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Administrative Proceedings Archive 1998
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
2008 | 2007 | 2006 | 2005 | 2004 | 2003 | 2002 | 2001 | 2000 | 1999 | 1998 | 1997 | 1996 | 1995
| Release No. |
Date |
Respondents |
| Fourth Quarter |
| 34-40859 |
Dec. 29, 1998 |
Steven M. Gross |
| 34-40860 |
Dec. 29, 1998 |
Michael W. Roberts, C.P.A. |
| 34-40855 |
Dec. 29, 1998 |
Cesar A. Montilla |
| 33-1779 |
Dec. 28, 1998 |
Meridian Investment Management Corporation, Michael J. Hart, and Craig T. Callahan |
| 33-7619 |
Dec. 23, 1998 |
Sean P. Brennan and Keith E. Walsh |
| 34-40831 |
Dec. 23, 1998 |
Wayne T. Drinkwine |
| 34-40827 |
Dec. 23, 1998 |
Teressa L. Cawley |
| 34-40819 |
Dec. 22, 1998 |
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 |
| 34-40818 |
Dec. 21, 1998 |
William C. Bethea |
| 34-40788 |
Dec. 14, 1998 |
Marisa Baridis |
| 34-40787 |
Dec. 14, 1998 |
Keith Youngswick |
| 34-40769 |
Dec. 10, 1998 |
Anthony J. Bruno and James A. Bruno |
| 33-7617 |
Dec. 10, 1998 |
Michael P. Traba
Release Nos.: 34-40772, IC-23595 |
| 33-7616 |
Dec. 10, 1998 |
City of Moorhead, Mississippi
Release No.: 34-40770 |
| 34-40765 |
Dec. 9, 1998 |
FSC Securities Corporation |
| 33-7615 |
Dec. 9, 1998 |
Richard Hoffman and Kirk Montgomery
Release No.: 34-40766 |
| 33-7614 |
Dec. 9, 1998 |
Spectrum Administration, Inc., Ronald Kindschi and Michael A. Flanagan, Sr.
Release Nos.: 34-40764, IA-1776 |
| 34-40725 |
Nov. 30, 1998 |
Francis C. Decabia |
| 4-40724 |
Nov. 30, 1998 |
First Fidelity Securities Group |
| 40-1775 |
Nov. 25, 1998 |
Robert J. Smith |
| 613 |
Nov. 23, 1998 |
Stephens Inc. |
| 33-7612 |
Nov. 23, 1998 |
Stephens Inc.
Release No.: 34-40699 |
| 34-40697 |
Nov. 20, 1998 |
H. Thomas Fehn |
| 34-40691 |
Nov. 19, 1998 |
James R. Frith, Jr. |
| 34-40682 |
Nov. 16, 1998 |
Leandro Javier Obenauer and Brian Lynch |
| 34-40677 |
Nov. 13, 1998 |
Howe, Solomon and Hall and Christopher J. Hall |
| 33-7610 |
Nov. 12, 1998 |
Maynard Matt Smith |
| 34-40664 |
Nov. 12, 1998 |
William Sedkey Saydein |
| 34-40661 |
Nov. 12, 1998 |
Westcap Securities, L.P. |
| 34-40650 |
Nov. 9, 1998 |
Lawrence M. Knapp |
| 3440640 |
Nov. 4, 1998 |
Terry T. Steen |
| IA-1773 |
Nov. 2, 1998 |
Ira William Scott |
| 33-7594 |
Oct. 27, 1998 |
O'Brien Partners, Inc.
