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Administrative Proceedings Archive 2004

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
34-50943 Dec. 29, 2004 John N. Salerno
34-50932 Dec. 27, 2004 Laurence D. Cohen (CPA)
Other Release No.: AAER-2157
34-50931 Dec. 27, 2004 Frank D. Edwards, CA
Other Release No.: AAER-2156
34-50941 Dec. 29, 2004 Kenneth A. Orr
34-50938 Dec. 28, 2004 Robert J. Cassandro
34-50933 Dec. 27, 2004 Dimitrios Kostopoulos
Note: See also the Order in this matter
34-50918 Dec. 22, 2004 Keith M. Roberts
Other Release No.: AAER-2155
34-50913 Dec. 22, 2004 Mark J. Chavez
33-8519 Dec. 22, 2004 Mark K. Menzel
Other Release No.: 34-50908
33-8520 Dec. 22, 2004 Edward D. Jones & Co., L.P.
Other Release No.: 34-50910
34-50899 Dec. 21, 2004 Michael I. Nnebe, Nelson C. Walker, and Hildreth J. Fleming, Jr.
33-8517 Dec. 20, 2004 American International Group, Inc.
Other Release No.: 34-50891
33-8516 Dec. 20, 2004 American International Group, Inc.
Other Release No.: 34-50890
34-50884 Dec. 20, 2004 Scott Hamilton
34-50882 Dec. 20, 2004 The Walt Disney Company
34-50881 Dec. 20, 2004 American Multiplexer Corp., DMT Energy, Inc., JTS Corp., and Webvan Group, Inc.
34-50879 Dec. 17, 2004 Donald L. Knight
34-50876 Dec. 17, 2004 American Multiplexer Corp., DMT Energy, Inc., JTS Corp., and Webvan Group, Inc.
34-50875 Dec. 17, 2004 Lonnie Dragon
Note: See also the Order in this matter
Note: See also the Order in this matter
Note: See also Final Order in this matter
33-8515 Dec. 16, 2004 Bio One Corporation
34-50873 Dec. 16, 2004 Ulysses "Thomas" Ware
34-50869 Dec. 16, 2004 Pennichuck Corporation
34-50867 Dec. 16, 2004 Knight Securities L.P.
34-50861 Dec. 15, 2004 Grant Thornton LLP, Doeren Mayhew & Co. P.C., Peter M. Behrens, CPA, Marvin J. Morris, CPA, and Benedict P. Rybicki, CPA
Other Release No.: AAER-2151
33-8513 Dec. 15, 2004 First Command Financial Planning, Inc.
34-50842 Dec. 13, 2004 Michael Carnicle
34-50841 Dec. 13, 2004 Franklin Advisers, Inc. and Franklin / Templeton Distributors, Inc.
Other Release Nos.: IA-2337; IC-26692
34-50841A Dec. 13, 2004 Franklin Advisers, Inc. and Franklin / Templeton Distributors, Inc.
Other Release Nos.: IA-2337A; IC-26692A
34-50835 Dec. 10, 2004 David Abish, Christopher Betts, Mark Charvat, James Corcoran, Paul Feeny, Robert Pratt, Mario Rodriguez, Scott Siegel, Andrew Tursi, and David Weeks
34-50826 Dec. 9, 2004 Graham Andrews
34-50825 Dec. 9, 2004 Koji Goto
Other Release No.: IA-2336
Note: See also the Order in this matter
34-50824 Dec. 9, 2004 Marshall S. Klein
33-8510 Dec. 7, 2004 Steven Ingrassia and Slava Volman
Other Release No.: 34-50816
33-8509 Dec. 7, 2004 Marc Freeman
Other Release No.: 34-50815
34-50805 Dec. 7, 2004 Agra-Tech, Incorporated, Consolidated Oil & Gas, Inc., Kilimanjaro Group.Com Inc., New Hampshire Industrials, Inc., Oyster Creek Group Inc., Savannah River Group, Inc., 2ksounds Corporation, Xunantunich, Inc.
34-50804 Dec. 7, 2004 Michael A. Lomas and Michael L. Young
34-50803 Dec. 7, 2004 Thomas H. Keesee
34-50802 Dec. 7, 2004 Emanuele Cardaci
34-50801 Dec. 7, 2004 Fidelity National Capital Investors, Inc.
34-50798 Dec. 6, 2004 Daniel E. Charboneau
Note: See also the Order in this matter
34-50793 Dec. 3, 2004 Vladislav Steven Zubkis
34-50783 Dec. 2, 2004 Thomas L. Taylor
Other Release No.: AAER-2148
34-50782 Dec. 2, 2004 Ari Dinov and Eli Dinov
34-50772 Dec. 1, 2004 Schield Management Company and Marshall L. Schield
Other Release No.: IA-2331
Note: See also the Order in this matter
34-50771 Dec. 1, 2004 Abacan Resources Corp., Heroes, Inc., American Multiplexer Corp., DMT Energy, Inc., JTS Corp., Webvan Group, Inc., Asset Equity Group, Inc., Household Direct, Inc., International Brands, Inc., Interspace Enterprises, Inc., JSJ Capital II, Inc., Mega Micro Technologies Group, Inc., S D E Holdings 2, Inc., Vertical Computer Systems, Inc. and VSAT Net, Inc.
Note: See also:
Order in this matter, File No. 3-11759
Order in this matter, File No. 3-11760
Order in this matter, File No. 3-11761
34-50770 Dec. 1, 2004 Winstar Communications, Inc.
34-50769 Dec. 1, 2004 Learncom, Inc.
34-50768 Dec. 1, 2004 Bigmar, Inc.
34-50767 Dec. 1, 2004 Bluestar Enterprises, Inc.
34-50766 Dec. 1, 2004 Biogan International, Inc.
34-50765 Dec. 1, 2004 Centura Software Corp.
34-50764 Dec. 1, 2004 Directshoes.Com, Inc.
34-50763 Dec. 1, 2004 Healthwatch, Inc.
34-50762 Dec. 1, 2004 Marchfirst, Inc.
34-50761 Dec. 1, 2004 21st Century Wireless Group, Inc.
34-50757 Nov. 30, 2004 Joseph L. Lents, Brian E. Baginski, and Anthony V. Yonadi
34-50750 Nov. 30, 2004 Joseph L. Lents, Brian E. Baginski, and Anthony V. Yonadi
34-50745 Nov. 29, 2004 Kenneth L. Rubin, CPA, and Michael W. Lewis, CPA
Other Release No.: AAER-2144
Note: See also the Order in this matter
34-50744 Nov. 29, 2004 Charles A. Dairaghi, C.P.A.
Other Release No.: AAER-2143
34-50743 Nov. 29, 2004 Bruce D. Oakes
Other Release No.: AAER-2142
34-50739 Nov. 26, 2004 Steven Bocchino, and Sharon Harosh
34-50738 Nov. 24, 2004 Michael I. Nnebe, Nelson C. Walker, and Hildreth J. Fleming, Jr.
33-8508 Nov. 23, 2004 John A. Carley, Mark N. Dohlen, Eugene C. Geiger, Paul A. Giles, Roy E. Gould, Thomas A. Kaufmann, Alfred Peeper, Edward H. Price, Christopher H. Zacharias, Le Fond Mondial D'investissement S.A., and Spencer Edwards, Inc.
Other Release No.: 34-50721
34-50720 Nov. 22, 2004 Frederick J. Gilliland
Note: See also the Order in this matter
34-50711 Nov. 22, 2004 Soulfood Concepts, Inc.
