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Administrative Proceedings Archive 2002

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
34-47107 Dec. 30, 2002 Laurie Jones Canady
34-47102 Dec. 27, 2002 Gemisys Corporation and Stephen A. Finn
33-8172 Dec. 23, 2002 Robert A. Putnam
Release Nos. 34-47083; AAER-1696
34-47079 Dec. 23, 2002 Jeffrey M. Goldberg
IA-2095 Dec. 23, 2002 Gordon J. Rollert
34-47074 Dec. 20, 2002 Kalman Renov
34-47073 Dec. 20, 2002 Vito Capotorto
34-47072 Dec. 20, 2002 Alan Stahler
34-47071 Dec. 20, 2002 Kenton Wood
34-47070 Dec. 20, 2002 D.H. Blair & Co., Inc.
34-47064 Dec. 20, 2002 Luis Martinez
Release No.: IA-2094
34-47063 Dec. 20, 2002 Guillermo Wydler
Release No.: IA-2093
34-47058 Dec. 19, 2002 Alexis Stock Transfer and Gina Ann Zapara
34-47051 Dec. 19, 2002 Erika D. Whitman
34-47050 Dec. 19, 2002 Stephen E. Sokoloff
34-47049 Dec. 19, 2002 John Tripp Sines, III
34-47048 Dec. 19, 2002 Christopher J. Richardson
34-47047 Dec. 19, 2002 Christopher D. Panza
34-47046 Dec. 19, 2002 Stacey Meyers
34-47045 Dec. 19, 2002 John J. Messina
34-47044 Dec. 19, 2002 Salvatore C. Marchiano
34-47043 Dec. 19, 2002 Stephen H. Kaplan
34-47042 Dec. 19, 2002 Vincent Caracciolo
33-8169 Dec. 19, 2002 A.S. Goldmen & Co., Inc., Anthony J. Marchiano, Stuart E. Winkler, John T. Diasabeyagunawardena (a.k.a. John Abbey), John P. Delcioppo, Christopher M. Delcioppo, Vincent J. Lia, Duane P. Taylor, and Charles Trento
Release No.: 34-47041
33-8168 Dec. 19, 2002 A.S. Goldmen & Co., Inc., Anthony J. Marchiano, Stuart E. Winkler, John T. Diasabeyagunawardena (a.k.a. John Abbey), John P. Delcioppo, Christopher M. Delcioppo, Vincent J. Lia, Duane P. Taylor, and Charles Trento
Release No.: 34-47040
33-8167 Dec. 19, 2002 A.S. Goldmen & Co., Inc., Anthony J. Marchiano, Stuart E. Winkler, John T. Diasabeyagunawardena (a.k.a. John Abbey), John P. Delcioppo, Christopher M. Delcioppo, Vincent J. Lia, Duane P. Taylor, and Charles Trento
Release No.: 34-47039
33-8166 Dec. 19, 2002 A.S. Goldmen & Co., Inc., Anthony J. Marchiano, Stuart E. Winkler, John T. Diasabeyagunawardena (a.k.a. John Abbey), John P. Delcioppo, Christopher M. Delcioppo, Vincent J. Lia, Duane P. Taylor, and Charles Trento
Release No.: 34-47038
33-8165 Dec. 19, 2002 A.S. Goldmen & Co., Inc., Anthony J. Marchiano, Stuart E. Winkler, John T. Diasabeyagunawardena (a.k.a. John Abbey), John P. Delcioppo, Christopher M. Delcioppo, Vincent J. Lia, Duane P. Taylor, and Charles Trento
Release No.: 34-47037
33-8163 Dec. 16, 2002 Ira A. Gerard and Karen S. Harris
Release No.: 34-47001, AAER-1692
34-47005 Dec. 16, 2002 e-Smart Technologies, Inc.
34-47004 Dec. 16, 2002 Hamilton Bancorp., Inc.
Release No.: AAER-1693
34-47002 Dec. 16, 2002 Allen E. Weintraub and Florida Stock Transfer, Inc.
34-47000 Dec. 16, 2002 Mercator Software, Inc.
Release No.: AAER-1691
IA-2092 Dec. 13, 2002 Millenium Capital Advisors of Pennsylvania, Inc. and Louis J. Sozio
34-46993 Dec. 13, 2002 Strata Coal Company (f/k/a WesPac Technologies Corp.) and Terrence A. Tecco
34-46991 Dec. 13, 2002 Frank Thomas Devine
34-46988 Dec. 12, 2002 Susan Moore
Release No.: AAER-1689
33-8161 Dec. 11, 2002 Rodona Garst
Release No.: 34-46987
33-8159 Dec. 10, 2002 John Vailati
Release No.: 34-46978
34-46979 Dec. 10, 2002 Syncor International Corporation
Release No.: AAER-1687
34-46970 Dec. 9, 2002 Mark May
Release No.: IA-2090
34-46969 Dec. 9, 2002 Craig A. Herl
Release No.: IA-2089
33-8155 Dec. 6, 2002 Harvey M. Burstein and James D. Loeffelbein
Release No.: 34-46955
33-8158 Dec. 6, 2002 Betty L. Vinson, CPA
Release No.: 34-46964, AAER-1686
33-8157 Dec. 6, 2002 David F. Myers
Release Nos.: 34-46963, AAER-1685
33-8156 Dec. 6, 2002 Buford Yates, Jr.
