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Administrative Proceedings Archive 2000

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
34-43772 Dec. 26, 2000 Claude Cossu
33-7930 Dec. 21, 2000 Vincent Deuschel and Tucker Anthony, Inc.
34-43764 Dec. 21, 2000 Jon F. Williams
34-43761 Dec. 21, 2000 International Business Machines Corporation
34-43760 Dec. 21, 2000 Vincent Deuschel and Tucker Anthony, Inc.
34-43759 Dec. 21, 2000 H.J. Meyers & Co., Inc., James A. Villa and James C. Witzel
34-43753 Dec. 20, 2000 SAF T LOK, INC.
33-7929 Dec. 20, 2000 Marion Bass Securities Corp. and Gerald Chandik
33-7928 Dec. 20, 2000 US Diagnostic Inc. and Jeffrey Goffman
IA-1915 Dec. 19, 2000 Christopher A. Lowry
34-43725 Dec. 14, 2000 Antoinette A. Parsons and Stacy L. Hamm
34-43724 Dec. 14, 2000 Microstrategy, Inc.
34-43722 Dec. 13, 2000 Robin R. McEachin
Release Nos. IA-1914, 34-43722
34-43715 Dec. 13, 2000 Craig Consumer Electronics, Inc.
33-7927 Dec. 13, 2000 Suzanne Pelosie
34-43713 Dec. 12, 2000 Michael T. Fearnow d/b/a Financial Broker Relations, and Focus Tech Investments, Inc.
34-43712 Dec. 12, 2000 James K. McKillop d/b/a BKL BrokerLink Capital Research and Communications
34-43711 Dec. 12, 2000 Sidney J. Golub and Adar International, Inc. d/b/a The Adar Group
34-43710 Dec. 12, 2000 John B. Longman and Longman & Associates, Inc.
34-43709 Dec. 12, 2000 Kevin H. Kading, Kading Companies, S.A., Joning Corp. f/k/a Global Stock Exchange Corp., and John O. Jones, Jr.
34-43708 Dec. 12, 2000 Jeffrey S. Honigman
34-43703 Dec. 11, 2000 Vincent Poliseno
34-43702 Dec. 11, 2000 Vincent Poliseno
33-7926 Dec. 11, 2000 Lawrence M. Artz, Neurotech Development Corp. (f/k/a/ Neurotech Corp.), Enhance Resources, Inc. and Bruce W. Lynch
34-43693 Dec. 8, 2000 David Blech
34-43687 Dec. 7, 2000 United Stock Transfer, Inc. and John J. Donnelly
34-43682 Dec. 6, 2000 Monarch Investment Properties Inc. and Anthony E. Gurino
34-43681 Dec. 6, 2000 Brett S. Henderson
34-43674 Dec. 5, 2000 John G. Wright, Jr.
34-43673 Dec. 5, 2000 William J. Nordvik, Jon F. Williams and John G. Wright, Jr.
34-43672 Dec. 5, 2000 William J. Nordvik, Jon F. Williams and John G. Wright, Jr.
34-43670 Dec. 5, 2000 William J. Nordvik, Jon F. Williams and John G. Wright, Jr.
33-7925 Dec. 5, 2000 Salvatore DiAmbrosio, Bearcat, Inc., D&D Securities, Inc., Peter Fineberg, Seth Diamond, Nicholas DiCicco and Dominic DiCicco
Release Nos. 33-7925, 34-43669
34-43663 Dec. 4, 2000 Krista Castleton Nielsen
33-7924 Dec. 4, 2000 National Stock Transfer Inc., and Roger Lee Greer
Release Nos. 33-7924, 34-43662
34-43661 Dec. 4, 2000 David Coleman
33-7923 Dec. 1, 2000 Steven Eugene Scott
Release Nos. 33-7923, 34-43656
34-43649 Dec. 1, 2000 Stanley Schulman
33-7922 Dec. 1, 2000 Leslie E. Rossello
Release Nos. 33-7922, 34-43650
34-43644 Nov. 30, 2000 Joseph A. Monaco
34-43633 Nov. 29, 2000 Pinnacle Business Management, Inc.
34-43622 Nov. 27, 2000 H.J. Meyers & Co., Inc., James A. Villa, and James C. Witzel
33-7921 Nov. 22, 2000 Detour Magazine, Inc.