IA-2330 Nov. 19, 2004 Barry J. Goodman
34-50707 Nov. 19, 2004 Jerry K. Lester
Other Release No.: AAER-2140
34-50706 Nov. 19, 2004 eFunds Corporation
Other Release No.: AAER-2139
34-50705 Nov. 19, 2004 Gary Moe and ID Integration
Other Release No.: AAER-2138
34-50704 Nov. 19, 2004 Robotic Vision Systems, Inc.
Other Release No.: AAER-2137
34-50701 Nov. 18, 2004 David Abish, Christoper Betts, Mark Charvat, James Corcoran, Paul Feeny, Robert Pratt, Mario Rodriguez, Scott Siegel, Andrew Tursi and David Weeks
34-50697 Nov. 18, 2004 Anthony Gianninoto and Eileen Laine
34-50696 Nov. 18, 2004 Anthony Gianninoto and Eileen Laine
33-8506 Nov. 17, 2004 Harold J. Baxter
Other Release Nos.: 34-50681; IA-2329; IC-26656
33-8505 Nov. 17, 2004 Gary L. Pilgrim
Other Release Nos.: 34-50680; IA-2328; IC-26655
34-50675 Nov. 16, 2004 Michael John Hanchar
Other Release No.: IA-2327
34-50664 Nov. 15, 2004 Wesley H. Colwell, CPA,
Other Release No.: AAER-2135
33-8503 Nov. 15, 2004 Fischer Imaging Corporation
Other Release Nos.: 34-50663; AAER-2134
34-50661 Nov. 15, 2004 Frederick Tropeano
34-50660 Nov. 15, 2004 Marlon D. Tropeano
IA-2326 Nov. 10, 2004 Kenneth B. MacQueen
34-50653 Nov. 10, 2004 Steven Woghin, Esq.
Other Release No.: AAER-2133
34-50650 Nov. 9, 2004 William H. Black
Other Release No.: IA-2324
Note: See also the Order in this matter
34-50648 Nov. 9, 2004 Bruce H. Barbers and Craig H. Colwell
IA-2323 Nov. 9, 2004 Adam G. Kruger
34-50646 Nov. 8, 2004 Carlos H. Soto
34-50644 Nov. 5, 2004 Neal R. Wadhwa
Other Release No.: IA-2322
34-50638 Nov. 5, 2004 David Abish, Christopher Betts, Mark Charvat, James Corcoran, Paul Feeny, Robert Pratt, Mario Rodriguez, Scott Siegel, Andrew Tursi and David Weeks
IA-2320 Nov. 4, 2004 John D. Barry, Thomas P. Daniels, John M. Irwin, and Mark P. Miszkiewicz
34-50631 Nov. 4, 2004 Steven Bocchino and Sharon Harosh
IA-2319 Nov. 4, 2004 Larry Adams
Other Release No.: IC-26652
Note: See also the Order in this matter
IA-2318 Nov. 4, 2004 Nancy C. Tengler
Other Release No.: IC-26651
IA-2317 Nov. 4, 2004 Fremont Investment Advisors, Inc.
Other Release No.: IC-26650
34-50632 Nov. 4, 2004 Morgan Stanley
Other Release No.: AAER-2132
34-50623 Nov. 3, 2004 Harold F. Harris, and Ronald E. Crews
34-50612 Oct. 29, 2004 Neurotech Development Corporation
Note: See also the Order in this matter
33-8500 Oct. 29, 2004 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
Other Release No.: 34-50609
IA-2316 Oct. 29, 2004 Fanam Capital Management, Richard J. Ennis, and Seth Morgulas
34-50598 Oct. 27, 2004 David Rivard, CPA
Other Release No.: AAER-2130
34-50597 Oct. 27, 2004 David Kaplan, CPA
Other Release No.: AAER-2129
34-50592 Oct. 26, 2004 Benny G. Morris
34-50589 Oct. 26, 2004 Norman C. Payson
34-50588 Oct. 26, 2004 John Joslyn, Joseph Marsh, P. David Lucas, Steven Sybesma, Stanley Thomas, and Jon Thompson
34-50584 Oct. 22, 2004 Hawaiian Airlines, Inc.
34-50581 Oct. 22, 2004 Platinum Investment Corporation, Andrew Antonucci, and Mathew Beaulieu
34-50580 Oct. 21, 2004 Thomas Donovan
Note: See also the Order in this matter
34-50578 Oct. 21, 2004 Daniel E. Emmenegger
34-50569 Oct. 20, 2004 Americo Robert Gallo And Oren Fachler
34-50568 Oct. 20, 2004 Larry Wayne Cherry
Other Release No.: IA-2315
34-50567 Oct. 20, 2004 Americo Robert Gallo and Oren Fachler
34-50566 Oct. 20, 2004 Michael W. Smith
34-50565 Oct. 20, 2004 Adam Michael Oliver
34-50564 Oct. 20, 2004 KPMG LLP, Bryan E. Palbaum, CPA, John M. Wong, CPA, Kenneth B. Janeski, CPA, David A. Hori, CPA
Other Release No.: AAER-2125
34-50560 Oct. 19, 2004 Bruce H. Barbers and Craig H. Colwell
34-50556 Oct. 18, 2004 Michael Rosoff
34-50554 Oct. 18, 2004 The Village Green Bookstore, Inc.
34-50553 Oct. 18, 2004 Ashley Nemiroff, Rocco Siclari, George A. Carhart, Howard Zelin, Carl D'elia, Craig A. Brandwein, and Donald R. Catapano
34-50551 Oct. 15, 2004 Michael A. Lomas and Michael L. Young
Note: See also the Order in this matter
34-50547 Oct. 15, 2004 Michael Yeninas
34-50544 Oct. 14, 2004 Von Christopher Cummings, John A. Ryan, Kevin L. Grandy, James Curtis Conley, Michael L. Vogt, John E. Hawley, Jr.
Other Release No.: IA-2314
IA-2313 Oct. 13, 2004 Barry J. Goodman
Note: See also the Order in this matter
34-50535 Oct. 13, 2004 Van der Moolen Specialists USA, LLC
34-50534 Oct. 13, 2004 SIG Specialists, Inc.
34-50533 Oct. 13, 2004 Spear, Leeds & Kellogg Specialists LLC
34-50532 Oct. 13, 2004 Performance Specialist Group LLC
34-50531 Oct. 13, 2004 LaBranche & Co. LLC
34-50530 Oct. 13, 2004 Fleet Specialist, Inc.
34-50529 Oct. 13, 2004 Bear Wagner Specialists LLC
34-50524 Oct. 13, 2004 Piranha, Inc.
34-50522 Oct. 13, 2004 Harold B. Gallison, Jr., Terrence J. Hughes, and David Rosenthal
34-50519 Oct. 13, 2004 Ture Roland Fahlin
Other Release No.: AAER-2123
34-50517 Oct. 12, 2004 David A. Zimmerman
34-50516 Oct. 12, 2004 Joseph T. Falcone
34-50515 Oct. 12, 2004 Larry F. Smath
34-50512 Oct. 12, 2004 Soulfood Concepts, Inc.
Note: See also the Order in this matter
34-50507 Oct. 8, 2004 Raymond R. Cunningham
Other Release Nos.: IA-2312; IC-26630
34-50506 Oct. 8, 2004 Invesco Funds Group, Inc., AIM Advisors, Inc., and AIM Distributors, Inc.
Other Release Nos.: IA-2311; IC-26629
34-50504 Oct. 8, 2004 John N. Salerno
Note: See also the Order in this matter
34-50503 Oct. 8, 2004 Joseph J. Salerno, III and Richard S. Ginsberg
34-50496 Oct. 6, 2004 Calvin E. Moore, Jr.
