueger and John C. Hawver
34-37730 Sep. 26, 1996 Advanced Micro Devices, Inc.
33-7338 Sep. 26, 1996 Broad Capital Associates, Inc. and Murray Arron Huberfeld
33-7337 Sep. 26, 1996 Michael C. Robertson and M.C. Robertson & Associates, Inc.
34-37727 Sep. 26, 1996 Richardt-Alyn & Co., and Richard B. Fienberg
33-7336 Sep. 25, 2996 Jeffrey L. Dunn
33-7335 Sep. 25, 1996 David G. Batu
34-37720 Sep. 24, 1996 Moors & Cabot, Inc.
34-37719 Sep. 24, 1996 Wilshire Technologies, Inc.
34-37716 Sep. 24, 1996 Robert McClernon
34-37715 Sep. 24, 1996 James Warren
34-37710 Sep. 23, 1996 Kimberly D. Goodman
34-37709 Sep. 23, 1996 Stanley L. Swoyer
34-37708 Sep. 23, 1996 George C. Bergleitner, Jr.
33-7334 Sep. 23, 1996 Monness, Crespi, Hardt & Co., Inc., and Neil Crespi
34-37707 Sep. 23, 1996 Howe Barnes Investments, Inc.
34-37705 Sep. 20, 1996 Richard S. Berger
IA-1580 Sep. 19, 1996 Wayne A. Maki
34-37702 Sep. 19, 1996 Eli Buchalter and the Eli Buchalter Accountancy Corporation
33-7333 Sep. 19, 1996 Cypress Bioscience Inc. and Alex P. De Soto
33-7332 Sep. 19, 1996 Vincent P. Loban and First Capital Marketing Group
34-37689 Sep. 18, 1996 Paul Stansberry
34-37683 Sep. 16, 1996 William Scott Smith
34-37682 Sep. 16, 1996 Raul N. Rodriguez
34-37685 Sep. 16, 1996 Domenick M. Schina
34-37681 Sep. 16, 1996 JMDC Global Corp.
33-7330 Sep. 13, 1996 Elliott B. Rosenberg, Jack A. Gilbert, Howard M. Caplan, Gerald J. Perlmutar and Douglas H. Mansfield
34-37674 Sep. 12, 1996 Michael J. Eberle,Robert D. Hodge,Thomas L. Costello,Donald H. Gilliland, Thomas J. VanEcho and Thomas J. Williamson
34-37671 Sep. 12, 1996 Stephen M. Jordan, Douglas A. Burnip,Dennis A. Dunlap, Tina M. Applegate,Miguel A. Lucas and Larry R. Ryan
34-37673 Sep. 12, 1996 Lehman Brothers Inc., as the successor to Shearson Lehman Brothers Inc.
34-37669 Sep. 12, 1996 (REVISED TEXT 9-30-96 Tudor Investment Corporation
34-37664 Sep. 10, 1996 Stephen R. Parker
34-37662 Sep. 9, 1996 Robert Gilbert, Alan Weissman and Daniel Felter
34-37661 Sep. 9, 1996 Jeffrey Weisman and Martin Weisman
34-37660 Sep. 9, 1996 F. Otto Busot
34-37641 Sep. 5, 1996 Food Research Corporation
33-7327 Sep. 5, 1996 Advanced Medical Products, Inc., Clarence P. Groff and James H. Brown
34-37634 Sep. 4, 1996 Philip Forma, Sr., Alan Herr, Herbert Herr, and Stanley Mindel
34-37580 Aug. 19, 1996. Global Timber Corporation
IA-1577 Aug. 15, 1996. Cabot Money Management, Inc. and Robert T. Lutts
IA-1576 Aug. 8, 1996. Ronald M. Zook
34-37545 Aug. 8, 1996. Richard Jenkins
34-37544 Aug. 8, 1996. Frank Duca
34-37538 Aug. 8, 1996 National Association of Securities Dealers, Inc.
IA-1574 Aug. 6, 1996 Douglas L. Blair
34-37531 Aug. 6, 1996 Refco Securities, Inc.