Release Nos. 33-7921, 34-43610
33-7920 Nov. 22, 2000 Barry H. Peterson-Ross
Release Nos. 33-7920, 34-43609
34-43569 Nov. 16, 2000 W. David East, Jr.
33-7918 Nov. 17, 2000 H.J. Meyers & Co., Inc., Robert Setteducati, Williams Masucci, Michael Vanechanos, and James A. Villa; and H.J. Meyers & Co., Inc., James A. Villa, and James C. Witzel
Release Nos. 33-7918, 34-43579
34-43578 Nov. 17, 2000 Stephen V. Burns
33-7917 Nov. 16, 2000 James Steele Douglass
Release Nos. 33-7917, 34-43572
33-7916 Nov. 16, 2000 Glen Donald Lang
Release Nos. 33-7916, 34-43571
34-43570 Nov. 16, 2000 Per-Se Technologies, Inc., formerly known as Medaphis Corporation
33-7915 Nov. 14, 2000 Waltzer and Associates, Lewis N. Waltzer, and Karney E. Waltzer
Release Nos. 33-7915, 34-43562, IA-1909, IC-24739
33-7914 Nov. 14, 2000 Waltzer and Associates, Lewis N. Waltzer, and Karney E. Waltzer
Release Nos. 33-7914,34-43561, IA-1908, IC-24738
34-43560 Nov. 14, 2000 Dean C. Turner
34-43532 Nov. 8, 2000 Donald E. Studer
34-43531 Nov. 8, 2000 Luis R. Hidalgo Jr., CPA
34-43503 Nov. 1, 2000 Michael J. Markowski and Joseph F. Riccio
34-43498 Oct. 31, 2000 Horton & Company and Edward C. Horton
34-43497 Oct. 31, 2000 Pat A. Rossetti and Jeffrey M. Yonkers
34-43486 Oct. 27, 2000 David W. Benner
34-43478 Oct. 24, 2000 First Union Securities, Inc.
34-43472 Oct. 23, 2000 Marc B. Nogid
34-43466 Oct. 20, 2000 Edward R. Cox and Cox Securities, Inc.
34-43450 Oct. 17, 2000 Asif Ameen and Bruce W. Bertsch
34-43449 Oct. 17, 2000 Asif Ameen and Bruce W. Bertsch
34-43446 Oct. 16, 2000 Robert G. Herndon
34-43445 Oct. 16, 2000 Victor Douenias
34-43434 Oct. 12, 2000 High Speed Net Solutions, Inc.
34-43431 Oct. 11, 2000 All-Tech Direct, Inc., f/k/a All-Tech Investment Group, Inc., Harry Lefkowitz, Mark Shefts, Lisa Esposito, Ralph Zulferino, David Waldman, Adam Leeds, and Barry Parish
33-7910 Oct. 10, 2000 Richard Langley, Jr. and Gerald Larder
Release Nos. 33-7910, 34-43428
34-43433 Oct. 11, 2000 Victor M. Wang
34-43432 Oct. 11, 2000 Gregg A. Thaler
33-7909 Oct. 10, 2000 Shamrock Partners Ltd., James T. Kelly, John R. Doyle, and Stephen J. Fischer
Release Nos. 33-7909, 34-43425
34-43423 Oct. 6, 2000 PalmWorks, Inc.
34-43422 Oct. 6, 2000 Herbert M. Campbell II
34-43416 Oct. 5, 2000 Engineering Animation, Inc. and Michael J. Jablo
Third Quarter
34-43393 Sep. 29, 2000 First Springfield Securities, Inc., Donald E. Radle and Michael S. Dwyer
34-43392 Sep. 29, 2000 Alexander Lushtak and Charles Seavey
33-7908 Sep. 29, 2000 Larry H. Weltman
Release Nos. 33-7908, 34-43400
33-7907 Sep. 29, 2000 Hugh D. Cooper
Release Nos. 33-7907, 34-43399
33-7906 Sep. 29, 2000 Victor Caron
Release Nos. 33-7906, 34-43398
33-7905 Sep. 29, 2000 William J. Bosso
Release Nos. 33-7905, 34-43397
33-7904 Sep. 29, 2000 CGI Capital, Inc.