IA-2310 Oct. 6, 2004 RS Investment Management, Inc., RS Investment Management, L.P., G. Randall Hecht and Steven M. Cohen
Other Release No.: IC-26627
34-50494 Oct. 5, 2004 Safescript Pharmacies, Inc., f/k/a RTIN Holdings, Inc.,
34-50493 Oct. 5, 2004 Fidelity National Capital Investors, Inc.
34-50490 Oct. 5, 2004 Marc Wein
34-50488 Oct. 4, 2004 Ashley Nemiroff, Rocco Siclari, George A. Carhart, Howard C. Zelin, Carl D'Elia, Craig A. Brandwein, and Donald R. Catapano
34-50482 Oct. 1, 2004 Stanley B. Wasser
Third Quarter
34-50479 Sep. 30, 2004 Joseph L. Lents, Brian E. Baginski and Anthony V. Yonadi
Note: See also the Order in this matter
33-8499 Sep. 30, 2004 Raymond James Financial Services, Inc., J. Stephen Putnam, and David Lee Ullom
Other Release Nos.: 34-50476; IA-2309
Note: See also the Order in this matter
IA-2308 Sep. 30, 2004 Groh Asset Management, Inc. and Roger O. Groh
34-50472 Sep. 29, 2004 Harold B. Gallison, Jr., Terrence J. Hughes and David Rosenthal
34-50467 Sep. 29, 2004 Agra-Tech, Incorporated, Consolidated Oil & Gas, Inc., Kilimanjaro Group.Com Inc., New Hampshire Industrials, Inc., Oyster Creek Group Inc., Savannah River Group, Inc., 2KSounds Corporation, Xunantunich, Inc.
Note: See also the Order in this matter
34-50462 Sep. 28, 2004 Alan Brian Bond, and Albriond Capital Management, LLC
Other Release No.: IA-2307
34-50459 Sep. 28, 2004 Marshall S. Klein
Note: See also the Order in this matter
34-50455 Sep. 27, 2004 A.C.L.N. Limited
34-50444 Sep. 24, 2004 Robert Snyder and James Stamp
34-50440 Sep. 24, 2004 Donald L. Knight
Note: See also the Order in this matter
34-50439 Sep. 24, 2004 Franklin Marone
34-50438 Sep. 24, 2004 Emex Corporation
Note: See also the Order in this matter
34-50437 Sep. 24, 2004 Michael Carnicle
Note: See also the Order in this matter
IA-2305 Sep. 23, 2004 Kenneth B. MacQueen
Note: See also the Order in this matter
33-8490 Sep. 23, 2004 Allen Z. Wolfson, Michael T. Grecco, John M. Black, Jr., Spiro Lazaretos, Robert Balsamo, Vladimir Carvallo, and Konstantinos Dino Sonitis
Other Release No.: 34-50435
34-50432 Sep. 23, 2004 Andrew S. Marks
34-50429 Sep. 23, 2004 The Village Green Bookstore, Inc.
Note: See also the Order in this matter
34-50428 Sep. 23, 2004 John E. Isselmann, Jr.
Other Release No.: AAER-2108
34-50427 Sep. 23, 2004 John W. Adams and AIP, LLC
34-50426 Sep. 23, 2004 General Electric Company
34-50424 Sep. 22, 2004 Daniel S. Lezak
Other Release No.: AAER-2107
34-50422 Sep. 22, 2004 Edward J. Strafaci
Other Release No.: IA-2304
IA-2303 Sep. 22, 2004 Massachusetts Financial Services Company
Other Release No.: IC-26617
34-50421 Sep. 22, 2004 Eagle Building Technologies, Inc.
34-50419 Sep. 22, 2004 EVTC, Inc.
IA-2302 Sep. 21, 2004 Brandt, Kelly & Simmons, LLC and Kenneth G. Brandt
Note: See also the Order in this matter
IA-2301 Sep. 21, 2004 Kiely Financial Services, Inc. and Joseph K. Kiely
IA-2300 Sep. 21, 2004 Rudney Associates, Inc. and Eric A. Rudney
34-50415 Sep. 21, 2004 TD Waterhouse Investor Services, Inc.
Other Release No.: IA-2299
34-50407 Sep. 17, 2004 Alfred J. Flores
34-50400 Sep. 16, 2004 Senetek PLC
34-50397 Sep. 16, 2004 William Barney Thomas
Other Release No.: IA-2298
34-50396 Sep. 16, 2004 Cybergate, Inc., Cyber Tennis, Inc., Cyberwholesale, Inc., CathayOne, Inc., eLocity, Inc., Golden Opportunity Development Corp., J. A. B. Int'l, Inc., Maxx Int'l, Inc., Oasis Resorts Int'l, Inc.,Rollerball Int'l, Inc., U.S. Homes & Properties, Inc., Wichita Development Corp., Youthline USA, Inc., and ATC II, Inc.
34-50387 Sep. 15, 2004 Robert Cord Beatty
Note: See also the Order in this matter
33-8489 Sep. 15, 2004 Taglich Brothers, Inc. and Richard C. Oh
Other Release No.: 34-50388
IA-2297 Sep. 15, 2004 Adam G. Kruger
Note: See also the Order in this matter
IA-2296 Sep. 15, 2004 Sagam Capital Management Corp. and Sagam Capital LLC
34-50385 Sep. 15, 2004 McLeodUSA Incorporated
Other Release No.: AAER-2103
34-50384 Sep. 15, 2004 PA Fund Management LLC, PEA Capital LLC, and PA Distributors LLC
Other Release Nos.: IA-2295; IC-26598
34-50383 Sep. 15, 2004 Cary R. Kahn
See also: 34-50046
34-50382 Sep. 15, 2004 Anthony Gianninoto and Eileen Laine
Note: See also the Order in this matter
IA-2294 Sep. 15, 2004 Bridgeway Capital Management, Inc. and John Noland Ryan Montgomery
33-8487 Sep. 14, 2004 Bruce Keith Jensen
Other Release Nos.: 34-50370; AAER-2102
33-8486 Sep. 14, 2004 Dean Foods Company and John D. Robinson,
Other Release No.: 34-50368; AAER-2100
33-8485 Sep. 14, 2004 Kemps LLC, f/k/a Marigold Foods, LLC, James Green and Christopher Thorpe
Other Release No.: 34-50369; AAER-2101
33-8484 Sep. 14, 2004 John K. Adams
Other Release No.: 34-50367; AAER-2098
33-8483 Sep. 14, 2004 Digital Exchange Systems, Inc., Rosario Coniglio and Steven Schmidt
Other Release No.: 34-50366; AAER-2099
33-8482 Sep. 14, 2004 Fleming Companies, Inc.
Other Release No.: 34-50365; AAER-2097
34-50363 Sep. 14, 2004 Kenneth A. Orr
Note: See also the Order in this matter
34-50362 Sep. 14, 2004 Michael Yeninas
Note: See also the Order in this matter
34-50360 Sep. 14, 2004 Charles Schwab & Co., Inc.
Other Release No.: IC-26595
34-50359 Sep. 14, 2004 Michael I. Nnebe, Nelson C. Walker, and Hildreth J. Fleming, Jr.
Note: See also the Order in this matter
34-50358 Sep. 13, 2004 Roberto E. Veitia
Note: See also the Order in this matter
34-50354 Sep. 13, 2004 PA Fund Management LLC f/k/a PIMCO Advisors Fund Management LLC, PEA Capital LLC f/k/a PIMCO Equity Advisors LLC, and PA Distributors LLC f/k/a PIMCO Advisors Distributors LLC
Other Release Nos.: IA-2292, IC-26594
34-50353 Sep. 13, 2004 Robert C. Walters
34-50352 Sep. 13, 2004 John A. D'Onofrio
34-50351 Sep. 13, 2004 Dennis J. Oslosky
34-50350 Sep. 13, 2004 Jason J. Riley
34-50349 Sep. 13, 2004 Stan Lee Media, Inc.