Release No.: 34-46962, AAER-1684
34-46954 Dec. 6, 2002 Elliot S. Fisher, Esq.
Release No.: AAER-1681
34-46953 Dec. 6, 2002 Bruce B. Edmondson, CPA
Release No.: AAER-1680
34-46952 Dec. 6, 2002 Birte Boock and Irwin Boock
34-46950 Dec. 5, 2002 Neoteric Group, Inc. formerly knowns as Voyager Group, Inc.
34-46945 Dec. 4, 2002 Thomas E. Hall
34-46937 Dec. 3, 2002 Deutsche Bank Securities, Inc., Goldman, Sachs & Co., Morgan Stanley & Co. Incorporated, Salomon Smith Barney Inc., and U.S. Bancorp Piper Jaffray Inc.
IA-2087 Nov. 27, 2002 Financial Asset Management, Inc., James B. Rader and Debra L. Kennedy
Release Nos. 33-8153; 34-46928
33-8152 Nov. 27, 2002 William L. Bates
Release Nos. IC-25837; IA-2086
34-46910 Nov. 26, 2002 Yezhak Dov Knoll
34-46909 Nov. 26, 2002 First Virtual Communications, Inc.
Release No. AAER-1677
34-46908 Nov. 26, 2002 Michael Sullivan, CPA
Release No. AAER-1676
34-46907 Nov. 26, 2002 Anicom, Inc.
Release No. AAER-1675
34-46900 Nov. 25, 2002 Nils O. Johannesson
34-46899 Nov. 25, 2002 David C. Watt
34-46897 Nov. 25, 2002 Raytheon Company and Franklyn A. Caine
34-46896 Nov. 25, 2002 Siebel Systems, Inc.
34-46895 Nov. 25, 2002 Secure Computing Corporation and John McNulty
34-46880 Nov. 21, 2002 BDO International, Minas Ioannou, and Christakis Ioannou
Release No. AAER-1672
34-46873 Nov. 21, 2002 Arjun Sekhri
Release No. IA-2085
34-46871 Nov. 21, 2002 Sharad Kapoor
Release No. IA-2084
33-8149 Nov. 21, 2002 Schwendiman Partners, LLC
Release Nos. 34-46863; IA-2083
34-46870 Nov. 21, 2002 James A. Fitzhenry
Release No. AAER-1670
34-46867 Nov. 21, 2002 Peter C. Restivo
34-46866 Nov. 21, 2002 Nicola A. Liantonio, Jr.
34-46865 Nov. 21, 2002 Cesare J. Iori, Jr.
34-46864 Nov. 21, 2002 Peter Restivo, Inc. d/b/a U.S. Funding
34-46856 Nov. 20, 2002 Enrique E. Perusquia
34-46854 Nov. 20, 2002 Rodolfo Luzardo
34-46845 Nov. 18, 2002 Michael G. Horsey, CPA, Michael D. Watson, CPA, and Sallie D. Feldman, CPA
Release No.: AAER-1667
34-46842 Nov. 18, 2002 J. Charles Reives
Release No.: IA-2082
33-8148 Nov. 14, 2002 Jeffrey R. Patterson and Terrance Turman
Release Nos. 34-46838; IA-2081
34-46837 Nov. 14, 2002 David E. Morris
34-46836 Nov. 14, 2002 James Silver
33-8146 Nov. 13, 2002 Ernst & Young LLP
Release Nos. 34-46821, AAER-1661
34-46813 Nov. 12, 2002 Stephen R. Becker, C.P.A.
IA-2080 Nov. 8, 2002 Dennis S. Herula
IA-2079 Nov. 8, 2002 Gintel Asset Management, Inc., Gintel & Co. LLC, Robert M. Gintel, and Stephen G. Stavrides
IA-2078 Nov. 8, 2002 Robert C. Sears
34-46791 Nov. 8, 2002 Robert F. Curley
34-46777 Nov. 6, 2002 Frederick W. Kolling III, CPA
Release No. AAER-1659
34-46775 Nov. 5, 2002 Max C. Tanner, Esq.
34-46773 Nov. 5, 2002 Salman Shariff
Release No. IA-2077
34-46770 Nov. 5, 2002 U.S. Bancorp Piper Jaffray Inc.