Release Nos. 33-7904, 34-43387
IA-1902 Sep. 29, 2000 Susan M. Gorski
IA-1901 Sep. 29, 2000 Timothy Charles Sweeney
34-43391 Sep. 29, 2000 Donald C. Yount, CPA
34-43390 Sep. 29, 2000 Theodore R. Hunter
Release Nos. 34-43390, IA-1903
34-43389 Sep. 29, 2000 Luis E. Gomez, CPA
34-43388 Sep. 29, 2000 Drew Bergman
34-43386 Sep. 29, 2000 David Barroso, Jr.
34-43385 Sep. 29, 2000 Todd Hansen
34-43382 Sep. 28, 2000 Alex Moore Co., Inc., Livetrade.com, Inc., and Michael Weissman
34-43381 Sep. 28, 2000 Paul Nortman
34-43379 Sep. 28, 2000 Stanley H. Van Etten
34-43378 Sep. 28, 2000 Douglas R. Shisler
34-43375 Sep. 28, 2000 Charles T. Bennett
34-43374 Sep. 28, 2000 Dean H. Harris
IA-1899 Sep. 28, 2000 Mumtaz Saxena
Release Nos. IA-1899, IC-24668
34-43373 Sep. 28, 2000 Richard J. Fulcher, Thomas J. Dolan, Walter G. Lapp, and Lawrence E. Seppanen
34-43372 Sep. 28, 2000 E.ON AG
33-7903 Sep. 27, 2000 Isaac Hager
Release Nos. 33-7903, 34-43366
34-43362 Sep. 27, 2000 Craig Consumer Electronics, Inc.
34-43361 Sep. 27, 2000 Bonnie K. Metz
34-43360 Sep. 27, 2000 Countryland Wellness Resorts, Inc.
34-43359 Sep. 27, 2000 YourBankOnline.com, Pakie Plastino and William L. Butcher
33-7902 Sep. 27, 2000 Premier Laser Systems Inc.
Release Nos. 33-7902, 34-43358
34-43357 Sep. 27, 2000 Cylink Corporation
33-7901 Sep. 26, 2000 Dale E. Frey and Roger A. Rawlings
Release Nos. 33-7901, 34-43356
33-7900 Sep. 26, 2000 William Lee Jeffers
Release Nos. 33-7900, 34-43355
34-43354 Sep. 26, 2000 D.E. Frey and Company, Inc.
33-7899 Sep. 26, 2000 Douglas J. Hopwood
Release Nos. 33-7899, 34-43353
34-43352 Sep. 26, 2000 Prospera Financial Services, Inc. (f\k\a Addison Securities, Inc.)
33-7898 Sep. 26, 2000 Cheryl A. Rodgers
Release Nos. 33-7898, 34-43351
34-43350 Sep. 26, 2000 Signal Securities Inc., Ivan Jerry Singleton, and Richard E. Bennett
34-43349 Sep. 26, 2000 First Colonial Securities Group, Inc., Michael E. Golden and Steven D. Schwartz
33-7897 Sep. 26, 2000 Centennial Technologies, Inc.
Release Nos. 33-7897, 34-43345
34-43341 Sep. 26, 2000 Maritza Galle and Bertha Ayala
34-43335 Sep. 25, 2000 Dale Van Wyk
34-43334 Sep. 25, 2000 MainStreetIPO.com Inc. and Joseph M. Salvani
33-7896 Sep. 25, 2000 Raymond A. Parkins, Jr
Release Nos. 33-7896, 43336
34-43327 Sep. 22, 2000 Edward Cheramy
Release Nos. 34-43327
34-43326 Sep. 22, 2000 Rudy Wann
Release Nos. 34-43326
33-7895 Sep. 22, 2000 Manohar Surana
Release Nos. 33-7895, 34-43325
34-43322 Sep. 21, 2000 Shirley A. McKinney, Darlan Gordon, Michael J. McEvoy, Francis A. Taylor, IV, Douglas Parks and John Brownson
34-43321 Sep. 21, 2000 Paul Kucik
Release Nos. 34-43321
33-7894 Sep. 21, 2000 James W. Ogg
Release Nos. 33-7894, 34-43320
34-43317 Sep. 21, 2000 James A. Skalko
34-43316 Sep. 21, 2000 Cincinnati Stock Exchange, Inc.
33-7893 Sep. 21, 2000 E-Invest, Inc., formerly known as, Ashtin Kelly & Co., and William Jonathan Wride.
