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


  About the SEC

  Filings & Forms

  Regulatory Actions

  Staff Interps

  Investor Info

  News & Statements

  Litigation


  ALJ

  Information for...

  Divisions


Administrative Proceedings Archive 2005

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
34-53042 Dec. 29, 2005 Putnam Investment Management LLC
34-53041 Dec. 29, 2005 Putnam Investment Management LLC
34-53035 Dec. 29, 2005 Huntington Bancshares, Inc.; Thomas E. Hoaglin, Michael J. McMennamin, and John Van Fleet, CPA
Note: See also Proposed Distribution Plan
* Click to submit comments on File No. 3-11940
34-53033 Dec. 28, 2005 Philip D. Phillips
33-8650 Dec. 28, 2005 Schultz Investment Advisors, Inc. and Scott Schultz
Other Release Nos.: 34-53029, IA-2470
34-53028 Dec. 28, 2005 Air Packaging Technologies, Inc., Apparel Technologies, Inc., Chantal Pharmaceutical Corp., Crown Laboratories, Inc., DBS Industries, Inc., Dental Medical Diagnostic Systems, Inc. and iPrint Technologies, Inc.
34-53025 Dec. 27, 2005 Bear Wagner Specialists LLC,
    File No. 3-11445
Fleet Specialist, Inc.,
    File No. 3-11446
LaBranche & Co. LLC,
    File No. 3-11447
Spear, Leeds & Kellogg Specialists LLC,
    File No. 3-11448
Van der Moolen Specialists USA, LLC,
    File No. 3-11449
Performance Specialist Group LLC,
    File No. 3-11558
SIG Specialists, Inc.,
    File No. 3-11559
Note: See also Fund Administrator's Proposed Fair Fund Distribution Plan
Comments received are available for this proposal.
* Click to submit comments on Release No. 34-53025
34-53023 Dec. 27, 2005 Bradford C. Bleidt
Other Release No.: IA-2468
33-8649 Dec. 27, 2005 J.P. Morgan Securities Inc.
33-8648 Dec. 23, 2005 International Equity Advisors, LLC and Richard Roger Lund
Other Release Nos.: 34-53019, IA-2467, IC-27198
34-53010 Dec. 22, 2005 Robert Breed
Note: See also Order
33-8647 Dec. 22, 2005 Kenneth R. Lecrone, CPA
Other Release Nos.: 34-53012, AAER-2358
33-8646 Dec. 22, 2005 Veras Capital Master Fund, VEY Partners Master Fund, Veras Investment Partners, LLC, Kevin D. Larson, and James R.
McBride
Other Release Nos.: 34-53011, IA-2466, IC-27197
33-8645 Dec. 22, 2005 Michael S. deVegter
Other Release Nos.: 34-53009, IA-2465, IC-27196
34-52996 Dec. 21, 2005 E Trade Systems, Inc.
34-52988 Dec. 21, 2005 Oretech, Inc.
34-52973 Dec. 16, 2005 Nathan A. Chapman, Jr.
Other Release No.: IA-2464
34-52964 Dec. 16, 2005 Skifter Ajro
Other Release No.: IA-2463
Note: See also Order
34-52963 Dec. 16, 2005 Martin J. Druffner
Other Release No.: IA-2462
Note: See also Order
34-52962 Dec. 16, 2005 John S. Peffer
Other Release No.: IA-2461
34-52959 Dec. 15, 2005 Gilbert Bergsman, CPA, and Lee Levinson, CPA
Other Release No.: AAER-2354
34-52956 Dec. 15, 2005 Enamelon, Inc., et al.; Semiconductor Laser International Corp.
34-52946 Dec. 13, 2005 MicroAge, Inc., Network Computing Devices, Inc., Pacific Systems Control Technology, Inc., Pharmaprint, Inc., Pinnacle Micro, Inc., Sunrise Technologies International, Inc., and Thehealthchannel.com, Inc.
33-8643 Dec. 13, 2005 Freedom Financial, Inc., Freedom Track, Inc., Freedom Financial Group, Inc., Associated Investment Management, Inc., Jon Patrick Pierce, Gary L. Winn