Release No.: IA-1772 |
| 33-7605 |
Oct. 27, 1998 |
Global Information Services, Inc. d/b/a Investment Hotlines and James E. Grady |
| 33-7604 |
Oct. 27, 1998 |
IBJ Publications, Inc. |
| 33-7603 |
Oct. 27, 1998 |
Maynard Matt Smith |
| 33-7602 |
Oct. 27, 1998 |
TKO International, Inc. and Leonard A. Turano |
| 33-7601 |
Oct. 27, 1998 |
David A. Wood, Jr. and ICS Communications, Inc. |
| 33-7599 |
Oct. 27, 1998 |
Eugene B. Martineau |
| 33-7600 |
Oct. 27, 1998 |
National Investors Council and Skip Nordstrom |
| 33-7598 |
Oct. 27, 1998 |
Core Communications Group, Inc. and Joshua Z. Levine |
| 33-7597 |
Oct. 27, 1998 |
Donald A. Baillargeon, individually and d/b/a Emerging Company Report |
| 33-7596 |
Oct. 27, 1998 |
Russell Klein |
| 33-7595 |
Oct. 27, 1998 |
The High Growth Publishing Group and Everett Gust |
| 34-40601 |
Oct. 26, 1998 |
Daniel J. Bubalo |
| 34-40574 |
Oct.20, 1998 |
Atlantic - Pacific Capital, Inc., Comstock Partners, L.L.C., Constitution Securities, Inc., Elswick, Banks and Associates, Inc., McGlone & Co., Phoenix Financial Services Corp., Laguna Financial Corp., Gelber Securities, Inc., J.W. Barclay & Co., Inc., Multi Spectrum Investing Corp., Stonegate Securities, Inc., V.B.C. Securities, Alden Capital Markets, Inc., Bettinger & Leech Financial Corp., E.C. Capital, Ltd., J. Robbins Securities, L.L.C., and William Scott & Co., L.L.C.; |
| 34-40573 |
Oct. 20, 1998 |
Certain Broker-Dealers Who Failed To File All or Part of Form BD-Y2K |
| 33-7592 |
Oct. 13, 1998 |
Thomas B. O'Connell
Release Nos.: 34-40544, IA-1770 |
| 34-40531 |
Oct. 8, 1998 |
Matthew Thomas Burgason |
| Third Quarter |
| IA-1768 |
Sep. 30, 1998 |
Bell Capital Management, Inc., Ronnie H. Bell, Thomas C. Comsudes, and Mark S. Palmer |
| 33-7591 |
Sep. 30, 1998 |
Craig Leibold, Jeffrey Oetting, Tom Pollard, and Mark Salter
Release No.: 34-40507 |
| IA-1767 |
Sep. 30, 1998 |
Abn Amro-Nsm International Funds Management, B.V. |
| IA-1766 |
Sep. 30, 1998 |
Schuylkill Capital Management, Ltd. and Howard A. Trauger |
| 34-40510 |
Sep. 30, 1998 |
H.J. Meyers & Co., Inc. and Tobin J. Senefeld |
| 34-40509 |
Sep. 30, 1998 |
Michelle Sotnikow |
| 34-40508 |
Sep. 30, 1998 |
J. David Glover, Jr. |
| 34-40504 |
Sep. 30, 1998 |
Irwin Frankel |
| 34-40503 |
Sep. 30, 1998 |
John Marsala |
| 34-40502 |
Sep. 30, 1998 |
Douglas C. Selander |
| 34-40501 |
Sep. 30, 1998 |
Allen Weinstein |
| 34-40506 |
Sep. 30, 1998 |
William N. Briggs |
| 34-40494 |
Sep. 29, 1998 |
Mike Zaman |
| IA-1765 |
Sep. 29, 1998 |
Rhumbline Advisers and John D. Nelson |
| IA-1764 |
Sep. 29, 1998 |
Profitek, Inc. and Edward G. Smith |
| IA-1763 |
Sep. 29, 1998 |
Finarc, LLC and Catherine F. White |
| 33-7590 |
Sep. 29, 1998 |
City of Anaheim, City of Irvine, Irvine Unified School District, North Orange County Community College District, and Orange County Board Of Education |
| 33-7589 |
Sep. 29, 1998 |
Newport-Mesa Unified School District |
| 34-40489 |
Sep. 28, 1998 |
Patricia S. Gale |
| 34-40488 |
Sep. 28, 1998 |
Nancy A. Swoffer |
| 34-40495 |
Sep. 29, 1998 |
Donna Laubscher, CPA and Sherald Griffin, CPA |
| 34-40490 |
Sep. 28, 1998 |
Christopher M. Pedersen |
| IA-1761 |
Sep. 28, 1998 |
Rupay-Barrington Investment Advisory Services, Inc. and Frederick A. Wolf
Release No.: IC-23471 |
| IC-23470 |
Sep. 28, 1998 |
Concord Growth Corporation |
| 33-7588 |
Sep. 28, 1998 |
Reid Rutherford
Release No.: IC-23469 |
| 33-7587 |
Sep. 28, 1998 |
Bryon G. Borgardt and Eric M. Banhazl
Release No.: IC-23468 |
| 34-40484 |
Sep. 25, 1998 |
John W. Gillette, Jr.