34-50348 Sep. 10, 2004 Allen Andrescu, Richard Brower, Mark Coates, Tejbir Singh, and Vikram Randhawa
Note: See also the Order in this matter
34-50344 Sep. 10, 2004 Cheryl A. Swain
34-50334 Sep. 9, 2004 Fiore J. Gallucci
34-50330 Sep. 8, 2004 Emanuele Cardaci
Note: See also the Order in this matter
33-8481 Sep. 8, 2004 John Gorman and Patrick Gentile
Other Release Nos.: 34-50329; AAER-2093
34-50321 Sep. 7, 2004 Harold B. Gallison, Jr., Terrence J. Hughes and David Rosenthal
Other Release No.:
Note: See also the Order in this matter
34-50320 Sep. 7, 2004 Frederick Tropeano
Note: See also the Order in this matter
34-50316 Sep. 3, 2004 David Abish, Christopher Betts, Mark Charvat, James Corcoran, Paul Feeny, Robert Pratt, Mario Rodriguez, Scott Siegel, Andrew Tursi and David Weeks
Note: See also the Order in this matter
34-50315 Sep. 3, 2004 Franklin Marone
Note: See also the Order in this matter
34-50314 Sep. 3, 2004 Michael Sydney Newman
Note: See also the Order in this matter
34-50313 Sep. 3, 2004 Piranha, Inc.
Note: See also the Order in this matter
34-50309 Sep. 2, 2004 Matter of Steven Bocchino and Sharon Harosh
Note: See also the Order in this matter
33-8480 Sep. 1, 2004 John A. Carley, Mark N. Dohlen, Eugene C. Geiger, Paul A. Giles, Roy E. Gould, Thomas A. Kaufmann, Alfred Peeper, Edward H. Price, Christopher H. Zacharias, Le Fond Mondial D'investissement S.A., and Spencer Edwards, Inc.
Other Release No.: 34-50303
Note: See also the Order in this matter
34-50301 Sep. 1, 2004 Vladislav Steven Zubkis
Note: See also the Order in this matter
34-50300 Sep. 1, 2004 Charles B. Spadoni
Other Release No.: IA-2291
34-50299 Sep. 1, 2004 Marlon D. Tropeano
Note: See also the Order in this matter
34-50297 Aug. 31, 2004 Edward Landenbaum
Note: See also the Order in this matter
34-50293 Aug. 31, 2004 Merrell W. Williams and Timothy C. Olk
34-50289 Aug. 30, 2004 Michael D. Legoski
Other Release Nos.: IA-2290; IC-26590
IA-2289 Aug. 30, 2004 Timothy J. Miller
Other Release No.: IC-26589
IA-2288 Aug. 30, 2004 Thomas A. Kolbe
Other Release No.: IC-26588
IA-2287 Aug. 30, 2004 Dominique S. Alvieri
34-50288 Aug. 30, 2004 Marc Wein
Note: See also the Order in this matter
35-27886 Aug. 30, 2004 American Electric Power Company Inc.
34-50284 Aug. 27, 2004 Peter Bacanovic
Other Release No.: IA-2286
34-50281 Aug. 27, 2004 Jesse Dean Bogdonoff
Other Release No.: IA-2284
34-50271 Aug. 26, 2004 Alnoor Jiwan
IC-26581 Aug. 26, 2004 Robert S. Colman
IA-2282 Aug. 26, 2004 Audrey L. Buchner
Other Release No.: IC-26580
IA-2281 Aug. 26, 2004 Garrett Van Wagoner and Van Wagoner Capital Management, Inc.
Other Release No.: IC-26579
34-50273 Aug. 26, 2004 U.S. Technologies, Inc.
34-50272 Aug. 26, 2004 Donaldson, Lufkin & Jenrette Securities Corp., predecessor in interest to Credit Suisse First Boston LLC
34-50268 Aug. 26, 2004 Ronald D. Brouillette, Jr.
34-50266 Aug. 26, 2004 Cybergate Inc., et al.
34-50265 Aug. 26, 2004 Cybergate Inc., et al.
34-50264 Aug. 26, 2004 Cybergate Inc., et al.
34-50261 Aug. 25, 2004 Cybergate Inc., et al.
34-50260 Aug. 25, 2004 Cybergate Inc., et al.
34-50258 Aug. 25, 2004 Van E. Brighton
34-50257 Aug. 25, 2004 David L. Knudson
34-50256 Aug. 25, 2004 Andrew Sears
34-50255 Aug. 25, 2004 Derrick N. McKinney and Rick R. Malizia
Note: See also the Order in this matter
33-8475 Aug. 25, 2004 Janney Montgomery Scott LLC
Other Release No.: 34-50252
33-8474 Aug. 25, 2004 Needham & Company, Inc.
Other Release No.: 34-50251
33-8472 Aug. 25, 2004 SG Cowen & Co., LLC, f/k/a SG Cowen Securities Corporation
Other Release No.: 34-50250
33-8469 Aug. 25, 2004 Prudential Equity Group, LLC f/k/a Prudential Securities Inc.
Other Release No.: 34-50248
33-8466 Aug. 25, 2004 Morgan Keegan & Co., Inc.,
Other Release No.: 34-50246
33-8461 Aug. 25, 2004 Friedman, Billings, Ramsey & Co., Inc.
Other Release No.: 34-50243
33-8460 Aug. 25, 2004 Adams Harkness, Inc., f/k/a Adams, Harkness & Hill, Inc.
Other Release No.: 34-50242
34-50232 Aug. 24, 2004 Cybergate, Inc., Cyber Tennis, Inc., Cyberwholesale, Inc., Cathayone, Inc., Elocity Networks, Inc., Golden Opportunity Development Corp., J. A. B. Int'l, Inc., Maxx Int'l, Inc., Oasis Resorts Int'l, Inc., Rollerball Int'l, Inc., U.S. Homes & Properties, Inc., Wichita Development Corp., Youthline USA, Inc., and ATC II, Inc.
34-50240 Aug. 24, 2004 Matthew Brenner and Darren Silverman
Other Release No.: IA-2280
34-50236 Aug. 24, 2004 Dale Carone
33-8459 Aug. 24, 2004 Ira Weiss, and L. Andrew Shupe II
Other Release No.: 34-50235
34-50234 Aug. 24, 2004 Graham Andrews
Note: See also the Order in this matter
34-50233 Aug. 24, 2004 Royal Dutch Petroleum Company and The "Shell" Transport and Trading Co., p.l.c.
Other Release No.: AAER-2085
34-50228 Aug. 23, 2004 Platinum Investment Corporation, Andrew Antonucci and Mathew Beaulieu
Note: See also the Order in this matter
34-50225 Aug. 20, 2004 Kenneth K. Livesay, CPA
Other Release No.: AAER-2082
34-50223 Aug. 20, 2004 Steven E. Muth
34-50222 Aug. 20, 2004 Steven M. Bolla and Susan Bolla
Other Release No.: IA-2279
IA-2277 Aug. 18, 2004 Janus Capital Management LLC
Other Release No.: IC-26532
34-50207 Aug. 17, 2004 Alfred J. Flores
Note: See also the Order in this matter
34-50200 Aug. 16, 2004 Alcohol Sensors Int'l, Ltd., et al.