Other Release Nos.: 34-52945; IA-2460
Note: See also Proposed Plan of Disgorgement Distribution as to Respondent Associated Investment Management, Inc.
* Click to submit comments on File No. 3-11246
34-52944 Dec. 12, 2005 Robert J. Dentice
34-52943 Dec. 12, 2005 Peter J. Crowley
34-52942 Dec. 12, 2005 CIBC World Markets Corporation
34-52941 Dec. 12, 2005 Paul D. Rogers
34-52933 Dec. 9, 2005 MicroAge, Inc., Network Computing Devices, Inc., Pacific Systems Control Technology, Inc., Pharmaprint, Inc., Pinnacle Micro, Inc., Sunrise Technologies International, Inc., and Thehealthchannel.com, Inc.
IA-2458 Dec. 7, 2005 Pilgrim Baxter & Associates, Ltd.
Other Release No.: IC-27181
34-52884 Dec. 5, 2005 Huntington Bancshares, Inc., Thomas E. Hoaglin, Michael J. McMennamin, and John Van Fleet
34-52880 Dec. 2, 2005 Gerson Asset Management, Inc. and Seth Gerson
Other Release No.: IA-2457, IC-27176
34-52879 Dec. 2, 2005 Federated Investment Management Company, Federated Securities Corp. and Federated Shareholder Services Company
Other Release No.: IA-2456; IC-27175
34-52878 Dec. 2, 2005 Joseph T. Boyle, CPA
Other Release No.: AAER-2350
34-52877 Dec. 2, 2005 Finantra Capital, Inc., Hayes Corp., Hollywood Trenz, Inc., and Visionamerica, Inc.
33-8640 Dec. 1, 2005 Maxwell Investments, LLC, Gary J. Maxwell, and Bart D. Coon
Other Release Nos.: 34-52873, IA-2455
IA-2454 Dec. 1, 2005 Renn Capital Group, Inc.
Other Release No.: IC-27174
34-52865 Dec. 1, 2005 Peter Goodfellow and Stamatis Molaris
34-52864 Dec. 1, 2005 James P. Brown
Other Release No.: AAER-2348
33-8639 Dec. 1, 2005 Millennium Partners, L.P., Millennium Management, L.L.C., Millennium International Management, L.L.C., Israel Englander, Terence Feeney, Fred Stone, and Kovan Pillai
Other Release Nos.: 34-52863, IA-2453, IC- 27172
33-8638 Dec. 1, 2005 American Express Financial Advisors Inc. (now known as Ameriprise Financial Services, Inc.)
Other Release No.: 34-52862
33-8637 Dec. 1, 2005 American Express Financial Advisors Inc. (now known as Ameriprise Financial Services, Inc.)
Other Release No.: 34-52861
IA-2452 Dec. 1, 2005 American Express Financial Corporation (now known as Ameriprise Financial, Inc.)
Other Release No.: IC-27171
IA-2451 Dec. 1, 2005 American Express Financial Corporation (now known as Ameriprise Financial, Inc.)
Other Release No.: IC-27170
IA-2450 Nov. 29, 2005 Joseph W. Daniel
34-52847 Nov. 29, 2005 James A. Franklin, Jr.
Other Release No.: IA-2449
34-52841 Nov. 28, 2005 Thomas Steinbach, Ashley Sosner, Tim Rice, Howard Kerbel, Barry Berman, Vincent Barone, and Bruce Biddick
34-52839 Nov. 28, 2005 Federated Investment Management Company, Federated Securities Corp. and Federated Shareholder Services Company
Other Release Nos.: IA-2448, IC-27167
IA-2447 Nov. 25, 2005 Joseph A. Ferona, Jr.
Note: See also the Order in this matter
34-52833 Nov. 23, 2005 Robert Henricks
34-52829 Nov. 23, 2005 Steven Mastrosimone
Note: See also the Order in this matter
34-52828 Nov. 23, 2005 Neil Formisano
Note: See also the Order in this matter
34-52819 Nov. 22, 2005 Thomas Steinbach, Ashley Sosner, Tim Rice, Howard Kerbel, Barry Berman,Vincent Barone, and Bruce Biddick