34-37530 Aug. 6, 1996 Robert J. Dantone
34-37514 Aug. 2, 1996 A.R. Baron & Co., Inc., Andrew E. Bressman and Roman Okin
34-37498 Jul. 30, 1996 James A. Sehn and Samuel O. Forson
33-7318 Aug. 1, 1996 Rodger E. Thornton
33-7317 Jul. 30, 1996 John Silseth
33-7315 Jul. 26, 1996 Robert K. Williams and College Planning Services, Inc.
34-37494 Jul. 30, 1996 Kenneth J. Schulte
34-37486 Jul. 26, 1996 Daniel D. Dietrich and Robert J. Judge
34-37485 Jul. 26, 1996 Victor L. Kashner and Kashner Davidson Securities Corporation
34-37483 Jul. 26, 1996 Stephen J. Kandel
34-37477 Jul. 25, 1996 Payne & Thornton, Inc. d/b/a Retirement Investment Group
33-7313 Jul. 25, 1996 Elliott B. Rosenberg, Jack A. Gilbert, Howard M. Caplan, Gerald J. Perlmutar and Douglas H. Mansfield
33-7312 Jul. 24, 1996 Peter C. Ferraro and William G. Stayduhar
34-37468 Jul. 23, 1996 David Lee Printy
IA-1571 Jul. 16, 1996 McKenzie Walker Investment Management, Inc. and Richard C. McKenzie, Jr.
34-37422 Jul. 11, 1996 Al Rizek
34-37419 Jul. 11, 1996 Alexander Sheshunoff, Sr.
34-37396 Jul. 2, 1996 Hein + Associates LLP and Duane C. Knight
Second Quarter
33-7309Jun. 28, 1996 Alfred Bauer and J. Stephen Stout
33-7308 Jun. 27,1996 Portofolio Management Consultants, Inc. and Kenneth S. Phillips
33-7307 Jun. 27, 1996 Marc N. Geman
33-7306 Jun. 25, 1996 Danny G. Pinkerton and Kevin N. Campbell
33-7305 Jun. 25, 1996 Vytas Jonusas
34-37354 Jun. 24, 1996 Richard D. Propper
34-37353 Jun. 24, 1996 Jack Olshansky
34-37350 Jun. 21, 1996 Harry D. Sweeney
34-37340 Jun. 20, 1996 Michael J. Eberle, Robert D. Hodge, Thomas L. Costello, Donald H. Gilliand, Thomas J. Vanecho and Thomas J. Williamson
34-37270 Jun. 3, 1996 Mark S. Tague
34-37269 Jun. 3, 1996 Jon R. Erickson
IA-1566 Jun. 11, 1996 Dorothy J. Brenna
34-37300 Jun. 11, 1996 Fu-sung Peter Wu
33-7304 Jun. 11, 1996 Gary S. Missner
33-7303 Jun. 11, 1996 Henry P. Becker
34-37286 Jun. 7, 1996 Benjamin Rex Moses
34-37292 Jun. 10, 1996 The Home Link Corporation
34-37278 Jun. 4, 1996 Transcorp Pension Services, Inc.
34-37272 Jun. 4, 1996 Robert Sayegh, Thomas Core, and John J. Cranley
34-37254 May 30, 1996 Greenway Capital Corporation and Joseph M. Guccione
34-37248 May 29, 1996 A.R. Baron & Co., Inc., Andrew Bressman, and Roman Okin
34-37248 May 28, 1996 Wendell Jeffrey Lee
33-7298 May 24, 1996 Churchill Securities, Inc. and Gerald P. Hirsch
34-37272 May 23, 1996 Birgit Mechlenburg, A/K/A Gitte Mechlenburg
34-37240 May 23, 1996 A.R. Baron & Co., Inc., Andrew Bressman, and Roman Okin
33-7295 May 21, 1996 Robert K. Williams and College Planning Services, Inc.