33-8143 Nov. 4, 2002 William M. Stephens
Release Nos. 34-46766; IA-2076
34-46754 Oct. 31, 2002 Greater Northwest Research & Development Group, Inc.
34-46749 Oct. 30, 2002 Sidney A. Johnson and Leslie H. Fleishman
34-46748 Oct. 30, 2002 J. Charles Reives
Release No. IA-2073
IA-2074 Oct. 30, 2002 John Raymond Linney Clain
IA-2072 Oct. 29, 2002 Craig P. Scanlon
33-8141 Oct. 29, 2002 Kenneth D. Ough
Release No. 34-46736
IA-2071 Oct. 25, 2002 Paul J. House and Brandon R. Moore
IA-2070 Oct. 25, 2002 Back Bay Advisors, L.P.
IA-2069 Oct. 25, 2002 Edgar M. Reed
34-46715 Oct. 24, 2002 Ambassador Eyewear Group, Inc.
34-46694 Oct. 21, 2002 Aaron Chaitovsky and Robert Glass
Release No.: AAER-1652
IA-2068 Oct. 21, 2002 Stevin R. Hoover and Hoover Capital Management, Inc.
34-46687 Oct. 21, 2002 Joseph Randolph Belew
34-46665 Oct. 16, 2002 Louis M. Lazorwitz
Release No.: IA-2067
34-46634 Oct. 10, 2002 J. Mark Samper, CPA
Release No.: AAER-1649
34-46627 Oct. 9, 2002 Jean-Paul Bolduc, Brian J. Smith, C.P.A., Richard N. Sukenik, C.P.A., Philip J. Ryan III,Constantine L. Hampers, A. Miles Nogelo, and Robert W. Armstrong III, C.P.A
Release No. AAER-1646
34-46626 Oct. 9, 2002 Las Vegas Entertainment Network, Inc.
34-46623 Oct. 8, 2002 Joseph J. Shew, CPA
Release No. AAER-1645
34-46622 Oct. 8, 2002 John Giesecke Jr., CPA
Release No. AAER-1644
33-8137 Oct. 8, 2002 John Christopher McCamey and Sierra Equity Partners, LP.
Release No. 34-46621
34-46608 Oct. 7, 2002 Michael Nicolaou
34-46584 Oct. 2, 2002 Michael Ploshnick
Release No.: IA-2066
33-8136 Oct. 2, 2002 The Thurlow Funds, Inc., Thurlow Capital Management, Inc. and Thomas F. Thurlow
Release Nos.: IA-2065; IC-25761
IA-2064 Oct. 1, 2002 Renberg Capital Management, Inc. and Daniel H. Renberg
34-46578 Oct. 1, 2002 Dean Witter Reynolds Inc., n/k/a Morgan Stanley DW, Inc., Mark Rodgers, and Paul Grande
Third Quarter
34-46574 Sep. 30, 2002 Alfred M. Lemcke
Release No.: IA-2063
33-8135 Sep. 30, 2002 FLIR Systems, Inc.
Release Nos.: 34-46573; AAER-1637
34-46570 Sep. 30, 2002 Brett R. Mallory
34-46565 Sep. 27, 2002 Bruce D. Le Duc
Release No.: IA-2062
34-46558 Sep. 26, 2002 Ambassador Eyewear Group, Inc.
34-46550 Sep. 25, 2002 Gary Salter
34-46538 Sep. 24, 2002 Basic Capital Management, Inc., Nevada Sea Investments, Inc., International Health Products, Inc., One Realco Corporation, TacCO Financial, Inc. and Gene E. Phillips
34-46536 Sep. 24, 2002 Kfir Barzilay, Yan Dikshteyn, Boris Fidler, Lawrence Pross, and Eugene Beigelman
33-8134 Sep. 24, 2002 Dynegy Inc.
33-8133 Sep. 24, 2002 Martin P. Joswick
IA-2061 Sep. 23, 2002 Oxford Capital Management, Inc. and John G. Danz, Jr.
33-8132 Sep. 23, 2002 Tyrone Killebrew
34-46526 Sep. 20, 2002 Donald D. Lukens
34-46516 Sep. 20, 2002 Joseph Orlando and Victor Samaha
34-46510 Sep. 18, 2002 Robert F. Curley
34-46504 Sep. 17, 2002 Louis M. Lazorwitz
IA-2057 Sep. 17, 2002 John Raymond Linney Clain
34-46500 Sep. 16, 2002 Enrique E. Perusquia
34-46499 Sep. 16, 2002 Richard Mann
34-46497 Sep. 13, 2002 Adrien Arpel, Inc.