34-52813 Nov. 21, 2005 Donald C. Yount, Jr., CPA
Other Release No.: AAER-2347
34-52793 Nov. 18, 2005 Neil D. Silver and Robert Kenneth Davis
34-52792 Nov. 18, 2005 John D. Parson, CPA and Brendon P. McDonald, CPA
Other Release No.: AAER-2346
34-52791 Nov. 18, 2005 American Plastics & Chemicals, Inc., First Scientific, Inc., Migratec, Inc., Tristar Corp., and Vianet Technologies, Inc.
34-52788 Nov. 17, 2005 Michael Garbo
34-52778 Nov. 16, 2005 Enamelon, Inc., Paracelsian, Inc., Semiconductor Laser International Corp., Socrates Technologies Corp., Star Technologies, Inc., Telemonde, Inc., and VDC Communications, Inc.
34-52776 Nov. 16, 2005 American Machine, Inc., Asia4sale.Com, Inc., Pacific Vision Group, Inc., Preferred Investments, Inc., Deerwood, Inc., Nascent Technology, Inc., Profits Emporium, Inc., Ring Of Fire Marketing, Ltd., Seminar Strategies & Marketing, Inc., Social Engagements International, Inc., Passover Management International, Ltd., Endeavors, Inc., Idoleyez Corporation, Sun Asset Holdings, Inc., Sino Pharmaceuticals Corp., Premium Financial Services & Leasing, Inc., Arcadia Investments Corp., Easy Living Investments, Inc., Vinex Wines, Inc., and Western Financial Corporation
34-52773 Nov. 14, 2005 Danbury Financial, Inc.
34-52771 Nov. 14, 2005 American Group, Inc.
34-52763 Nov. 10, 2005 Salvatore Censoprano, CPA
Other Release No.: AAER-2344
34-52762 Nov. 10, 2005 Ralph D. Casbarro
34-52759 Nov. 10, 2005 Enamelon, Inc., Paracelsian, Inc., Semiconductor Laser International Corp., Socrates Technologies Corp., Star Technologies, Inc., Telemonde, Inc., and VDC Communications, Inc.
34-52751 Nov. 8, 2005 Air Packaging Technologies, Inc., Apparel Technologies, Inc., Chantal Pharmaceutical Corp., Crown Laboratories, Inc., DBS Industries, Inc., Dental Medical Diagnostic Systems, Inc., Hybrid Networks, Inc., and iPrint Technologies, Inc., Microage, Inc., Network Computing Devices, Inc., Pacific Systems Control Technology, Inc., Pharmaprint, Inc., Pinnacle Micro, Inc., Sunrise Technologies International, Inc., and thehealthchannel.com, inc.
See also: Chart (Air Packaging Technologies, Inc., et al.)
See also: Chart (Microage, Inc., et al.)
Note: See also the Order in this matter (Air Packaging Technologies, Inc., et al.)
Note: See also the Order in this matter (Microage, Inc., et al.)
34-52744 Nov. 7, 2005 Van D. Greenfield and Blue River Capital LLC
34-52742 Nov. 7, 2005 NexPub, Inc.
34-52737 Nov. 4, 2005 Team Communications Group, Inc.
34-52734 Nov. 4, 2005 T. Gene Gilman
Other Release No.: IA-2446
33-8634 Nov. 4, 2005 Morgan Stanley DW, Inc.
Other Release No.: 34-52735
34-52728 Nov. 3, 2005 Kraig L. Kibble
34-52726 Nov. 3, 2005 Eric Tyra, CPA
Other Release No.: AAER-2343
34-52704 Oct. 31, 2005 Robert Henricks
Note: See also the Order in this matter
34-52703 Oct. 31, 2005 Bill Laron Stapleton
34-52702 Oct. 31, 2005 Advanced Media, Inc., American Film Technologies, Inc., Ameriquest Technologies, Inc., BPI Packaging Technologies Inc., CML Group, Inc., Compositech, Ltd., Dispatch Management Services Corp., and eGlobe, Inc.