33-7296 May 21, 1996 Anthony J. Benincasa
33-7294 May 21, 1996 Voucher Investment Fund RUSS-INVEST
34-37232 May 21, 1996 Douglas W. Osborne
34-37226 May 20, 1996 Melvin Mullin
34-37222 May 16, 1996 Milton Mermelstein and Frank E. Stephan, Jr.
33-7292 May 13, 1996 David Anderson
33-7291 May 13, 1996 John Silseth
34-37209 May 14, 1996 Comparator Systems Corp.
33-7290 May 10, 1996 Brian Paonessa, Stanley Jenkins and Sam Sehon
34-37194 May 10, 1996 M. Susan Soltis and Steven T. Hiratsuka
34-37185 May 9, 1996 Platinum Software Corporation, John F. Keane and William B. Falk
34-37168 May 6, 1996 William F. Lincoln
34-37167 May 3, 1996 Lawrence R. Hartz and Stephen S. Knepp
34-37164 May 3, 1996 Kenneth A. Zak
IA-1561 Apr. 30, 1996 Brian J. Sheen
34-37153 Apr. 30, 1996 Kevin Bartholomew
34-37147 Apr. 29, 1996 Thomas J. Maccormack
33-7284 Apr. 23, 1996 Eugene Konev
34-37129 Apr. 19, 1996 Linda J. Bustin
34-37128 Apr. 19, 1996 Centuri, Inc.
34-37127 Apr. 19, 1996 Charles W. Wallin
34-37111 Apr. 12, 1996 P. Michael Goodman
34-37108 Apr. 12, 1996 Carl E. Lovell and Danna Wale Lovell
33-7279 Apr. 9, 1996 Gruntal & Co., Inc., and Gruntal Financial Corp.
33-7278 Apr. 9, 1996 Gruntal & Co., Inc.,
34-37082 Apr. 8, 1996 Calvin L. Word
34-37065 Apr. 4, 1996 Flagship Securities, Inc., Dennis G. Milewitz and Noreen M. Barrington
34-37064 Apr. 3, 1996 Michael J. Randy
34-37063 Apr. 3, 1996 George J. Conway
First Quarter
34-37043Mar. 29, 1996 The Enstar Group, Inc.
33-7276 Mar. 29, 1996 BT Securities Corporation
34-37041 Mar. 29, 1996 Bernard H. Levy
34-37039 Mar. 28, 1996 John Dankovich and Linda Dankovich
34-37031 Mar. 27, 1996 David Sims and Lewis Kurtz
34-37019 Mar. 25, 1996 Becky A. Swanston
34-37018 Mar. 25, 1996 David F. Smith
33-7274 Mar. 15, 1996 Seth R. Roberts
34-36974 Mar. 14, 1996 Leroy S. Brenna
33-7273 Mar. 14, 1996 Richard G. Wiwi and Oracle Partners
34-36963 Mar. 13, 1996 Philip Snyder
34-36962 Mar. 13, 1996 Pamela Woods
34-36949 Mar. 11, 1996 Louis R. Weiss
34-36941 Mar. 7, 1996 Claudio Peter Iodice, Inc.
34-36937 Mar. 7, 1996 FAIC Securities, Inc.
34-36929 Mar. 6, 1996 Sandra Logay
34-36928 Mar. 6, 1996 Robert M. Simpson
3-8967 Mar. 5, 1996 John M. Goldberger and C. Kirk French
IA-1557 Mar. 1, 1996 Investors Income Systems of Florida, Inc.