34-50194 Aug. 13, 2004 Daniel Harris
34-50186 Aug. 12, 2004 Ashley Nemiroff, Rocco Siclari, George A. Carhart, Carl D'Elia, Howard C. Zelin, Craig A. Brandwein, and Donald R. Catapano
Note: See also the Order in this matter
34-50185 Aug. 12, 2004 Joseph Casuccio, CPA
Other Release No.: AAER-2079
33-8457 Aug. 12, 2004 Thayer Capital Partners, TC Equity Partners IV, L.L.C., TC Management Partners IV, L.L.C., and Frederic V. Malek
Other Release No.: IA-2276
34-50181 Aug. 11, 2004 Stan Lee Media, Inc.
Note: See also the Order in this matter
34-50180 Aug. 11, 2004 Joseph W. Isaac
Note: See also the Order in this matter
IA-2275 Aug. 11, 2004 Pilgrim Baxter & Associates, Ltd.
Note: See also IA-2251
34-50179 Aug. 11, 2004 Gary L. Seidelman, CPA
Other Release No.: AAER-2078
IA-2273 Aug. 9, 2004 Richard L. Cherry
34-50167 Aug. 9, 2004 Ralph DiFalco
33-8456 Aug. 9, 2004 Inviva, Inc. and Jefferson National Life Insurance Company
Other Release Nos.: 34-50166, IC-26527
33-8455 Aug. 9, 2004 CIHC, Inc., Conseco Services, LLC, and Conseco Equity Sales, Inc.
Other Release Nos.: 34-50165, IC-26526
34-50161 Aug. 6, 2004 Frederick B. Hornick, Jr.
34-50156 Aug. 5, 2004 Richard Wolff, Alex Grinshpon, Alex Solon, and Jeffery Stone
34-50155 Aug. 5, 2004 Richard Wolff, Alex Grinshpon, Alex Solon, and Jeffery Stone
34-50155 Aug. 5, 2004 Richard Wolff, Alex Grinshpon, Alex Solon, and Jeffery Stone
34-50151 Aug. 5, 2004 Richard S. Kern, Donald R. Kern, and Charles Wilkins
34-50150 Aug. 5, 2004 Alcohol Sensors Int'l, Ltd., Beachport Entertainment Corp., Biosonics, Inc., Compressent, Inc., Eye Cash Networks, Inc., Hamilton-Biophile Companies, Holly Holdings, Inc., Intelligent Decision Systems, Inc., Long Distance Direct Holdings, Inc., LRG Restaurant Group, Inc., Nevada Manhattan Group, Inc., Parallel Technologies, Inc., Quadratech, Inc., Redneck Foods, Inc., Safetech Industries, Inc., Viking Resources Int'l, Inc., and Xavier Corp.
IA-2272 Aug. 5, 2004 Terese Herwick
34-50148 Aug. 5, 2004 Grant Thornton LLP, Doeren Mayhew & Co. P.C., Marvin J. Morris, CPA, Peter M. Behrens, CPA and Benedict P. Rybicki, CPA
Other Release No.: AAER-2076
33-8452 Aug. 3, 2004 Halliburton Company, and Robert Charles Muchmore, Jr.
Other Release Nos.: 34-50137, AAER-2072
34-50138 Aug. 3, 2004 Fidelity Brokerage Services, LLC
Note: See also Order granting waiver
34-50136 Aug. 3, 2004 Harold F. Harris and Ronald E. Crews
Note: See also the Order in this matter
34-50135 Aug. 3, 2004 Ronald H. Hoffman, CPA
Other Release No.: AAER-2071
34-50134 Aug. 2, 2004 William F. Buettner, CPA
Other Release No.: AAER-2070
IA-2271 Aug. 2, 2004 Franklin Advisers, Inc.
Other Release No.: IC-26523
34-50132 Aug. 2, 2004 Americo Robert Gallo and Oren Fachler
Note: See also the Order in this matter
34-50128 Jul. 30, 2004 Jason H. Pollak
34-50127 Jul. 30, 2004 CathayOne, Inc., Maxx International, Inc., Oasis Resorts International, Inc., Rollerball International, Inc., U.S. Homes & Properties, Inc., Youthline USA, Inc.
34-50121 Jul. 29, 2004 Timothy J. Buzzelli
Other Release No.: AAER-2067
IA-2270 Jul. 28, 2004 Dominique S. Alvieri
Note: See also the Order in this matter
34-50111 Jul. 28, 2004 Irving P. David,
Other Release No.: IA-2269
34-50107 Jul. 28, 2004 Richard Wolff, Alex Grinshpon, Alex Solon, and Jeffery Stone
34-50102 Jul. 28, 2004 EpicEdge, Inc.
34-50098 Jul. 27, 2004 Charter Communications, Inc.
Other Release No.: AAER-2064
34-50096 Jul. 27, 2004 Leslie Wasser, CPA
Other Release No.: AAER-2062
34-50092 Jul. 27, 2004 JC Management, Inc. and Joseph X. Crivelli
34-50088 Jul. 26, 2004 EVTC, Inc.
Note: See also the Order in this matter
34-50086 Jul. 26, 2004 Joseph DeSanto
34-50076 Jul. 26, 2004 SIG Specialists, Inc.
34-50075 Jul. 26, 2004 Performance Specialist Group LLC
34-50073 Jul. 23, 2004 Spiegel, Inc.
33-8450 Jul. 22, 2004 Raymond A. Saitta, CPA
Other Release Nos.: 34-50062; AAER-2058
IA-2267 Jul. 22, 2004 Warren L. Ware
34-50053 Jul. 21, 2004 Michael H. Taber, CPA
Other Release No.: AAER-2057
34-50052 Jul. 21, 2004 Alnoor Jiwan
Note: See also the Order in this matter
34-50051 Jul. 21, 2004 Ronald D. Brouillette, Jr.
Note: See also the Order in this matter
34-50050 Jul. 21, 2004 Currency Trading International, Inc., Craig A. Cunningham, James R. Kelsall, and Christian J. Weber
34-50046 Jul. 20, 2004 Cary R. Kahn
See also: 34-50383
33-8449 Jul. 20, 2004 Allen Z. Wolfson et al.
Other Release No.: 34-50045
33-8448 Jul. 20, 2004 Allen Z. Wolfson et al.
Other Release No.: 34-50044
33-8447 Jul. 20, 2004 Allen Z. Wolfson, et al.
Other Release No.: 34-50043
33-8446 Jul. 20, 2004 Allen Z. Wolfson, et al.
Other Release No.: 34-50042
33-8445 Jul. 20, 2004 Allen Z. Wolfson, et al.
Other Release No.: 34-50041
33-8444 Jul. 16, 2004 CyberCare, Inc.
34-50034 Jul. 16, 2004 Connecticut Capital Markets, L.L.C., and Richard L. Klass
34-50027 Jul. 15, 2004 Bruce H. Barbers and Craig H. Colwell
Note: See also the Order in this matter
34-50017 Jul. 14, 2004 SEI Investments Distribution Company and SEI Investments Company
34-50014 Jul. 14, 2004 Donald F. Chamberlin and David N. Chamberlin
Other Release No.: IA-2264
IA-2263 Jul. 14, 2004 Joseph L. Norris and Mark G. Coleman
34-50011 Jul. 14, 2004 Frederic A. Gladle
34-50009 Jul. 13, 2004 Randall W. Harding
IA-2262 Jul. 12, 2004 Nevis Capital Management, LLC, David Wilmerding, III, and Jon C. Baker
IA-2261 Jul. 12, 2004 Wilmington Trust Company
34-50001 Jul. 12, 2004 Dale Carone
Note: See also the Order in this matter
34-49997 Jul. 9, 2004 Michael Karlins, CPA
Other Release No.: AAER-2054
34-49996 Jul. 9, 2004 Larry A. Stockett
IA-2260 Jul. 9, 2004 Joseph L. Norris and Mark G. Coleman
33-8439 Jul. 9, 2004 Levine, Hughes, and Mithuen, Inc.