Release No.: IA-1760 |
| IA-1757 |
Sep. 25, 1998 |
Seaboard Investment Advisers, Inc. and Eugene W. Hansen |
| IA-1758 |
Sep. 25, 1998 |
Pankowski Associates, Inc. and Joseph R. Pankowski |
| 34-40483 |
Sep. 25, 1998 |
Randy Depoister
Release No.: IA-1759 |
| 34-40480 |
Sep. 25, 1998 |
Ted C. Beattie and Linda Beattie |
| 33-7585 |
Sep. 24, 1998 |
The City of Moorhead, Mississippi
Release No.: 34-40478 |
| 34-40477 |
Sep. 24, 1998 |
Robert J. Meledandri, Jr. |
| 34-40471 |
Sep. 24, 1998 |
John Von Der Lieth, III, and Daniel F. Dugan |
| 34-40470 |
Sep. 24, 1998 |
Ronald Bajorek, Jr. |
| 34-40468 |
Sep. 24, 1998 |
Joseph W. Pellechia |
| 33-7586 |
Sep. 24, 1998 |
Global Casinos, Inc. and William P. Martindale
Release No.: 34-40469 |
| 34-40476 |
Sep. 24, 1998 |
Corrpro Companies, Inc., Richard K. Harr |
| 34-40467 |
Sep. 23, 1998 |
Nicholas C. Bogard
Release No.: IA-1756 |
| 33-7584 |
Sep. 23, 1998 |
Sean P. Brennan and Keith E. Walsh
Release Nos.: 34-40466, IA-1755, IC-23463 |
| 33-7583 |
Sep. 23, 1998 |
CS First Boston Investment Management Corporation
Release Nos.: 34-40465, IA-1754 |
| 33-7582 |
Sep. 23, 1998 |
Raymond R. Newberg
Release No.: 34-40464 |
| 34-40462 |
Sep. 23, 1998 |
David E. Freitag |
| 34-40461 |
Sep. 23, 1998 |
Daniel L. Gotthilf, C.P.A. |
| 34-40460 |
Sep. 23, 1998 |
John T. Fortier |
| 34-40459 |
Sep. 23, 1998 |
Nylife Securities Inc. |
| IA-1753 |
Sep. 22, 1998 |
Orlando R. Landa |
| 33-7581 |
Sep. 22, 1998 |
Meda Belle McKinney
Release No.: 34-40453 |
| 34-40452 |
Sep. 22, 1998 |
Innovative Consulting Services, Inc. and Richard W. Mchenry |
| 34-40450 |
Sep. 18, 1998 |
Brian M. Cohen |
| 34-40446 |
Sep. 17, 1998 |
Audre Recognition Systems, Inc., Beverly E. Johnston, and Nick R. Avila |
| IA-1750 |
Sep. 14, 1998 |
Ellen Griggs |
| 33-7580 |
Sep. 16, 1998 |
Stanley Berk, Bay Area Management, Armor Pension Managers and Marine Midland Bank |
| 34-40425 |
Sep. 10, 1998 |
Andrew Paul Tomasko |
| 33-7579 |
Sep. 14, 1998 |
Stephen H. Brown
Release Nos.: 34-40435, IA-1751, IC-23434 |
| 33-7578 |
Sep. 10, 1998 |
Bradford A. Orosey, Larry J. Bagwell, Connie L. Bally and Joseph O. Fallin and Administrative Proceedings Instituted against MGSI Securities, Inc. and James W. GG
Release No.: 34-40429 |
| 33-7577 |
Sep. 10, 1998 |
Olde Discount Corp., Ernest J. Olde, Stanley A. Snider, and Daniel D. Katzman
Release No.: 34-40423 |
| 33-7576 |
Sep. 9, 1998 |
Gilbert Mintz and Pearle G. Mintz
Release No.: 34-40417 |
| 33-7575 |
Sep. 9, 1998 |
Erik W. Chan
Release No.: 34-40416 |
| 33-7574 |
Sep. 9, 1998 |
Donald E. Whorl
Release No.: 34-40415 |
| 33-7573 |
Sep. 9, 1998 |
Charles N. Lipton, CPA
Release No.: 34-40414 |
| 33-7572 |
Sep. 9, 1998 |
Steven M. Scarano, CPA
Release No.: 34-40413 |
| 33-7571 |
Sep. 3, 1998 |
Kevin C. Speranza, and Robert A. Maggi
Release No.: 34-40396 |
| 33-7570 |
Sep. 3, 1998 |
Kuo-Chang Wong
Release No.: 34-40394 |
| 34-40389 |