33-8129 Sep. 12, 2002 Americorp Securities, Inc., and Drew Edgar Schaefer
Release No.: 34-46493
34-46478 Sep. 10, 2002 Shawn F. Hackman
34-46470 Sep. 6, 2002 R&RX Group, Inc., f/k/a Neoteric Group, Inc.
34-46465 Sep. 6, 2002 NetAir.com, Inc.
IA-2055 Sep. 4, 2002 Davis Selected Advisers-NY, Inc.
34-46447 Sep. 3, 2002 John Cook
IA-2053 Sep. 3, 2002 Vanderbilt Capital Advisors LLC
33-8127 Sep. 3, 2002 Leslie Arouh
Release No.: 34-46450
33-8126 Sep. 3, 2002 Harvey I. Rubinstein
Release No.: 34-46449
33-8125 Sep. 3, 2002 Keith J. Mauney
Release No.: 34-46448
IA-2051 Aug. 30, 2002 Thomas M. Durkin
IA-2050 Aug. 30, 2002 John E. Orin, Jr.
34-46445 Aug. 30, 2002 SCB Computer Technology, Inc.
Release No.: AAER-1622
34-46442 Aug. 30, 2002 James Murphy, C.P.A.
Release No.: AAER-1620
34-46431 Aug. 29, 2002 Monica Lynn Coleman
Release No.: IA-2049
IA-2048 Aug. 28, 2002 Market Timing Systems, Inc., Gregory L. Meadors, and Mark F. Shinnick
IA-2047 Aug. 28, 2002 Market Timing Systems, Inc., Gregory L. Meadors, and Mark F. Shinnick
34-46426 Aug. 28, 2002 Joseph Randolph Belew
34-46424 Aug. 28, 2002 Chimneyville Investments Group, Inc.
34-46423 Aug. 28, 2002 Michael J. Christie
34-46420 Aug. 27, 2002 Ives Health Company, Inc.
34-46408 Aug. 23, 2002 William M. Ucherek
34-46388 Aug. 21, 2002 NorthStar Network, Inc.
34-46387 Aug. 20, 2002 Gregory A. Hinkson
33-8122 Aug. 16, 2002 Kurt D. Saliger, CPA
Release No.: AAER-1615
34-46359 Aug. 15, 2002 Roger Fan
34-46358 Aug. 15, 2002 Joseph Orlando and Victor Samaha
34-46342 Aug. 13, 2002 Mark A. Taylor, Sr., and Kevin J. Ruggiero
33-8121 Aug. 13, 2002 RBC Dain Rauscher Incorporated, as successor to Rauscher Pierce Refsnes, Inc.
Release No.: 34-46346
34-46336 Aug. 12, 2002 Joao P. Santos
IA-2046 Aug. 12, 2002 Michael L. Smirlock
33-8120 Aug. 9, 2002 Arthur Lee Kunes
34-46322 Aug. 8, 2002 Edward T. Creevy
Release No.: AAER-1612
34-46317 Aug. 6, 2002 James A. Nies
33-8118 Aug. 2, 2002 Gas and Oil Technologies, Inc., Ingrid Aliet-Gass and Glen Morinaka, CPA
Release No.: 34-46302; AAER-1608
34-46291 Aug. 1, 2002 Richard P. Bellinger, Jack P. Bates, and Stephen S. Winslett
Release No.: AAER-1604
34-46290 Aug. 1, 2002 David Friend, CPA
Release No.: AAER-1603
34-46286 Jul. 31, 2002 NetAir.com Inc.
34-46285 Jul. 31, 2002 AremisSoft Corporation
33-8117 Jul. 30, 2002 Consortium Investments, Ltd., P. Chad Castle, and James David Groce
Release No.: 34-46281; IA-2045
34-46283 Jul. 30, 2002 NewCom, Inc.
34-46279 Jul. 29, 2002 Johann M. Smith
34-46278 Jul. 29, 2002 John J. Savarese
34-46277 Jul. 29, 2002 Mark R. Savarese
34-46276 Jul. 29, 2002 Michael D. Richmond
34-46273 Jul. 29, 2002 Eric C. Brown
Release No.: AAER-1602
34-46271 Jul. 26, 2002 Tradamax Group, Inc.
Release No.:
33-8115 Jul. 26, 2002 Fonecash, Inc.
34-46254 Jul. 25, 2002 Oxford Health Plans, Inc., Andrew B. Cassidy, and Brendan R. Shanahan
Release No.: AAER-1600
33-8113 Jul. 24, 2002 Rodona Garst
Release No.: 34-46246
34-46247 Jul. 24, 2002 Richard Mann
34-46242 Jul. 22, 2002 George Lafauci
34-46241 Jul. 22, 2002 Alan S. Lipstein
34-46240 Jul. 22, 2002 George Carapella
34-46230 Jul. 19, 2002 Hightec, Inc.
34-46226 Jul. 18, 2002 Knight Securities, L.P.