33-7892A Sep. 21, 2000 E-Invest, Inc., formerly known as, Ashtin Kelly & Co. and William Jonathan Wride.
Release Nos. 33-7892A, 34-43315A
34-43306 Sep. 20, 2000 Gregory M. Shephard
34-43301 Sep. 20, 2000 Pier 1 Imports, Inc.
33-7891 Sep. 20, 2000 Jonathan G. Lebed
Release Nos. 33-7891, 34-43307
34-43300 Sep. 18, 2000 George E. Mahfouz, Jr.
34-43287 Sep. 13, 2000 Luis Bulas, Jr.
33-7890 Sep. 13, 2000 Vincent W. Beale, Sr., Tyrone Killebrew and BNB Capital, Inc. (f/k/a BNB Securities, Inc.)
Release Nos. 33-7890, 34-43286
34-43278 Sep. 11, 2000 David S. Darling
34-43272 Sep. 11, 2000 Otis Herring
34-43271 Sep. 11, 2000 Marvin Moses
34-43270 Sep. 11, 2000 Andrew Bressman, Roman Okin, Richard Acosta, Richard Simone, Burton Blank, Mark Goldman and Jack Wolynez
34-43269 Sep. 11, 2000 Andrew Bressman, Roman Okin, Richard Acosta, Richard Simone, Burton Blank, Mark Goldman and Jack Wolynez
34-43268 Sep. 11, 2000 Certain Activities of Options Exchanges
34-43249 Sep. 6, 2000 Theodore Ursu III, CPA
IA-1895 Sep. 7, 2000 F.W. Thompson Company Ltd. and Frederick Thompson
33-7889 Sep. 7, 2000 Philip A. Lehman and Tower Equities, Inc.
33-7888 Sep. 7, 2000 Roland Acevedo
33-7887 Sep. 6, 2000 Scott Eskew
33-7886 Sep. 6, 2000 Platinum Equities, Inc., Blackheath & Kent Holdings, Inc., John J. Kenny, and Pasquale Forti
33-7885 Sep. 6, 2000 John Black
34-43246 Sep. 6, 2000 CancerOption.com, Inc. and Arnold C. Takemoto
33-7884 Sep. 1, 2000 Richardt-Alyn & Co., Richard B. Feinberg, and Alan S. Feinberg
34-43215 Aug. 28, 2000 Dean Witter Reynolds Inc.
33-7882 Aug. 22, 2000 Andrew Bressman, Roman Okin, Richard Acosta, Richard Simone, Burton Blank, Mark Goldman and Jack Wolynez
Release Nos. 33-7882, 34-43188
34-43184 Aug. 21, 2000 Alpha Tech Stock Transfer Trust and James W. Farrell
34-43189 Aug. 22, 2000 Andrew Bressman, Roman Okin, Richard Acosta, Richard Simone, Burton Blank, Mark Goldman and Jack Wolynez
34-43183 Aug. 21, 2000 Boston Scientific Corporation
34-43174 Aug. 18, 2000 Steven Ira Wertman, Robert Bruce Orkin, Edward Charles William Donner, III and Earl Seth David
34-43173 Aug. 18, 2000 Steven Ira Wertman, Robert Bruce Orkin, Edward Charles William Donner, III and Earl Seth David
34-43172 Aug. 18, 2000 Steven Ira Wertman, Robert Bruce Orkin, Edward Charles William Donner, III and Earl Seth David
34-43171 Aug. 18, 2000 Steven Ira Wertman, Robert Bruce Orkin, Edward Charles William Donner, III and Earl Seth David
34-43160 Aug. 16, 2000 William J. McClintock, C.A.
34-43158 Aug. 16, 2000 Lambert D. Vander Tuig
34-43136 Aug. 10, 2000 Herbert M. Campbell II
IA-1894 Aug. 10, 2000 F. Xavier Saavedra
IA-1893 Aug. 10, 2000 Brian W. O'Connor
34-43135 Aug. 10, 2000 James Michael Cogley
Release Nos. 34-43135, IA-1892
34-43129 Aug. 8, 2000 Axel E. Friedberg and Rudolf J. Weissenberger
33-7879 Aug. 8, 2000 Universalscience.com, Inc. and Rena Perez
34-43123 Aug. 4, 2000 Steven Wolis
IA-1889 Aug. 3, 2000 Dawson-Samberg Capital Management, Inc., now known as Dawson-Giammalva Capital Management, Inc., and Judith A. Mack
34-43106 Aug. 2, 2000 Samuel G. Lederman
34-43076 Jul. 27, 2000 Jonah Rosenblatt
34-43071 Jul. 26, 2000 Leslie A. Danish, CPA
33-7876 Jul. 24, 2000 L.T. Lawrence & Co., Inc., Todd E. Roberti, and Lawrence Principato
34-43068 Jul. 24, 2000 Guilford Mills, Inc.