Sep. 1, 1998 |
Janis A. Patterson |
| 33-7569 |
Sep. 1, 1998 |
Joseph P. Tufo
Release No.: 34-40388 |
| 34-40376 |
Aug. 27, 1998 |
Wheat, First Securities Inc. F/k/a First Union Capital Markets Corporation |
| 34-40375 |
Aug. 27, 1998 |
The Nikko Securities Co. International, Inc., Masao Ebina, Tadao Osada, and Toshiyuki Sagiuchi |
| 34-40322 |
Aug. 13, 1998 |
Jeffrey A. Egan
Release No.: IA-1742 |
| 34-40366 |
Aug. 26, 1998 |
Dean Witter Reynolds Inc., Henry L. Auwinger, and Dennis W. Peterson |
| 34-40362 |
Aug. 25, 1998 |
Jacqueline Badger Mars |
| 34-40347 |
Aug. 20, 1998 |
Oliver Williams |
| 34-40336 |
Aug. 19, 1998 |
Frank Palumbo |
| IA-1747 |
Aug. 19, 1998 |
William J. Ferry |
| IA-1745 |
Aug. 13, 1998 |
Donna L. Snyder |
| IA-1744 |
Aug. 13, 1998 |
Charles E. Duquette |
| IA-1743 |
Aug. 13, 1998 |
American Growth of The Investment Advisers Capital Corp. |
| IA-1741 |
Aug. 12, 1998 |
Nicholas-Appelgate Capital Management |
| 33-7566 |
Aug. 24, 1998 |
Merrill Lynch, Pierce, Fenner & Smith Inc.
Release No.: 34-40352 |
| 33-7565 |
Aug. 18, 1998 |
Eric S. Blumen, Jordan I. Shamah, Irving Stitsky
Release No.: 34-40333 |
| 33-7564 |
Aug. 18, 1998 |
Ira A. Boshnack, Andrew S. Friedman, Douglas C. Miller
Release No.: 34-40332 |
| 34-40346 |
Aug. 20, 1998 |
David L. Chandler |
| 34-40329 |
Aug. 17, 1998 |
George E. Brooks & Associates, Inc., Morehead Investment Advisors, Inc., and George E. Brooks
Release Nos.: IA-1746, IC-23392 |
| 4-40313 |
Aug. 10, 1998 |
Frank P. Zitkevitz |
| 4-40309 |
Aug. 7, 1998 |
Cesar A. Montilla |
| 33-7561 |
Aug. 6, 1998 |
Spacedev, Inc. and James W. Benson
Release No.: 34-40307 |
| 34-40305 |
Aug. 5, 1998 |
Sony Corporation and Sumio Sano |
| 33-7560 |
Jul. 31, 1998 |
Prime Advisors, Inc., Norman Zadeh, and Jeffrey Goodstein
Release Nos.: 34-40292, IA-1739, IC-23368 |
| 34-40291 |
Jul. 31, 1998 |
Peter F. Kuebler, CPA |
| 34-40290 |
Jul. 31, 1998 |
Maria Mei Wenner, CPA |
| 33-7559 |
Jul. 30, 1998 |
Amerivision Communications, Inc., Hebron Communications Corp., Tracy C. Freeny and Carl D. Thompson
Release No.: 34-40282 |
| 34-40281 |
Jul. 30, 1998 |
Incomnet, Inc., Joel W. Greenberg, and Stephen A. Caswell |
| 34-40280 |
Jul. 30, 1998 |
Barbara J. Cavallo |
| 34-40279 |
Jul. 30, 1998 |
Ivor R. Ellul and Joseph R. Summa |
| 34-40269 |
Jul. 28, 1998 |
PFS Investments, Inc. |
| 33-7557 |
Jul. 28, 1998 |
Piper Capital Management, Inc., Worth V. Bruntjen, Marijo A. Goldstein, Robert H. Nelson, Amy K. Johnson, Molly Destro, and Edward J. Kohler
Release Nos.: 34-40267, IA-1737, IC-23333 |
| 34-40265 |
Jul. 27, 1998 |
Rudy Crosswell and Paula G. Den Boer |
| 34-40259 |
Jul. 23, 1998 |
Rosario Russell Ruggiero |
| 34-40256 |
Jul. 23, 1998 |
Eugene Laff, Stanley Aslanian, Jr., and Lawrence Caito |
| 34-40234 |
Jul. 17, 1998 |
Brack Stanford and Associates, Inc. and Brack Stanford
Release No.: IA-1734 |
| 33-7554 |
Jul. 13, 1998 |
Coahoma County, MS, et al.