Other Release Nos.: 34-49993; AAER-2053
34-49992 Jul. 9, 2004 James Dean, CPA
Other Release No.: AAER-2052
34-49984 Jul. 8, 2004 Kirk J. Dischino (CPA)
Other Release No.: AAER-2050
33-8438 Jul. 8, 2004 J. Michael Scarborough and Royal Alliance Associates, Inc
Other Release No.: 34-49982
34-49980 Jul. 7, 2004 Richard S. Kern, Donald R. Kern, and Charles Wilkins
Note: See also the Order in this matter
34-49977 Jul. 7, 2004 Michael Puorro, Walter Dorow, James C. Parrish, Geoffrey W. Gazda, Melvin L. Levine, Michael T. Reiter, Bruce Bertman, Jerry Poole and Larry W. Kerschenbaum
34-49976 Jul. 7, 2004 Ocumed Group, Inc.
34-49975 Jul. 7, 2004 Jose P. Zollino
Other Release No.: IA-2257
Note: See also the Order in this matter
34-49974 Jul. 7, 2004 Richard Wolff, Alex Grinshpon, Alex Solon and Jeffrey Stone
34-49971 Jul. 6, 2004 Pinnacle Business Management, Inc
33-8435 Jul. 1, 2004 Mark Jackson Nichols
Other Release Nos.: 34-49960; IA-2255
33-8434 Jul. 1, 2004 Goldman, Sachs & Co.
Other Release No.: 34-49953
Second Quarter
34-49945 Jun. 30, 2004 Daniel J. Berardi, Jr.
34-49944 Jun. 30, 2004 Thomas Hawkesworth
IA-2254 Jun. 29, 2004 Banc One Investment Advisors Corporation and Mark A. Beeson
Other Release No.: IC-26490
34-49934 Jun. 29, 2004 James H. Peach, Chartered Accountant
Other Release No.: AAER-2047
34-49923 Jun. 28, 2004 Frederick W. Wall
Note: See also the Order in this matter
34-49914 Jun. 25, 2004 IDT Venture Group, Inc.
34-49908 Jun. 23, 2004 Michael Puorro, Walter Dorow, James C. Parrish, Geoffrey W. Gazda, Melvin L. Levine, Michael T. Reiter, Bruce Bertman, Jerry Poole, and Larry W. Kerschenbaum
34-49904 Jun. 23, 2004 Wilmington Trust Company
34-49899 Jun. 22, 2004 David Farrell McLean
Other Release No.: IA-2252
33-8432 Jun. 21, 2004 Steven L. Haggerty
Other Release Nos.: 34-49897, AAER-2041
33-8431 Jun. 21, 2004 Augustine M. Cruciotti
Other Release No.: 34-49896, AAER-2040
IA-2251 Jun. 21, 2004 Pilgrim Baxter & Associates, Ltd.
34-49893 Jun. 18, 2004 Michael B. Sullivan, CPA
Other Release No.: AAER-2039
33-8430 Jun. 16, 2004 Samer M. El Bizri and Bizri Capital Partners, Inc.
Other Release Nos.: 34-49870; IA-2250; IC-26469
IA-2248 Jun. 15, 2004 Ian L. Renert
Note: See also the Order in this matter
34-49862 Jun. 15, 2004 Scott Fine and Kevin Boyle
Other Release No.: IA-2249
34-49838 Jun. 9, 2004 Schering-Plough Corporation
Other Release No.: AAER-2032
33-8428 Jun. 9, 2004 i2 Technologies, Inc.
Other Release No.: AAER-2033
34-49837 Jun. 9, 2004 CDH & Affiliates, Inc. and C. David Hallman
Other Release No.: IA-2247
34-49836 Jun. 9, 2004 James H. Peach, Chartered Accountant
Other Release No.: AAER-2030
Note: See also the Order in this matter
34-49829 Jun. 8, 2004 Charles W. Crouse and Norman R. Hess
Note: See also the Order in this matter
34-49824 Jun. 8, 2004 Fidelity National Capital Investors, Inc.
34-49823 Jun. 8, 2004 Cybergate, Inc., et. al. and Alcohol Sensors Int'l, Ltd., et al.
See also Order 1
See also Order 2
34-49816 Jun. 7, 2004 Rhino Ecosystems, Inc
IA-2245 Jun. 4, 2004 Isaac Sofair
34-49808 Jun. 4, 2004 Michael J. Farnell
IA-2246 Jun. 3, 2004 Nevis Capital Management, LLC, David Wilmerding, III, and Jon C. Baker
34-49805 Jun. 3, 2004 Frank J. Zangara
34-49803 Jun. 3, 2004 Uncommon Media Group, Inc.
34-49794 Jun. 2, 2004 Leonard Alexander Ruge, Mac Beagelman, Michael Scott Symons, Stephen Evers, Eugene Flaksman, Daniel Kolchkov, Jeff Sanders and Mark Zaborsky
34-49795 Jun. 2, 2004 Richard Wolff, Alex Grinshpon, Alex Solon, and Jeffery Stone
Note: See also the Order in this matter
34-49790 Jun. 2, 2004 Steven E. Muth, Richard J. Rouse, and Bruce J. Bates
IA-2244 May 28, 2004 Warren Asset Management, LLC and Weldon R. Warren
34-49784 May 28, 2004 David A. Jones
Other Release No.: AAER-2025
34-49781 May 27, 2004 Currency Trading International, Inc., Craig A. Cunningham, James R. Kelsall, and Christian J. Weber
Note: See also the Order in this matter
34-49778 May 27, 2004 Michael Boston
34-49765 May 25, 2004 William E. Kraemer
34-49762 May 24, 2004 Raymond P. Sobieralski
34-49760 May 24, 2004 Frank D. Gruttadauria
Other Release No.: IA-2243
34-49761 May 24, 2004 Ocumed Group, Inc.
Note: See also the Order in this matter
34-49753 May 21, 2004 Christopher Kent Bagdasarian
Other Release No.: IA-2242
34-49750 May 21, 2004 Daniel D. Dyer
Other Release No.: IA-2241
34-49743 May 20, 2004 Michael Puorro, Walter Dorow, James C. Parrish, Geoffrey W. Gazda, Melvin L. Levine, Michael T. Reiter, Bruce Bertman, Jerry Poole, and Larry W. Kerschenbaum
33-8426 May 20, 2004 Freedom Financial, Inc., Freedom Track, Inc., Freedom Financial Group, Inc., Associated Investment Management, Inc., Jon Patrick Pierce, Gary L. Winn
Other Release No.: 34-49744, IA-2240
34-49741 May 20, 2004 Strong Capital Management, Inc., Strong Investor Services, Inc., Strong Investments, Inc., Richard S. Strong, Thomas A. Hooker, Jr. and Anthony J. D'Amato
Other Release Nos.: IA-2239, IC-26448
34-49735 May 19, 2004 John F. Turant, Jr.
Other No.: IA-2238
34-49734 May 19, 2004 James P. Farnell
33-8425 May 19, 2004 Paul Melvin Henson, Jr.
Other Release No.: AAER-2020
33-8424 May 19, 2004 Lance Turner Fair
Other Release No.: AAER-2019
IA-2237 May 19, 2004 Lee Bradford Arberg
IA-2236 May 19, 2004 Luis Giro
Note: See also the Order in this matter
33-8423 May 19, 2004 David Lerner Associates, Inc.