34-36909 Feb. 29, 1996 Quest Capital Strategies, Inc. and David Chen Yu
34-36906 Feb. 29, 1996 Mitchell A. Vazquez
34-36898 Feb. 28, 1996 Greg M. Anderson and Russell G. Koch
IA-1554 Feb. 27, 1996 Professional Management-St. Louis Inc. and Wayne B. Conwell
IC-21783 Feb. 27, 1996 R. Marvin Mears
IC-21790 Feb. 27, 1996 Morris L. Lerner
34-36893 Feb. 27, 1996 Richard A. Knight
34-36886 Feb. 27, 1996 Continental Capital & Equity Corp. and John R. Manion
34-36878 Feb. 26, 1996 Ralph E. McKittrick
34-36879 Feb. 23, 1996 Kenneth A. Zak
34-36877 Feb. 23, 1996 Diagnostek, Inc., Joseph Sanginiti and Dennis Evans
34-36873 Feb. 22, 1996 Eugene Konev
34-36872 Feb. 22, 1996 John S. Griffin
34-36870 Feb. 22, 1996 David Arnold, David East and Jerry Payne
IA-1553 Feb. 22, 1996 Leroy S. Brenna and Dorothy J. Brenna
34-36865 Feb. 21, 1996 Candie's, Inc., Response USA, Inc., Salvatore Mazzeo and Schneck Weltzman Hashmall & Mischel
34-36855 Feb. 16, 1996 American Aricraft Corporation
34-36854 Feb. 16, 1996 Patricia Ann Bellows
34-36847 Feb. 14, 1996 Jon Edelman
34-36846 Feb. 14, 1996 Roc C. Hatfield
34-36845 Feb. 14, 1996 Westcap Securities
34-36839 Feb. 13, 1996. Patrick J. Doherty
34-36838 Feb. 13, 1996. John L. Fauls III
34-36835 Feb. 13, 1996. Russell Ponce
34-36829 Feb. 12, 1996. James S. Small
34-36808 Feb. 5, 1996 Charles Joseph Bazarian
34-36805 Feb. 1, 1996 Robert E. Lindley
34-36804 Feb. 1, 1996 Valerie Jensen
34-36803 Feb. 1, 1996 Ronald A. Romito
34-36802 Feb. 1, 1996 Raymond Charles Gross and James Eugene Hammonds
34-36800 Feb. 1, 1996 Kerkhoff Industries, Inc., John Russell Wells and Mark J. Wells
34-36787 Jan. 30, 1996. William Cho
34-36779 Jan. 26, 1996 Robert Vecchioni
34-36773 Jan. 25, 1996 The Robinson-Humphrey Company, Inc. and William L. Effinger, III
34-36768 Jan. 25, 1996 Joseph M. Arron
33-7261 Jan. 25, 1996 Stanley Peter Kerry
33-7260 Jan. 24, 1996 County of Orange, California, the Orange County Flood Control District and the County of Orange, California Board of Supervisors
34-36761 Jan. 24, 1996 (Orange County) 21a Report
33-7259 Jan. 22, 1996 Anthony J. Negus
34-36742 Jan. 19, 1996 William V. Giordano
34-36736 Jan. 18, 1996 P. Michael Goodman
34-36735 Jan. 18, 1996 Michael J. Randy
34-36734 Jan. 18, 1996 George J. Conway
34-34724 Jan. 17, 1996 PaineWebber Incorporated
IA-1547 Jan. 16, 1996 Investors Income Systems of Florida
IA-1546 Jan. 16, 1996 Joseph Edwin Giewartowski
34-36713 Jan. 15, 1996 Ronald Effren, Andrew S. Fink and Lee L.Engel
34-36700 Jan. 11, 1996 William F. Moody, Jr.
34-36699 Jan. 11, 1996 American Aircraft Corporation
34-36696 Jan. 9, 1996 Orlando Joseph Jett and Melvin Mullin
34-36695 Jan. 9, 1996 Edward A. Cerullo
34-36694 Jan. 9, 1996 First Fidelity Securities Group
34-36679 Jan. 4, 1996 Bradford P. Gillingham
34-36678 Jan. 4, 1996 Robert D. Carl, III
34-36673 Jan. 3, 1996 Edmund C. Lipinski
34-36672 Jan. 3, 1996 William W. Krueger
34-36670 Jan. 3, 1996 Fernando Cappuccio
34-36669 Jan. 3, 1996 Florio Fiorini

http://www.sec.gov/litigation/admin/adminarchive/adminarc1996.shtml


Modified: 10/03/2013