33-8112 Jul. 18, 2002 PNC Financial Services Group, Inc.
34-46217 Jul. 17, 2002 Ronald K. Mahabir
34-46216 Jul. 17, 2002 PricewaterhouseCoopers LLP, and PricewaterhouseCoopers Securities LLC
34-46215 Jul. 17, 2002 Avon Products, Inc.
34-46206 Jul. 15, 2002 Jean-Paul Bolduc, Brian J. Smith, C.P.A., Richard N. Sukenik, C.P.A., Philip J. Ryan III, Constantine L. Hampers, A. Miles Nogelo, and Robert W. Armstrong III, C.P.A.
Release No.: AAER-1594
34-46205 Jul. 15, 2002 Jean-Paul Bolduc, Brian J. Smith, C.P.A., Richard N. Sukenik, C.P.A., Philip J. Ryan III, Constantine L. Hampers, A. Miles Nogelo, and Robert W. Armstrong III, C.P.A.
Release No.: AAER-1593
34-46204 Jul. 15, 2002 Thomas Cavallino and Oakwood Securities, Inc.
34-46203 Jul. 15, 2002 Edward J. Mueger
34-46202 Jul. 15, 2002 Thomas Bock
34-46201 Jul. 15, 2002 William S. Killeen
34-46200 Jul. 15, 2002 James A. Nies
34-46199 Jul. 15, 2002 John Adams, Jr., et al.
33-8111 Jul. 11, 2002 Schwendiman Partners, LLC,
Gary Schwendiman, and
Todd G. Schwendiman
Release No.: 34-46184; IA-2043
IA-2042 Jul. 10, 2002 Edward F. Gobora
33-8110 Jul. 9, 2002 Gerald Cohn
34-46177 Jul. 10, 2002 Steven C. Veen, CPA
Release No.: AAER 1591
34-46175 Jul. 9, 2002 Glen P. Duffy, CPA
Release No.: AAER-1590
34-46174 Jul. 9, 2002 Gregory D. Norton
Release No.: AAER-1589
34-46173 Jul. 9, 2002 Raphael "Ray" Levy,
34-46172 Jul. 9, 2002 Thomas F. Wraback, CPA
34-46171 Jul. 9, 2002 Joseph E. Erwin
34-46158 Jul. 2, 2002 David Rubinov
34-46157 Jul. 2, 2002 Peter D. Stewart, C.A., John L. Harbor, C.A., and David Chopping, C.A.
Release No.: AAER-1587
34-46156 Jul. 2, 2002 Scott Schoenbauer
34-46151 Jul. 1, 2002 Charles Edward Dickerson
34-46150 Jul. 1, 2002 Terrance Michael O'Donohue
Release No.: IA-2041
Second Quarter
34-46142 Jun. 28, 2002 Andrew P. Bodnar
34-46130 Jun. 27, 2002 Moret Ernst & Young Accountants, n/k/a Ernst & Young Accountants
Release No.: AAER-1584
34-46121 Jun. 26, 2002 Donna N. Morehead
IA-2040 Jun. 26, 2002 William F. Branston
34-46118 Jun. 25, 2002 Steven Shane Nichols
34-46109 Jun. 25, 2002 John Adams, Jr., et al.
34-46108 Jun. 25, 2002 Benjamin C. Snyder
34-46107 Jun. 24, 2002 Michael Anthony Lester
34-46105 Jun. 24, 2002 The S.I.N.C.L.A.R.E. Group, Inc.
33-8108 Jun. 24, 2002 Investment Technology, Inc.
34-46100 Jun. 21, 2002 Timothy J. Noonan
Release No.: AAER-1580
34-46099 Jun. 21, 2002 Rite Aid Corporation
Release No.: AAER-1579
IA-2038 Jun. 20, 2002 Portfolio Advisory Services, LLC, and Cedd L. Moses
34-46094 Jun. 20, 2002 Peter P. Tarangelo
Release No.: IA-2037
34-46089 Jun. 18, 2002 Seth Miller
34-46088 Jun. 18, 2002 Fifth Third Securities, Inc.
34-46087 Jun. 18, 2002 Fifth Third Securities, Inc.
34-46083 Jun. 17, 2002 James W. Spratt III
34-46081 Jun. 17, 2002 Performance Analytics, Inc., and Leslie I. Golembo
Release Nos.: IA-2036; IC-25615
34-46080 Jun. 17, 2002 Jeffrey Dene Leader
34-46074 Jun. 12, 2002 Sara Gomez de Ferro
34-46068 Jun. 12, 2002 Douglas C. Brandon, Esq.
34-46063 Jun. 12, 2002 John Adams, Jr., et al.