Release No.: 34-40194 |
| 34-40183 |
Jul. 9, 1998 |
Susan L. Henry |
| 33-7553 |
Jul. 9, 1998 |
Robert G. Bettiga
Release No.: 34-40184 |
| 34-40181 |
Jul. 8, 1998 |
Charles T. Young, CPA |
| 34-40174 |
Jul. 7, 1998 |
Hernan Jose Perez |
| 34-40173 |
Jul. 7, 1998 |
J.W. Korth & Co. and James Wilder Korth |
| 33-7552 |
Jul. 7, 1998 |
Fundamental Portfolio Advisors, Inc., Lance M. Brofman, Vincent J. Malanga, and Fundamental Service Corporation
Release Nos.: 34-40175, IA-1729, IC-23304 |
| 34-40171 |
Jul. 6, 1998 |
Gaston E. Oxman |
| 34-40170 |
Jul. 6, 1998 |
Frank J. Cooney |
| 34-40169 |
Jul. 6, 1998 |
Erick A. Gray |
| 34-40168 |
Jul. 6, 1998 |
My Dang |
| Second Quarter |
| 34-40142 |
Jun. 29, 1998 |
Venator Group, Inc., formerly known as Woolworth Corporation, E. Ronald Gamble and Laura T. Kirsner |
33-7551,
34-40134 |
Jun. 26, 1998 |
James Ray Ross |
| 34-40131 |
Jun. 25, 1998 |
Christopher M. Pedersen |
| 34-40130 |
Jun. 25, 1998 |
WHX Corporation |
| 34-40128 |
Jun. 25, 1998 |
James D. Scott |
| 34-40127 |
Jun. 25, 1998 |
Jayne Kathryn Rand |
| 34-40125 |
Jun. 25, 1998 |
Frank Berger |
| 34-40116 |
Jun. 24, 1998 |
Betty Ann Rubin |
| 34-40106 |
Jun. 22, 1998 |
Paul R. Safronchik, CPA |
| 33-7547 |
Jun. 24, 1998 |
Ian Fishman and Lawrence Fishman
Release No.: 34-40115 |
| 34-40101 |
Jun. 19, 1998 |
Cortlandt Capital Corp., Mayer Amsel, and Joseph Michael Guccione |
| 34-40100 |
Jun. 19, 1998 |
Cortlandt Capital Corp., Mayer Amsel, and Joseph Michael Guccione |
| 34-40098 |
Jun. 17, 1998 |
Thomas D. Leaper, CPA, William T. Wall, III, CPA, Fred S. Flax, CPA, and Kellogg & Andelson LLC |
| 34-40093 |
Jun. 15, 1998 |
Ted E. Mong |
| 34-40084 |
Jun. 12, 1998 |
Emmanuel A.U. Lagpacan
Release No.: IA-1725 |
| 34-40078 |
Jun. 8, 1998 |
Mark Muenster |
| 34-40076 |
Jun. 5, 1998 |
Michael Cardascia |
| 34-40068 |
Jun. 4, 1998 |
Charles Meizoso |
| 34-40067 |
Jun. 4, 1998 |
Eugene McCloskey |
| 34-40061 |
Jun. 3, 1998 |
Joseph Miceli, Jr. |
| 34-40060 |
Jun. 3, 1998 |
David W. D'Andrea |
| 34-40049 |
Jun. 1, 1998 |
The Rockies Fund, Inc., Stephen G. Calandrella, Charles M. Powell, Clifford C. Thygesen, and John C. Power
Release No.: IC-23229 |
| 33-7543 |
May 27, 1998 |
Lloyd John Newton
Release No.: 34-40027 |
| 33-7542 |
May 22, 1998 |
Richard E. Tobin
Release No.: 34-40023 |
| 33-7540 |
May 20, 1998; May 30, 1998 |
Kerrigan Sean Weber
Release No.: 34-40012 |
| 34-40011 |
May 20, 1998 |
Paul C. Kettler |
| 34-40002 |
May 19, 1998 |
Richard Valade, CPA |
| 34-39994 |
May 14, 1998 |
George Craig Stayner |
| 34-39993 |
May 14, 1998 |