34-52687 Oct. 27, 2005 Advanced Media, Inc., American Film Technologies, Inc., Ameriquest Technologies, Inc., BPI Packaging Technologies Inc., CML Group, Inc., Compositech, Ltd., Dispatch Management Services Corp., and eGlobe, Inc.
34-52678 Oct. 26, 2005 Charles W. Crouse and Norman R. Hess
IA-2445 Oct. 26, 2005 Susana P. Longo
33-8632 Oct. 26, 2005 Edward D. Jones & Co., L.P.
Other Release No.: 34-52677
33-8631 Oct. 26, 2005 Edward D. Jones & Co., L.P.
33-8630 Oct. 25, 2005 Hunter Adams, et al.
Other Release No.: 34-52662
34-52661 Oct. 25, 2005 Western United Holding Company
33-8629 Oct. 20, 2005 Axess Media Group, Ltd., and Michael Dale Grandon
34-52644 Oct. 20, 2005 American Machine, Inc., et al.
34-52641 Oct. 19, 2005 Intercallnet, Inc.
Note: See also the Order in this matter
34-52636 Oct. 19, 2005 Frank J. Furino
34-52627 Oct. 18, 2005 American Machine, Inc., et al.
34-52626 Oct. 18, 2005 Barry Alan Bingham
Other Release No.: IA-2444
34-52623 Oct. 18, 2005 Instinet, LLC and INET ATS, Inc.
34-52622 Oct. 18, 2005 Brandmakers, Inc.
34-52617 Oct. 17, 2005 Kermit Silva
34-52616 Oct. 17, 2005 Russ R. Luciano
Other Release No.: IA-2443
33-8627 Oct. 14, 2005 Hunter Adams, Jason A. Cohen, Steven M. Cohen, David Hirsch, Jonathan D. Winston, John J. Gremmo, III, James L. Bila, Christian W. Blake, Louis R. Facchini, Jr., Roberto A. Mangiarano, Joseph P. Mannino, David M. Margules, James J. Pellizzi, David M. Pesso, Michael Pugliese, Christopher J. Russo, Howard I. Weinstein, and Robert J.
Winston
Other Release No.: 34-52610
33-8626 Oct. 14, 2005 Hunter Adams, Jason A. Cohen, Steven M. Cohen, David Hirsch, Jonathan D. Winston, John J. Gremmo, III, James L. Bila, Christian W. Blake, Louis R. Facchini, Jr., Roberto A. Mangiarano, Joseph P. Mannino, David M. Margules, James J. Pellizzi, David M. Pesso, Michael Pugliese, Christopher J. Russo, Howard I. Weinstein, and Robert J.
Winston
Other Release No.: 34-52609
33-8625 Oct. 14, 2005 Hunter Adams, Jason A. Cohen, Steven M. Cohen, David Hirsch, Jonathan D. Winston, John J. Gremmo, III, James L. Bila, Christian W. Blake, Louis R. Facchini, Jr., Roberto A. Mangiarano, Joseph P. Mannino, David M. Margules, James J. Pellizzi, David M. Pesso, Michael Pugliese, Christopher J. Russo, Howard I. Weinstein, and Robert J.
Winston
Other Release No.: 34-52608
34-52599 Oct. 13, 2005 Transmedia Asia Pacific, Inc.
34-52597 Oct. 13, 2005 Thomas Hauke, CPA
Other Release No.: AAER-2335
IA-2442 Oct. 12, 2005 Robert Radano
Note: See also the Order in this matter
34-52595 Oct. 12, 2005 Louis Montaino
34-52594 Oct. 12, 2005 Michael Eisemann
IA-2441 Oct. 12, 2005 Angelo Haligiannis
33-8624 Oct. 12, 2005 Theodore Charles Sihpol III
Other Release Nos.: 34-52591, IA-2440, IC-27113
34-52590 Oct. 12, 2005 Financial Systems Group, Inc.
34-52589 Oct. 12, 2005 Homes For America Holdings, Inc.
34-52588 Oct. 12, 2005 Ingenuus Corp.
34-52587 Oct. 12, 2005 Mineral Energy and Technology Corporation
34-52586 Oct. 12, 2005 Realigent, Inc.
34-52585 Oct. 12, 2005 BrandAid Marketing Corporation
34-52584 Oct. 12, 2005 Diagnostic International, Inc.
34-52583 Oct. 11, 2005 Spectrum Brands Corp.
34-52582 Oct. 11, 2005 John Houldsworth, CA
Other Release No.: AAER-2334
34-52570 Oct. 7, 2005 Frank Persico