34-43034 Jul. 20, 2000 Gerald Lee Pate
Release Nos. 34-43058, 34-43034
34-43054 Jul. 19, 2000 Fahnestock & Co., Inc. and Williams E. Bierlin, Jr.
34-43053 Jul. 18, 2000 JWGenesis Financial, Inc., formerly known as JW Charles Financial Services, Inc.
34-43050 Jul. 18, 2000 Janney Montgomery Scott LLC and Norman T. Wilde, Jr.
34-43048 Jul. 18, 2000 Olawande A. Agunloye
33-7874 Jul. 18, 2000 Vector Index Advisors, Inc. and Steven H. Adler
Release Nos. 33-7874, 34-43046, IA-1887
33-7873 Jul. 18, 2000 Clyde Wayne Gregory
Release Nos. 33-7873, 34-43045, IA-1886
34-43034 Jul. 13, 2000 Kevin T. Kearney, CPA
34-43018 Jul. 10, 2000 Timothy J. Tyrrell
IA-1885 Jul. 10, 2000 Charles F. Parisi
34-43015 Jul. 7, 2000 Jerry W. Anderson and Robert M. Kerns
33-7871 Jul. 6, 2000 Dwight H. Stephens
Second Quarter
34-42992 Jun. 30, 2000 Allegheny Health, Education and Research Foundation
34-42987 Jun. 29, 2000 Ronald G. Davies
33-7869 Jun. 28, 2000 Madlyn Lee Ferro and Dwight H. Stephens
34-42981 Jun. 26, 2000 Gregory A. Alba, CPA
34-42979 Jun. 23, 2000 Schnitzer & Kondub, P.C., Richard S. Kondub, CPA, and Ross J. Schnitzer, CPA
34-42977 Jun. 23, 2000 Reuben D. Peters
34-42976 Jun. 23, 2000 Albinas Kurkulis
34-42972 Jun. 21, 2000 Malcolm McGuire III
34-42968 Jun. 21, 2000 Waste Management, Inc.
IA-1882 Jun. 20, 2000 Timothy J. Lyons
IA-1881 Jun. 20, 2000 James L. Foster, Steven M. Bolla, Laurie F. Foster, and William E. Busacker, Jr.
Release Nos. IA-1881, 34-42963
34-42956 Jun. 19, 2000 Luis Bulas, Jr.
34-42955 Jun. 19, 2000 Linda Ballou, Ronald Wackler and Bruce Harlan
IA-1880 Jun. 15, 2000 Owen-Joseph Asset Management Corp. and William O. Foster
Release Nos. 34-42945, IA-1880
IA-1879 Jun. 15, 2000 Founders Asset Management LLC and Bjorn K. Borgen
34-42936 Jun. 14, 2000 Mary Sattler Polverari, C.P.A.
34-42935 Jun. 14, 2000 Steven Speaks, C.P.A.