IA-2035 Jun. 12, 2002 Deprince, Race & Zollo, Inc., and John D. Race
34-46052 Jun. 10, 2002 Ashford.com, Inc., Kenneth E. Kurtzman, Brian E. Bergeron andAmazon.com, Inc.
34-46051 Jun. 10, 2002 Edward Neel Cox, Joseph Lee Covington, Billy Wayne Sparkman, Stephen T. Hoyle, Charles F. Johnson, Randy J. Post, Danny R. Mayfield, and Benny Armond Sides
33-8105 Jun. 7, 2002 Gerald S. Papazian
Release No.: 34-46048; AAER-1572
33-8104 Jun. 7, 2002 Korea Data Systems USA, Inc., Lap Shun (John) Hui, and Bun (Ben) Wong
Release No.: 34-46047; AAER-1571
34-46039 Jun. 6, 2002 Josephthal & Co., Inc.
34-46035 Jun. 5, 2002 John K. Bradley
Release No.: AAER-1568
33-8103 Jun. 5, 2002 James E. Slayton, CPA
Release No.: 34-46034, AAER-1567
34-46033 Jun. 5, 2002 James E. Slayton, CPA
Release No.: AAER-1566
34-46031 Jun. 5, 2002 Katrina Krug, CPA
Release No.: AAER-1565
34-46030 Jun. 5, 2002 Advanced Technical Products, Inc., James S. Carter, and Garrett L. Dominy
Release No.: AAER-1564
34-46017 Jun. 3, 2002 Microsoft Corporation
Release No.: AAER-1563
IA-2034 May 30, 2002 Alexis A. Arlett
34-45964 May 20, 2002 Ernst & Young
34-45962 May 20, 2002 Legato Systems, Inc. and Stephen Wise
34-45961 May 20, 2002 Kfir Barzilay, Yan Dikshteyn, Boris Fidler, Lawrence Pross, and Eugene Beigelman
34-45941 May 16, 2002 Dennis M. Gaito, CPA
33-8100 May 15, 2002 Bruce E. Straughn
34-45940 May 15, 2002 Joseph E. Erwin
34-45925 May 14, 2002 Edison Schools, Inc.
34-45917 May 13, 2002 John Adams, JR., et al.
34-45888 May 7, 2002 Steven S. Goldberg
34-45880 May 6, 2002 Anicom, Inc.
34-45878 May 3, 2002 Erich A. Kline
Release No.: IA-2033
34-45874 May 3, 2002 Gemisys Corporation
34-45870 May 3, 2002 Lone Star Transfer, Inc. and Stanley P. Eisenberg
34-45856 May 1, 2002 Christina Skousen
34-45853 May 1, 2002 Michael A. Kolberg and Dale E. Huizenga
34-45852 May 1, 2002 Serologicals Corporation, Inc.
33-8096 Apr. 29, 2002 Andrew P. Bodnar
34-45841 Apr. 29, 2002 John Adams, Jr., et al.
34-45826 Apr. 26, 2002 Surety Capital Corporation
34-45822 Apr. 25, 2002 Hightec, Inc.
34-45821 Apr. 25, 2002 S.I.N.C.L.A.R.E. Group, Inc.
34-45820 Apr. 25, 2002 William L. Haynes
33-8094 Apr. 24, 2002 J.W. Barclay & Co., Inc., et al.
Release No.: 34-45815
34-45814 Apr. 24, 2002 Kenneth W. Haver, CPA
34-45806 Apr. 24, 2002 Hugo Salvador Villa Manzo
Release No.: IA-2031
34-45802 Apr. 23, 2002 John Adams, Jr., et al.
34-45797 Apr. 22, 2002 Michael R. Drogin, CPA
33-8093 Apr. 22, 2002 Teltran International Group, Ltd.
Release No.: 34-45796
33-8092 Apr. 22, 2002 Investment Technology, Inc.
34-45785 Apr. 19, 2002 Laurie Jones Canady
IA-2029 Apr. 18, 2002 James Oh
34-45776 Apr. 18, 2002 H. Dalton Davlin
34-45767 Apr. 17, 2002 John Adams, Jr., et al.
34-45743 Apr. 12, 2002 ND Money Management, Inc., RansonCapital Corporation, Robert E. Walstad and Monte L. Avery
34-45735 Apr. 11, 2002 Mark W. Lancaster
33-8086 Apr. 11, 2002 Delores Easthom
33-8085 Apr. 11, 2002 Wayne Miller
Release No.: 34-45738
33-8084 Apr. 10, 2002 Ronald Nelson Weems
Release No.: 34-45724
33-8083 Apr. 10, 2002 Darrell Flanders and South West Trading Diversities, Inc.