34-49720 May 18, 2004 Robert Cournoyer
34-49712 May 17, 2004 Larry A. Stockett
Note: See also the Order in this matter
34-49705 May 14, 2004 Cosmo Corigliano, CPA
Other Release No.: AAER-2015
34-49703 May 14, 2004 David Stetson
34-49702 May 14, 2004 Nicholas Antonelli
33-8420 May 14, 2004 Steven Ingrassia and Slava Volman
Note: See also the Order in this matter
34-49686 May 11, 2004 Bruce Follick, Salvatore Tavolacci, Donald Brooks, Karl Donovan,Aaron Sandstrom, and Derek Shapiro
34-49684 May 11, 2004 Bradley J. Schmidt, CPA
Other Release No.: AAER-2011
34-49683 May 11, 2004 Jay S. Ozer, CPA
Other Release No.: AAER-2010
34-49680 May 11, 2004 Silverado Stock Transfer, Inc. and Shannon L. Baldino
34-49678 May 11, 2004 PricewaterhouseCoopers LLP
Other Release No.: AAER-2008
34-49677 May 11, 2004 Linda J. Wachner
Other Release No.: AAER-2006
34-49676 May 11, 2004 Stanley P. Silverstein
Other Release No.: AAER-2007
34-49675 May 11, 2004 The Warnaco Group, Inc.
Other Release No.: AAER-2005
34-49672 May 10, 2004 Paul W. Mason (a/k/a Louis R. Sarpy), Kristin Luck Emery, And Laurence Mark Anderson (a/k/a Ron Laurence)
34-49657 May 5, 2004 William E. Lyons
34-49655 May 5, 2004 Bruce Follick, Salvatore Tavolacci, Donald Brooks, Karl Donovan, Aaron Sandstrom, and Derek Shapiro
34-49652 May 4, 2004 Gold Banc Corporation, Inc.
Other Release No.: AAER-1999
34-49651 May 4, 2004 John P. Borbi
Other Release No.: IA-2234
34-49647 May 3, 2004 Scott Piccininni
34-49646 May 3, 2004 Paul Tahan
34-49645 May 3, 2004 Robert D. Bewkes
Release No.: IA-2233
34-49642 Apr. 30, 2004 QuadraMed Corporation
Release No.: AAER-1998
34-49641 Apr. 30, 2004 Keith M. Roberts
Other Release No.: AAER-1997
Note: See also the Order in this matter
34-49630 Apr. 29, 2004 California Amplifier, Inc.
Other Release No.: AAER-1995
33-8416 Apr. 29, 2004 Cary R. Kahn
Other Release No.: 34-49629
Note: See also the Order in this matter
IA-2231 Apr. 29, 2004 Joseph L. Norris and Mark G. Coleman
Note: See also the Order in this matter
33-8415 Apr. 26, 2004 Dauphin County General Authority
33-8414 Apr. 26, 2004 Public Finance Consultants, Inc., Robert D. Fowler, Dolphin and Bradbury, Incorporated, Robert J. Bradbury
Other Release No.: 34-49619
Note: See also the Order in this matter
33-8413 Apr. 26, 2004 Ernst & Young LLP
Other Release Nos.: 34-49615; AAER-1991
IA-2230 Apr. 26, 2004 Nevis Capital Management, LLC, David R. Wilmerding, III, and Jon C. Baker
34-49610 Apr. 23, 2004 Raylen Parra
34-49606 Apr. 23, 2004 CDH & Affiliates, Inc. and C. David Hallman
Note: See also the Order in this matter
33-8412 Apr. 22, 2004 Ira Weiss and L. Andrew Shupe, II
Other Release No.: 34-49596
Note: See also the Order in this matter
33-8411 Apr. 22, 2004 Neshannock Township School District
Other Release No.: 34-49600
34-49589 Apr. 21, 2004 Frank D. Gruttadauria
Other Release No.: IA-2228
Note: See also the Order in this matter
34-49578 Apr. 19, 2004 Joseph Petrolino and Eric Siversen
IA-2227 Apr. 16, 2004 Michael Garian, a/k/a Melkon Gharakhanian, a/k/a Bika Balian
34-49568 Apr. 15, 2004 Michael Boston
Note: See also the Order in this matter
34-49565 Apr. 15, 2004 Kenneth W. Winger and Paul R. Humphreys
Other Release No.: AAER-1990
33-8406 Apr. 14, 2004 John Luczycki, CPA
Other Release No.: AAER-1989, 34-49561
34-49558 Apr. 13, 2004 Deborah J. Breckenridge
34-49543 Apr. 8, 2004 Paul W. Mason (a/k/a Louis R. Sarpy), Kristin Luck Emery, and Laurence M. Anderson (a/k/a Ron Laurence)
IA-2226 Apr. 8, 2004 Putnam Investment Management, LLC
Other Release No.: IC-26412
See also Release No. IA-2192
34-49541 Apr. 8, 2004 Gerber Scientific, Inc.
Other Release No.: AAER-1987
34-49526 Apr. 2, 2004 LASV Enterprises, Inc.
34-49516 Apr. 1, 2004 David T. Thomson, CPA, and David T. Thomson PC
Other Release No.: AAER-1984
First Quarter
34-49510 Mar. 31, 2004 Margaret M. Gardner
Other Release No.: AAER-1982
34-49507 Mar. 31, 2004 Terry Don Rader
IA-2224 Mar. 31, 2004 Massachusetts Financial Services Company
Release No.: IC-26409
34-49504 Mar. 30, 2004 Mark D. Deyak
34-49503 Mar. 30, 2004 Paul W. Mason (a/k/a Louis R. Sarpy), Kristin Luck Emery, and Laurence M. Anderson (a/k/a Ron Laurence)
34-49502 Mar. 30, 2004 Van der Moolen Specialists USA, LLC
34-49501 Mar. 30, 2004 Spear, Leeds & Kellogg Specialists LLC
34-49500 Mar. 30, 2004 LaBranche & Co. LLC
34-49499 Mar. 30, 2004 Fleet Specialists, Inc.
34-49498 Mar. 30, 2004 Bear Wagner Specialists LLC
33-8405 Mar. 29, 2004 Gary H. Klein, CPA
Other Release No.:AAER-1980; 34-49494
34-49493 Mar. 29, 2004 Uncommon Media Group, Inc.
34-49490 Mar. 26, 2004 Robert Cournoyer
34-49485 Mar. 26, 2004 Thomas G. Brooks
34-49484 Mar. 26, 2004 Cosimo Tacopino
34-49475 Mar. 25, 2004 David Rubin
34-49474 Mar. 25, 2004 Styling Technology Corporation
34-49460 Mar. 23, 2004 Daniel E. Emmenegger
33-8403 Mar. 17, 2004 CMS Energy Corp. and Terry Woolley
Other Release No.: AAER-1978; 34-49432
34-49433 Mar. 17, 2004 Paul A. Barrios III and Dennis P. O'Connell, Jr.
33-8402 Mar. 17, 2004 Scott D. Sullivan
Other Release No.: AAER-1977; 34-49431
34-49425 Mar. 16, 2004 Damian Delgado
34-49423 Mar. 16, 2004 Joseph Petrolino and Eric Siversen
IA-2223 Mar. 16, 2004 Michael Garian aka Melkon Gharakhanian aka Bika Balian
34-49395 Mar. 11, 2004 Joseph F. DeSanto
34-49394 Mar. 11, 2004 Robert B. DiMarco, Jr.
34-49392 Mar. 10, 2004 Conseco, Inc.