34-52564 Oct. 5, 2005 Alanar, Inc., Vaughn A. Reeves, Sr., Vaughn A. Reeves, Jr., Jonathan Christopher Reeves And Joshua Craig Reeves
34-52560 Oct. 4, 2005 Finantra Capital, Inc., Hayes Corp., Hollywood Trenz, Inc., Visionamerica, Inc., American Plastics & Chemicals, Inc., First Scientific, Inc., MigraTEC, Inc., Tristar Corp., and Vianet Technologies, Inc.
Note: See also the Order in this matter
(Finantra Capital, Inc., Hayes Corp., Hollywood Trenz, Inc., and Visionamerica, Inc.,)
Note: See also the Appendix in this matter
(Finantra Capital, Inc., Hayes Corp., Hollywood Trenz, Inc., and Visionamerica, Inc.,)
Note: See also the Order in this matter
(American Plastics & Chemicals, Inc., First Scientific, Inc., MigraTEC, Inc., Tristar Corp., and Vianet Technologies, Inc.,)
Note: See also the Appendix in this matter
(American Plastics & Chemicals, Inc., First Scientific, Inc., MigraTEC, Inc., Tristar Corp., and Vianet Technologies, Inc.,)
34-52554 Oct. 3, 2005 Duane Kimble, CPA and Carene Kunkler
Other Release No.: AAER-2329
Third Quarter
33-8621 Sep. 30, 2005 International Equity Advisors, LLC and Richard Roger Lund
Other Release Nos.: 34-52545, IA-2437, IC-27108
34-52541 Sep. 30, 2005 American Machine, Inc., et al.
33-8620 Sep. 30, 2005 Morgan Stanley DW, Inc.
Other Release No.: 34-52540
IA-2436 Sep. 30, 2005 Applied Financial and Dennis Holcombe
34-52539 Sep. 30, 2005 Ronald Lee Hoyt, CPA,
Other Release No.: AAER-2327
34-52538 Sep. 30, 2005 William E. Caswell, CPA
Other Release No.: AAER-2326
34-52537 Sep. 30, 2005 Gregory M. Dearlove, CPA
Other Release No.: AAER-2325
Note: See also the Order in this matter
34-52536 Sep. 30, 2005 AirCharter Express, Inc., E Trade Systems, Inc. and Danbury Financial, Inc.
Note: See also the Order in this matter
(AirCharter Express, Inc.)
Note: See also the Order in this matter
(E Trade Systems, Inc.)
Note: See also the Order in this matter
(Danbury Financial, Inc.)
34-52535 Sep. 30, 2005 NextCard, Inc.
34-52531 Sep. 29, 2005 Thomas Steinbach, Ashley Sosner, Tim Rice, Howard Kerbel, Barry Berman,Vincent Barone, and Bruce Biddick
34-52530 Sep. 29, 2005 Thomas Steinbach, Ashley Sosner, Tim Rice, Howard Kerbel, Barry Berman,Vincent Barone, and Bruce Biddick
34-52529 Sep. 29, 2005 Thomas Steinbach, Ashley Sosner, Tim Rice, Howard Kerbel, Barry Berman, Vincent Barone, and Bruce Biddick
34-52528 Sep. 29, 2005 Thomas Steinbach, Ashley Sosner, Tim Rice, Howard Kerbel, Barry Berman, Vincent Barone, and Bruce Biddick
34-52525 Sep. 29, 2005 International Biofuel and Biochemical Corporation f/k/a J-Bird Music Group Ltd.
34-52507 Sep. 26, 2005 Divedepot.Com, Inc., GS Telecom Ltd., Rocky Mountain Financial Enterprises, Inc., Studio City Holding Corp., and US Data Authority, Inc.
IA-2435 Sep. 23, 2005 State Street Research & Management Company
34-52498 Sep. 23, 2005 Victor Lessinger
33-8616 Sep. 22, 2005 Bio One Corporation
Other Release Nos.: 34-52490, AAER-2317
34-52487 Sep. 22, 2005 John B. Zankowski, Esq.
34-52481 Sep. 21, 2005 David J. Cammarata, CPA
Other Release No.: AAER-2316
33-8615 Sep. 21, 2005 Morgan Stanley DW, Inc.
33-8614 Sep. 21, 2005 Allen Z. Wolfson, Michael T. Grecco, John M. Black, Jr., Spiro Lazaretos, Robert Balsamo, Vladimir Carvallo, and Konstantinos Dino Sonitis