Release No.: 34-45723
34-45722 Apr. 10, 2002 Lee E. Gahr
33-8082 Apr. 9, 2002 Harvey M. Burstein and James D. Loeffelbein
Release No.: 34-45716
33-8081 Apr. 9, 2002 Harvey M. Burstein and James D. Loeffelbein
Release No.: 34-45715
33-8080 Apr. 8, 2002 Roundhill Securities, Inc., Robert J. Holub, Robert S. Minka, Sunil F. De Silva and Braxton G. Grizzard
Release No.: 34-45705
33-8079 Apr. 8, 2002 FoneCash, Inc.
34-45697 Apr. 5, 2002 Rajiv Vohra
34-45690 Apr. 4, 2002 Joao P. Santos
34-45689 Apr. 4, 2002 John Adams, Jr., Ronald Bongo, Samuel Del Presto, Sean Hart, Curtis Marchand, III, Michael McDermott, Palmer Myers, David Nelson, Daniel Petronelli, Gary Smolokoff, Malik Tawil, Lawrence Weil, and Neil White
34-45683 Apr. 2, 2002 David A. Thatcher
IA-2026 Apr. 1, 2002 Thomas J. Kearns
First Quarter
34-45669 Mar. 28, 2002 Edward Thomas Jung and E. Thomas Jung Partners, Ltd., also d/b/a ETJ Partners, Ltd.
Release No.: IA-2025
34-45666 Mar. 28, 2002 David T. Dodge
34-45665 Mar. 28, 2002 PictureTel Corp. and Les B. Strauss
34-45655 Mar. 27, 2002 Signal Technology Corporation
33-8077 Mar. 25, 2002 Robert A. Papariella, Harvest Financial Corporation and Frank D. Ruscetti
Release No.: 34-45637
34-45653 Mar. 27, 2002 Kimberly-Clark Corporation and John W. Donehower
34-45646 Mar. 26, 2002 Edward J. Muller
33-8076 Mar. 26, 2002 Douglas E. Costa
Release No.: 34-45636
33-8075 Mar. 25, 2002 First Florida Communications, Inc.
Release No.: 34-45635
IA-2023 Mar. 22, 2002 Stan D. Kiefer & Associates and Stanley D. Kiefer
34-45615 Mar. 21, 2002 Uri Evan, Joseph S. Cohen, and Frederick J. Horowitz
34-45614 Mar. 21, 2002 Daniel Parker
34-45613 Mar. 21, 2002 Harlan Schier
34-45612 Mar. 21, 2002 Frank Valdez
34-45611 Mar. 21, 2002 Keith Spero
34-45610 Mar. 21, 2002 Oleg Feldman
33-8073 Mar. 21, 2002 Financial Asset Management, Inc., James B. Rader and Debra L. Kennedy
Release Nos.: 34-45608, IA-2022
34-45600 Mar. 20, 2002 Jeremiah J. Hegarty and Michael P. Hegarty
Release No.: IA-2020
34-45599 Mar. 20, 2002 David E. Fitzgerald
34-45596 Mar. 20, 2002 Lisa M. Beuche, CPA
IA-2019 Mar. 19, 2002 Henry Weingarten
34-45588 Mar. 18, 2002 Elaine A. Decker, CPA
34-45587 Mar. 18, 2002 David Held, CPA
34-45586 Mar. 18, 2002 Timothy S. Heyerdahl
34-45583 Mar. 18, 2002 Frank J. Fasano and Arthur Bruce Bahlav
34-45582 Mar. 18, 2002 Frank J. Fasano and Arthur Bruce Bahlav
34-45565 Mar. 15, 2002 Ronald N. Pellett and Penny A. Sperry
34-45564 Mar. 15, 2002 Mark E. Rice
34-45555 Mar. 13, 2002 Bruce E. Straughn
34-45553 Mar. 12, 2002 IGI, Inc.
34-45552 Mar. 12, 2002 Donald J. MacPhee
34-45551 Mar. 12, 2002 William A. Dickson and Stephen P. Collins
34-45550 Mar. 12, 2002 Frederick W. Kolling, III, CPA
34-45549 Mar. 12, 2002 Victor R. Grauaug
33-8069 Mar. 8, 2002 Platinum Equities, Inc., Blackheath & Kent Holdings, Inc., John J. Kenny, and Pasquale Forti
Release No.: 34-45520
33-8068 Mar. 7, 2002 Facundo Ponce
Release No.: 34-45512
34-45510 Mar. 6, 2002 John W. Cruickshank, Jr.
33-8067 Mar. 6, 2002 James E. Slayton, CPA
Release No.: 34-45509
34-45507 Mar. 5, 2002 Telxon Corporation, Gary L. Grand, and James G. Cleveland
34-45502 Mar. 5, 2002 Kevin R. Andersen
34-45498 Mar. 4, 2002 Ellsworth Wayne McLaws and Alan Clagg
34-45491 Mar. 1, 2002 Robert E. Duke
34-45486 Feb. 28, 2002 Christopher P. Roach and East West Institutional Services, Inc.