34-42934 Jun. 14, 2000 Paul Hiznay
34-42933 Jun. 14, 2000 Cendant Corporation
33-7866 Jun. 14, 2000 William M. Stephens
Release Nos. 33-7866, 34-42941, IA-1878
33-7865 Jun. 14, 2000 Allen Z. Wolfson, Michael T. Grecco, John M. Black, Jr., Spiro, Lazaretos, Robert Balsamo, Vladimir Carvallo, and Konstantinos Dino Sonitis
Release Nos. 33-7865, 34-42940
33-7864 Jun. 14, 2000 Salvatore Piazza, James S. Labate, William F. Palla, Emmanuel Gennusso, Cary F. Cimino, Todd M. Nejaime, Kevin P. Radigan, Robert Gallo, Robert J. Dacunto, Michael P. Dacunto, Joseph P. Meduri, Vincent A. Padulo, Jr., Vito G. Padulo, John Bruzzese, Salvatore F. Ruggiero, Patrick Giglio, Irving Stitsky, Paul L. Burton, Marc I. Burton, Kenneth J. Fuina, Marc L. Weissman, Anthony P. Dinota, Jr., Facundo Ponce, Chester L. Chicosky, Lawrence M. Choiniere, William P. Burke, Michael Caso, John Catalano, Jr., George Bisnoff, Damien Douglas, Craig P. McGuinn, II, and Mark Danieli
Release Nos. 33-7864,34-42939
34-42927 Jun. 13, 2000 Donald G. Brooks
Release Nos. 34-42927, IA-1877
34-42923 Jun. 13, 2000 Lambert D. Vander Tuig
33-7863 Jun. 13, 2000 Edward Williamson
Release Nos. 33-7863, 34-42924
IA-1876 Jun. 12, 2000 MPI Investment Management, David Pequet and Ashok Shende
34-42919 Jun. 12, 2000 City Investment Group, LLC, John Barris, and Tigran Papazian
33-7862 Jun. 12, 2000 Al Avasso and Robert Schulman
33-7861 Jun. 9, 2000 John S. Reger II and Business & Financial Advisors, Inc.
34-42810 Jun. 8, 2000 Scott E. Edwards, CPA
34-42909 Jun. 8, 2000 Firstmark Corp.
IA-1874 Jun. 7, 2000 Brian T. Lenihan
34-42901 Jun. 6, 2000 Eric P. Furman, CPA
34-42882 Jun. 1, 2000 James D. Montgomery, II, Danny R. Auerbach, and Michael L. Glaser
34-42881 Jun. 1, 2000 James D. Montgomery, II, Danny R. Auerbach, and Michael L. Glaser
34-42880 Jun. 1, 2000 Peter G. Mintz
34-42879 Jun. 1, 2000 Samuel L. White
34-42878 Jun. 1, 2000 David E. Trotter
34-42877 Jun. 1, 2000 Joseph A. Monaco
34-42867 May 31, 2000 Rafi M. Khan
IA-1872 May 31, 2000 Schield Management Company, Marshall L. Schield, and Troy M. Schield
IA-1871 May 31, 2000 Schield Management Company, Marshall L. Schield, and Troy M. Schield
34-42856 May 30, 2000 Brian Walfish
33-7859 May 25, 2000 Paul Y. Okuda, Stephen A. Thorpe, and David J. Chester
Release Nos. 33-7859, 34-42827
34-42828 May 25, 2000 R. Gordon Jones and Mark F. Jensen
34-42826 May 25, 2000 Joseph P. Galluzzi
34-42813 May 23, 2000 Intile Designs, Inc.
34-42809 May 23, 2000 Arnold Zousmer
34-42788 May 16, 2000 Sandra L. Reeder
34-42781 May 15, 2000 America Online, Inc.
33-7857 May 10, 2000 The Dreyfus Corporation and Michael L. Schonberg
Release Nos. 33-7857, IA-1870, ic-24450
34-42766 May 8, 2000 All-Tech Direct, Inc. f/k/a All-Tech Investment Group, Inc., Harry Lefkowitz, Mark Shefts, Lisa Esposito, Ralph Zulferino, David Waldman, Adam Leeds, and Barry Parish
34-42765 May 8, 2000 All-Tech Direct, Inc. f/k/a All-Tech Investment Group, Inc., Harry Lefkowitz, Mark Shefts, Lisa Esposito, Ralph Zulferino, David Waldman, Adam Leeds, and Barry Parish
34-42753 May 3, 2000 Cynthia Pfaltzgraff, CMA
34-42743 May 2, 2000 Albert Adamczak, CPA
34-42742 May 2, 2000 Stephen H. Spargo
34-42739 May 1, 2000 Millenia Hope, Inc., c/o Irving Rothstein, Esq., Heller, Horowitz & Feit, P.C.
34-42738 May 1, 2000 Intelispan, Inc.
