SEC Seal Home | Jobs | Fast Answers | Site Map | Search
U.S. Securities and Exchange Commission


  About the SEC

  Filings & Forms

  Regulatory Actions

  Staff Interps

  Investor Info

  News & Statements

  Litigation


  ALJ

  Information for...

  Divisions


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

Additional Archives

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
34-39118 Sep. 23, 1997 Smith Barney, Inc.
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
AAE-917
May 28, 1997 Steven W. Koinis
33-7420
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 Doverand 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
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 andDavid 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


Modified: 10/16/2014