David Walter Connochie |
| 34-39984 |
May 12, 1998 |
Pepsi-Cola Puerto Rico Bottling Company |
| 34-39961 |
May 6, 1998 |
Jean M. Yawn |
| 34-39968 |
May 6, 1998 |
Paul I. Comi |
| 33-7538 |
May 7, 1998 |
Alfred Peeper, Charles F. Kirby, Gene C. Geiger, and Edward H. Price
Release No.: 34-39971 |
| 33-7535 |
May 5, 1998 |
County of Nevada, City of Ione, Wasco Public Financing Authority, Virginia Horler, and William Mckay |
| 33-7536 |
May 5, 1998 |
County of Nevada, City of Ione, Wasco Public Financing Authority, Virginia Horler, and William Mckay |
| 33-7537 |
May 5, 1998 |
County of Nevada, City of Ione, Wasco Public Financing Authority, Virginia Horler, and William Mckay |
| 34-39950 |
May 5, 1998 |
William D. Tetsworth, Jr. |
| 33-7533 |
May 5, 1998 |
Timothy J. Brannon, Jr.
Release No.: 34-39949 |
| IA-1720 |
May 4, 1998 |
John Gardner Black and Devon Capital Management, Inc. |
| 33-7532 |
May 4, 1998 |
NationsSecurities and NationsBank, N.A. |
| 34-39943 |
May 1, 1998 |
H. Beck, Inc. and Gary S. Hurvitz |
| 33-7531 |
Apr. 30, 1998 |
Robert Francis Buchheit, Sr.
Release No.: 34-39932 |
| 34-39931 |
Apr. 30, 1998 |
Leslie Danish |
| 34-39930 |
Apr. 29, 1998 |
Raymond A. Basile |
| 33-7530 |
Apr. 29, 1998 |
Schneider Securities, Inc., Barry D. Tull, and Paul E. Pinholster
Release No.: 34-39929 |
| 34-39926 |
Apr. 28, 1998 |
R. James Brower |
| 34-39921 |
Apr. 27, 1998 |
George E. Brooks & Associates, Inc., Moreheade Investment Advisors Inc., and George E. Brooks |
| 34-39919 |
Apr. 27, 1998 |
Joseph Sanfellipo |
| 34-39917 |
Apr. 27, 1998 |
A. Morgan Maree, Jr. & Associates, Inc. and Hugh Duff Robertson |
| IA-1717 |
Apr. 24, 1998 |
Reservoir Capital Management, Inc. and Roann Costin |
| 33-7529 |
Apr. 27, 1998 |
Thomas F. Ferris |
| 33-7528 |
Apr. 27, 1998 |
Albert Glenn Yesner |
| 33-7527 |
Apr. 24, 1998 |
David T. Barr |
| 33-7526 |
Apr. 23, 1998 |
Steven T. Snyder |
| 33-7525 |
Apr. 23, 1998 |
Meridian Securities, Inc., CoreStates Capital Markets and Martin J. Stallone |
| 34-39902 |
Apr. 22, 1998 |
Michael W. Crow |
| 34-39901 |
Apr. 22, 1998 |
Jeffrey A. Lobel |
| IA-1715 |
Apr. 13, 1998 |
Steven L. Down |
| IA-1714 |
Apr. 13, 1998 |
Rothschild Investment Corporation |
| 34-39848 |
Apr. 10, 1998 |
Jamie Charles Spangler |
| 34-39844 |
Apr. 9, 1998 |
Jeffrey Price and Michael Ostrach |
| 34-39843 |
Apr. 9, 1998 |
Lee Pharmaceuticals, Henry L. Lee, Jr., Ronald G. Lee and Michael L. Agresti |
| 33-7522 |
Apr. 6, 1998 |
William P. Carroll |
| First Quarter |
| 33-7521 |
Mar. 30, 1998 |
Mitchell Hutchins Asset Management Inc.