34-42737 May 1, 2000 Genesis Trading and Robert Garganese
34-42731 Apr. 28, 2000 Steven G. Barkus
34-42719 Apr. 25, 2000 Gerald M. Wetzler
34-42718 Apr. 25, 2000 Louis G. Karabochos
33-7854 Apr. 21, 2000 Charles E. Wessman
Release Nos. 33-7854, 34-72709
33-7853 Apr. 20, 2000 Richard Harriton
Release Nos. 33-7853, 34-42707
34-42695 Apr. 17, 2000 Francis T. Phalen, CPA
Release Nos. 34-42684
33-7852 Apr. 17, 2000 Mark Savage, George Panagiotou, Jr., and Dean Verrigni
34-42684 Apr. 13, 2000 Rita L. Schwartz
34-42674 Apr. 13, 2000 Kenneth R. Starnes
34-42673 Apr. 13, 2000 Peritus Software Services, Inc.
34-42670 Apr. 12, 2000 Phelps M. Wood
IA-1868 Apr. 14, 2000 Gold Asset Management, Inc. and Marc L. Gold
IA-1867 Apr. 13, 2000 Michael J. Rothmeier, Clark T. Blizzard, Rudolph Abel, Donald C. Berry, Christopher P. Roach, Craig Janutol, and East West Institutional Services, Inc.
IA-1866 Apr. 13, 2000 Michael J. Rothmeier, Clark T. Blizzard, Rudolph Abel, Donald C. Berry, Christopher P. Roach, Craig Janutol, and East West Institutional Services, Inc.
IA-1865 Apr. 13, 2000 Michael J. Rothmeier, Clark T. Blizzard, Rudolph Abel, Donald C. Berry, Christopher P. Roach, Craig Janutol, and East West Institutional Services, Inc.
33-7851 Apr. 14, 2000 Cesar Odio
33-7850 Apr. 13, 2000 Jerry C. Berman
33-7849 Apr. 10, 2000 Nova Communications Ltd., formerly known as First Colonial Ventures Ltd. and Murray W. Goldenberg
Release Nos. 33-7849, 34-42656
33-7848 Apr. 7, 2000 Aaron Finkelstein
33-7847 Apr. 7, 2000 William H. Clark
33-7844 Apr. 6, 2000 Rauscher Pierce Refsnes, Inc., Dain Rauscher Incorporated, and James R. Feltham
Release Nos. 33-7844, 34-42644, IA-1863
33-7841 Apr. 6, 2000 Morgan Stanley & Co. Incorporated
Release Nos. 33-7841, 34-42642
33-7838 Apr. 6, 2000 Merrill Lynch, Pierce, Fenner & Smith Incorporated
Release Nos. 33-7838, 34-42640
33-7835 Apr. 6, 2000 Lehman Brothers Inc.
Release Nos. 33-7835,34-42638
33-7832 Apr. 6, 2000 Goldman, Sachs & Co.
Release Nos. 33-7832, 34-42636
33-7829 Apr. 6, 2000 Salomon Smith Barney Inc.
33-7826 Apr. 6, 2000 William R. Hough & Co.
33-7823 Apr. 6, 2000 Painewebber Incorporated
33-7820 Apr. 6, 2000 Warburg Dillion Read LLC
33-7817 Apr. 6, 2000 Prudential Securities Incorporated
34-42625 Apr. 6, 2000 Shan Michael Hefley
34-42616 Apr. 4, 2000 Systems of Excellence, Inc.
First Quarter
34-42602 Mar. 31, 2000 Brad Haddy and Ronald D. Spencer
34-42588 Mar. 29, 2000 Seth P. Joseph
34-42587 Mar. 29, 2000 Beth A. Morris and Steven H. Grant
34-42586 Mar. 29, 2000 Nanette Miller, CPA
34-42569 Mar. 23, 2000 Jill Pitts and Janet Hanson
34-42556 Mar. 21, 2000 Tuschner & Company, Inc.
34-42549 Mar. 20, 2000 Laser Technology, Inc.
34-42548 Mar. 20, 2000 Jeremy G. Dunne
34-42547 Mar. 20, 2000 H. DeWorth Williams
33-7814 Mar. 17, 2000 Vincent E. Serhan
Release Nos. 33-7814, 34-42541
33-7813 Mar. 17, 2000 David C. Erickson
Release Nos. 33-7813, 34-42540
33-7812 Mar. 15, 2000 Jethro J. Barlow, CPA, Alan K. Burton, J. Edwards Cox,Robert G. Weeks, David A. Hesterman, and Kenneth L. Weeks
33-7811 Mar. 15, 2000 Joseph J. Laferty
33-7810 Mar. 15, 2000 Paul A. Barrios
Release Nos. 33-7810, 34-42531
34-42513 Mar. 9, 2000 David Scott Heredia
34-42530 Mar. 15, 2000 Steven P.Erlich
IA-1861 Mar. 14, 2000 Brian T. Lenihan
IA-1860 Mar. 9, 2000 WWW Advisors, Inc.