Release No.: IA-2016
34-45485 Feb. 28, 2002 Frank Lee Harris III
34-45474 Feb. 25, 2002 David B. Gosse
IA-2015 Feb. 22, 2002 Eugene B. Deveney
34-45465 Feb. 21, 2002 Delta Equity Services Corporation and Raymond L. Grenier, Jr.
34-45473 Feb. 25, 2002 Edward Alexander
34-45463 Feb. 20, 2002 Nigel A. Ramsay
34-45461 Feb. 20, 2002 Mark McDermott
34-45460 Feb. 20, 2002 Norwest Investment Services, Inc., now known as Wells Fargo Brokerage Services, LLC, successor by merger
34-45459 Feb. 20, 2002 Russell C. Turek
34-45458 Feb. 20, 2002 JDN Realty Corporation
34-45455 Feb. 15, 2002 John Adams, Jr., Ronald Bongo, Samuel Del Presto, Sean Hart, Curtis Marchand, III, Michael Mcdermott, Palmer Myers, David Nelson, Daniel Petronelli, Gary Smolokoff, Malik Tawil, Lawrence Weil, and Neil White
34-45446 Feb. 14, 2002 Robert Shane Jones
34-45445 Feb. 14, 2002 Craig Wiginton
34-45441 Feb. 13, 2002 William H. Warner and Robert J. Quigley
Release No.: AAER-1505
IA-2014 Feb. 13, 2002 Craig P. Scanlon
34-45409 Feb. 6, 2002 Edward Bracken and Douglas Diggins
34-45408 Feb. 6, 2002 Alefheim Prodani
34-45407 Feb. 6, 2002 Richard Silverman
33-8062 Feb. 6, 2002 Pryor, McClendon, Counts & Co., Inc., n/k/a Pryor, Counts & Co., Inc., Raymond J. McClendon, Allen W. Counts, and Theresa A. Stanford,
Release No.: 34-45402
34-45393 Feb. 5, 2002 Critical Path, Inc.
34-45381 Feb. 1, 2002 Garri Zhigun
34-45380 Feb. 1 2002 Bernadette Stevens, aka Bernadette Stevens Bell
34-45372 Jan. 31, 2002 Thomas A. Carrey and Frank Marsella
34-45362 Jan. 30, 2002 Cyberguard Corporation, William D. Murray, Tommy D. Steele
IA-2012 Jan. 30, 2002 Rupay-Barrington Capital Management, Inc.
34-45356 Jan. 29, 2002 Thomas A. Carey and Frank Marsella
IA-2011 Jan. 24, 2002 United Custodial Corporation
33-8060 Jan. 24, 2002 Gregory F. Mazzeo
Release No.: 34-45329
33-8059 Jan. 24, 2002 iCapital Markets LLC
Release No.: 34-45328
33-8058 Jan. 24, 2002 Eric V. Schultz
Release Nos.: 34-45327, IC-25400
33-8057 Jan. 23, 2002 BNB Capital, Inc. and Vincent W. Beale, Sr.
Release No.: 34-45324
33-8055 Jan. 18, 2002 Raymond A. Parkins, Jr.
Release Nos.: 34-45314, IA-2010
34-45298 Jan. 17, 2002 Daniel Patrick O'Connell
34-45296 Jan. 16, 2002 Jerry Lynn Ruyle
34-45294 Jan. 16, 2002 Woody Keith Lowe
34-45293 Jan. 16, 2002 Kurtis Keith Lowe
34-45292 Jan. 16, 2002 Robert Alen Blackburn
34-45287 Jan. 16, 2002 Trump Hotels & Casino Resorts, Inc.
34-45280 Jan. 15, 2002 Nelson Barber, CPA
34-45279 Jan. 15, 2002 BellSouth Corporation
33-8054 Jan. 14, 2002 Art H. Beroff
34-45272 Jan. 14, 2002 KPMG LLP
Release No.: IC-25360
34-45245 Jan. 7, 2002 James E. Slayton
34-45243 Jan. 7, 2002 Carol Conway Dewees
33-8053 Jan. 7, 2002 California Software Corporation
Release No.: 34-45242
IC-25356 Jan. 4, 2002 Merrimac Advisors Company and Fredric J. French
Release No.: IA-2009
33-8052 Jan. 3, 2002 Financial Asset Management, Inc., James B. Rader and Debra L. Kennedy
Release Nos.: 34-45224, IA-2007
IA-2006 Jan. 2, 2002 Reed E. Slatkin
33-8051 Jan. 2, 2002 Thomas J. Palazzolo
Release No.: 34-45228

http://www.sec.gov/litigation/admin/adminarchive/adminarc2002.shtml


Modified: 08/07/2015