Release Nos.: 34-39817, IA-1712, IC-23090 |
| 33-7520 |
Mar. 27, 1998 |
Feeley and Willcox Asset Management Corp. and Michael J. Feeley |
| 34-39812 |
Mar. 27, 1998 |
George J. Kolar |
| 34-39807 |
Mar. 26, 1998 |
Jerry G. Allison |
| 34-39801 |
Mar. 25, 1998 |
Peter F. Kuebler |
| 33-7519 |
Mar. 25, 1998 |
Holiday Stock Transfer, Inc. and Sharon M. Owen |
| 34-39795 |
Mar. 25, 1998 |
Thomas Anthony Calise |
| 34-39793 |
Mar. 25, 1998 |
Thomas H. Pike |
| 34-39792 |
Mar. 25, 1998 |
Joy Lynn Schneider Green |
| 33-7518 |
Mar. 25, 1998 |
Sensormatic Electronics Corporation |
| 33-7517 |
Mar. 23, 1998 |
Paul D. Blasetti |
| 33-7515 |
Mar. 18, 1998 |
Eugene Bilotti |
| 34-39753 |
Mar. 13, 1998 |
Scott S. Bell and Theta Group, LLC |
| 34-39752 |
Mar. 13, 1998 |
James D. Rocco |
| 34-39737 |
Mar. 10, 1998 |
Jerry Stone |
| 34-39714 |
Mar. 4, 1998 |
Paul L. Nieto |
| 34-39710 |
Mar. 3, 1998 |
Kuslima Shogen, Stanislaw Mikulski and Allen Siegel |
| 34-39703 |
Feb. 27, 1998 |
Daniel E. Goodman |
| 34-39702 |
Feb. 27, 1998 |
Robert Hardy |
| 33-7510 |
Feb. 26, 1998 |
Monetta Financial Services, Inc., Robert S. Barcarella, William M. Valiant, Paul W. Henry and Richard D. Russo
Release Nos.: 34-39701, IA-1702, IC-23048 |
| 34-39687 |
Feb. 20, 1998 |
Michael Lissack |
| 34-39642 |
Feb. 11, 1998 |
David P. Silver |
| 34-39629 |
Feb. 9, 1998 |
William F. Lincoln |
| 34-39605 |
Feb. 2, 1998 |
Alexander Ruge, Bertram Slutzky, Jeffrey Szur, and Andrew Scudiero |
| 33-7503 |
Feb. 2, 1998 |
County of Nevada (Calif.), City of Ione, Wasco Public Financing Authority, Virginia Horler, and William McKay
Release No.: 34-39612 |
| 34-39601 |
Jan. 30, 1998 |
Paul G. Mount |
| 33-7502 |
Jan. 30, 1998 |
Dean McDermott, Stephen Compos and Daniel Shaffer |
| 33-7501 |
Jan. 30, 1998 |
Pacific Matrix Financial Group, Inc.
Release No.: 34-39600 |
| 33-7499 |
Jan. 29, 1998 |
Ronald W. Driol |
| 33-7498 |
Jan. 29, 1998 |
Credit Suisse First Boston Corporation, Jerry L. Nowlin, and Douglas S. Montague
Release No.: 34-39595 |
| 34-39592 |
Jan. 28, 1998 |
Paul Francis Mabry |
| 34-39589 |
Jan. 28, 1998 |
Steven C. Wolfe, Sr. |
| 34-39579 |
Jan. 26, 1998 |
Sheldon Kraft |
| 34-39568 |
Jan. 22, 1998 |
August Mezzetta |
| 33-7496 |
Jan. 20, 1998 |
Brian D. Schrauger and Questor Group, Inc. |
| 34-39559 |
Jan. 20, 1998 |
Robert Bogutski |
| 34-39536 |
Jan. 9, 1998 |
Cecil R. Glass III |
| 34-39535 |
Jan. 9, 1998 |
James B. Boswell |
| 34-39534 |
Jan. 9, 1998 |
Dyke Ferrell |
| 34-39533 |
Jan. 9, 1998 |
Bret L. Boteler |
| 34-39531 |
Jan. 9, 1998 |
Struthers Industries, Inc. |
| 34-39521 |
Jan. 7, 1998 |
Richard Cannistraro |
| 34-39522 |
Jan. 7, 1998 |
F.N. Wolf & Co., Inc. |
| 34-39515 |
Jan. 2, 1998 |
James E. Eaton |
http://www.sec.gov/litigation/admin/adminarchive/adminarc1998.shtml
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