33-7806 Mar. 2, 2000 Terence Michael Coxon, Alan Michael Sergy, and World Money Managers
IA-1858 Mar. 2, 2000 Huber Hogan Consulting, Inc., Russon Financial Services, Inc. and Robert C. Sears
IA-1799A Mar. 2, 2000 Asset Timing Corp.
34-42483 Mar. 2, 2000 Kenneth Terrell, Jason Wyckoff, Adam Altman, and Joanne Colt
33-7805 Feb. 29, 2000 Robert J. Meledandri, Jr.
33-7804 Feb. 28, 2000 Joseph E. Stephenson, individually and doing business as Stephenson Investment Opportunities
34-42448 Feb. 22, 2000 Michael L. Kinney
34-42447 Feb. 22, 2000 Investment Street Company, Dynamic Trading of Miami, Inc., Emilio Sardi and Javier Saenz
34-42446 Feb. 22, 2000 All-Tech Direct, Inc., f/k/a All-Tech Investment Group, Inc., Harry Lefkowitz, Mark Shefts, Lisa Esposito, Ralph Zulferino, David Waldman, Adam Leeds, and Barry Parish
34-42445 Feb. 22, 2000 Orlando Super Card, Inc.
Release Nos. 33-7802, 34-42445
34-42438 Feb. 18, 2000 Alex. P. de Soto
34-42432 Feb. 16, 2000 James D. Montgomery II
34-42422 Feb. 14, 2000 Donald J. Martineau
34-42425 Feb. 11, 2000 Larry J. Bagwell and Connie L. Bally
34-42421 Feb. 14, 2000 Del Mar Financial Services, Inc., Kevin C. Dills, Private Brokers Corporation, Robert A. Roberts, Matthew R. Jennings, Philip S. Brandon, and Jai Chaudhuri
34-42420 Feb. 14, 2000 Jethro J. Barlow, CPA, Alan K. Burton, J. Edwards Cox, Robert G. Weeks, David A. Hesterman, and Kenneth L. Weeks
34-42416 Feb. 11, 2000 Frank J. Cannata
34-42412 Feb. 10, 2000 Joseph E. Williams
Release Nos. 33-7798, 34-42412
34-42410 Feb. 10, 2000 Joseph M. Morris, CPA
34-42399 Feb. 7, 2000 Robert L. Norton
Release Nos. 33-7797, 34-42399
34-42395 Feb. 7, 2000 Waltzer and Associates, Lewis N. Waltzer, and Karney E. Waltzer
Release Nos. IA-1854, 33-7796, 34-42395
34-42394 Feb. 7, 2000 H.J. Meyers & Co., Inc.
34-42393 Feb. 7, 2000 H.J. Meyers & Co., Inc., Robert Setteducati, William Masucci, Michael Vanechanos, and James A. Villa
Release Nos. 33-7795, 34-42393
34-42392 Feb. 7, 2000 William L. Clancy
34-42391 Feb. 7, 2000 Roy E. Matlock
34-42387 Feb. 4, 2000 PricewaterhouseCoopers LLP
34-42380 Feb. 2, 2000 Kevin James Quinn
34-42375 Feb. 2, 2000 Thomas J. Parker and Jack C. Herndon, Jr.
Release Nos.34-42375, IA-1853
IA-1852 Feb. 2, 2000 J. Scott Eskind
34-42358 Jan. 27, 2000 S. Jay Goldinger
34-42355 Jan. 24, 2000 Edward Welch
34-42339 Jan. 13, 2000 Paul Y. Okuda, Stephen A. Thorpe, and David J. Chester
Release Nos. 33-7792, 34-42339
34-42326 Jan. 11, 2000 Informix Corporation
Release Nos. 33-7788, 34-42326
34-42316 Jan. 5, 2000 Model Imperial, Inc.
34-42305 Jan. 3, 2000 Kevin J. Kirkbride

http://www.sec.gov/litigation/admin/adminarchive/adminarc2000.shtml


Modified: 10/16/2014