Other Release No.: AAER-1973
34-49390 Mar. 10, 2004 BJ Services Company
Release No.: AAER-1972
34-49386 Mar. 10, 2004 Banc of America Securities LLC
34-49377 Mar. 9, 2004 Charles B. Spadoni
Other Release No.: IA-2220
34-49370 Mar. 5, 2004 Clifford Ray Burton
Release No.: IA-2219
34-49369 Mar. 5, 2004 Frederick W. McCarthy
Release No.: IA-2218
34-49364 Mar. 4, 2004 DT Industries Inc.
Other Release No.: AAER-1967
34-49361 Mar. 3, 2004 Rhino Ecosystems, Inc
34-49360 Mar. 3, 2004 Michael Puorro, Walter Dorow, James C. Parrish, Geoffrey W. Gazda, Melvin L. Levine, Michael T. Reiter, Bruce Bertman, Jerry Poole, and Larry W. Kerschenbaum
34-49359 Mar. 3, 2004 Greg Balk and Dax Ross
34-49348 Mar. 2, 2004 Steven Arevalo and Mark Hanna
34-49330 Feb. 27, 2004 Kenneth M. May and Anthony J. Pinone
34-49326 Feb. 26, 2004 Wheat First Securities, Inc., f/k/a First Union Capital Markets Corp. and Teressa L. Cawley
34-49321 Feb. 26, 2004 Camilo Pereira
34-49309 Feb. 24, 2004 Steven F. Stork
Other Release No.: AAER-1962
34-49308 Feb. 24, 2004 Steven L. Mortensen
Other Release No.: AAER-1961
34-49307 Feb. 24, 2004 Christopher S. Hall
Other Release No.: AAER-1960
34-49310 Feb. 24, 2004 David Shane Lewis
34-49303 Feb. 23, 2004 Eric Stuerken
34-49299 Feb. 23, 2004 Robertson Stephens, Inc.
34-49289 Feb. 20, 2004 Raymond J. Brown and Leon Jordan, II
34-49272 Feb. 18, 2004 John F. Turant, Jr.
Release No.: IA-2217
34-49270 Feb. 18, 2004 Valentin Fernandez, Juan Fernandez, Daniel J. Phillips, Haskel P. Stone, and Matthew D. Stone
34-49267 Feb. 17, 2004 Paul A. Barrios III, and Dennis P. O'Connell, Jr.
33-8387 Feb. 17, 2004 Research Investment Group, Inc., Scott H. Wilding, Smallcap Solutions, Inc., Complete Financial and Operations, LLC, Tyler T. Fleming
34-49258 Feb. 17, 2004 Anthony F. Giordano
Other Release No.: IA-2216
34-49257 Feb. 17, 2004 IDT Venture Group, Inc.
34-49249 Feb. 13, 2004 Brownstone Capital Corporation and Gregory Cooper
34-49245 Feb. 13, 2004 Valentin Fernandez, Juan Fernandez, Daniel J. Phillips, Haskel P. Stone and Matthew D. Stone
34-49244 Feb. 13, 2004 Gregg Becker
34-49243 Feb. 13, 2004 Performance Food Group Company
Other Release No.: AAER-1957
33-8383 Feb. 12, 2004 H. D. Vest Investment Securities, Inc.
33-8380 Feb. 12, 2004 Wachovia Securities, LLC, f/k/a Wachovia Securities, Inc.
33-8377 Feb. 12, 2004 UBS Financial Services Inc.
33-8374 Feb. 12, 2004 Raymond James Financial Services, Inc.
33-8371 Feb. 12, 2004 Linsco/Private Ledger Corp.
33-8368 Feb. 12, 2004 Legg Mason Wood Walker, Incorporated
33-8365 Feb. 12, 2004 American Express Financial Advisors Inc.
IA-2214 Feb. 9, 2004 Nevis Capital Management, LLC, David R. Wilmerding, III, and Jon C. Baker
33-8363 Feb. 9, 2004 Michael B. Rawdin, Hard Asset Management, Inc., and David Cohen
Other Release No.: 34-49210
33-8362 Feb. 9, 2004 Michael B. Rawdin, Hard Asset Management, Inc., and David Cohen
Other Release No.: 34-49209
34-49206 Feb. 6, 2004 Robert G. Kutsenda, CPA
Other Release No.: AAER-1954
34-49204 Feb. 6, 2004 Lee R. Fontaine, CPA
Other Release No.: AAER-1953
34-49202 Feb. 6, 2004 William R. Kerr
IA-2213 Feb. 5, 2004 Massachusetts Financial Services Co., John W. Ballen and Kevin R. Parke
Other Release No.: IC-26347
(Note: See also Rel. No. IA-2213A,
Dissent of Commissioner Cynthia A. Glassman)
33-8361 Feb. 4, 2004 Richard R. Ross, CPA
Other Release Nos.: 34-49186, AAER-1950
34-49179 Feb. 3, 2004 John Ryan Rooney
34-49174 Feb. 3, 2004 Alfred Palagonia, Alex Dewar, Darren Orlando, Steven Frantz and Andrew Schandler
33-8360 Feb. 3, 2004 Paul A. Flynn
Other Release Nos.: 34-49177; IA-2212; IC-26345
IA-2211 Feb. 3, 2004 Paul Joseph Sheehan d/b/a Paul J. Sheehan & Associates
34-49167 Feb. 2, 2004 Just for Feet, Inc.
34-49168 Feb. 2, 2004 Valentin Fernandez, Juan Fernandez, Daniel J. Phillips, Haskel P. Stone, and Matthew D. Stone
34-49165 Feb. 2, 2004 Rodney L. Hinkle
33-8359 Feb. 2, 2004 Celebrity Resorts and Casinos, Inc. and Thomas H. Ludeman
Other Release No.: 34-49166
34-49144 Jan. 29, 2004 Michael J. Louis
34-49143 Jan. 29, 2004 Mark Deyak
34-49139 Jan. 28, 2004 Ronald W. Pinto
33-8357 Jan. 28, 2004 IMS/CPAs & Associates, Vernon T. Hall, Stanley E. Hargrave and Jerome B. Vernazza
Other Release No.: 34-49135, IA-2210
34-49128 Jan. 26, 2004 James L. George
33-8356 Jan. 21, 2004 Marc Barhonovich and Equity Advisors, Inc.
34-49102 Jan. 20, 2004 Styling Technology Corporation
33-8355 Jan. 20, 2004 Grant Thornton LLP, Doeren Mayhew & Co. P.C., Peter M. Behrens, CPA, Marvin J. Morris, CPA, and Benedict P. Rybicki, CPA
Other Release Nos.: 34-49101; AAER-1945
Note: See also the Order in this matter
34-49089 Jan. 16, 2004 Mark Richard Sendo
34-49082 Jan. 15, 2004 Weiser LLP, Victor R. Wahba, CP and Stuart A. Nussbaum, CPA
Other Release Nos.: 40-2208; AAER-1943
IA-2205A Jan. 15, 2004 Alliance Capital Management, L.P.
34-49077 Jan. 14, 2004 Robertson Stephens, Inc.
34-49073 Jan. 14, 2004 Luis F. Lorie
34-49064 Jan. 13, 2004 Michael A. Sylver
33-8353 Jan. 9, 2004 Research Investment Group, Inc., Scott H. Wilding, SmallCap Solutions, Inc., Complete Financial and Operations, LLC and Tyler T. Fleming
34-49039 Jan. 8, 2004 Michael L. Labertew
34-49031 Jan. 7, 2004 Leonard L. Zanello, Sr.

http://www.sec.gov/litigation/admin/adminarchive/adminarc2004.shtml


Modified: 10/16/2014