IA-2434 Sep. 21, 2005 Springer Investment Management, Inc. and Keith W. Springer
34-52478 Sep. 21, 2005 Legg Mason Wood Walker, Incorporated
Other Release No.: IC-27071
Note: See also the Order in this matter
IA-2433 Sep. 21, 2005 William J. Lennon
IA-2432 Sep. 21, 2005 Anthony P. Postiglione, Jr.
34-52461 Sep. 16, 2005 Scott L. Kelly
34-52457 Sep. 16, 2005 Christiano K. Hashimoto, Jr.
34-52456 Sep. 16, 2005 Eric J. Laucius
34-52455 Sep. 16, 2005 Michael Kogan
34-52454 Sep. 16, 2005 F. Thomas Eck, III
34-52453 Sep. 16, 2005 John C. Kawas, Jr.
34-52452 Sep. 15, 2005 Herbert A. Getz
Other Release No.: AAER-2313
34-52447 Sep. 15, 2005 NetCurrents Information Services, Inc.
IA-2430 Sep. 15, 2005 CMS Fund Advisers, Inc.
IA-2429 Sep. 15, 2005 Joseph W. Lutes
34-52443 Sep. 15, 2005 Bear Wagner Specialists LLC
34-52442 Sep. 15, 2005 Fleet Specialist, Inc.
34-52441 Sep. 15, 2005 LaBranche & Co. LLC
34-52440 Sep. 15, 2005 Performance Specialist Group LLC
34-52439 Sep. 15, 2005 Spear, Leeds & Kellogg Specialists LLC
34-52438 Sep. 15, 2005 SIG Specialists, Inc.
34-52437 Sep. 15, 2005 Van der Moolen Specialists, USA, LLC
IA-2428 Sep. 14, 2005 Marvin I. Friedman
34-52420 Sep. 14, 2005 Oppenheimerfunds, Inc. and Oppenheimerfunds Distributor, Inc.
Other Release Nos.: IA-2427, IC-27065
34-52411 Sep. 13, 2005 Vincent Steckler
Other Release No.: AAER-2311
34-52409 Sep. 13, 2005 NCO Group, Inc.
Other Release No.: AAER-2309
33-8610 Sep. 12, 2005 Apollo Publication Corporation
Note: See also the Order in this matter
Note: See also the Statement in this matter
34-52406 Sep. 12, 2005 American Machine, Inc., et al.
33-8609 Sep. 12, 2005 GLM Technologies, LLC and Timothy Lee Bogle
IA-2425 Sep. 12, 2005 Putnam Investment Management, LLC
Other Release No.: IC-27062
34-52400 Sep. 9, 2005 Divedepot.com, Inc., GS Telecom, Ltd., Rocky Mountain Financial Enterprises, Inc., Studio City Holding Corp., and US Data Authority, Inc.
34-52395 Sep. 8, 2005 Steven J. Allan
Other Release No.: AAER-2308
34-52392 Sep. 8, 2005 Joseph Ferragamo
34-52384 Sep. 7, 2005 Advanced Media, Inc., American Film Technologies, Inc., AmeriQuest Technologies, Inc., BPI Packaging Technologies, Inc., CML Group, Inc., Compositech, Ltd., Dispatch Management Services Corp., and eGlobe, Inc., Enamelon, Inc., Paracelsian, Inc., Semiconductor Laser International Corp., Socrates Technologies Corp., Star Technologies, Inc., Telemonde, Inc., and VDC Communications, Inc., and Transmedia Asia Pacific, Inc.
Note: See also:
* Order, Advanced Media, et al.
* Order, Enamelon, et al.
* Order, Transmedia Asia
* Trading Suspension: Advanced Media, Inc., et al.
IC-27057 Sep. 2, 2005 U.S. Bank National Association
IA-2423 Sep. 1, 2005 Susana P. Longo
Note: See also the Order in this matter
34-52370 Aug. 31, 2005 Premier Financial Bancorp, Inc.
Other Release No.: AAER-2306
34-52369 Aug. 31, 2005 John R. Behrmann, CPA
Other Release No.: AAER-2305
34-52368 Aug. 31, 2005 Won Sok Lee and Yung Bae Kim
Other Release No.: IA-2422
Note: See also the Order in this matter
34-52365 Aug. 31, 2005 William D. Wiseman, CPA
Other Release No.: AAER-2304
34-52359 Aug. 30, 2005 Douglas J. Ely
Other Release No.: AAER-2302
34-52358 Aug. 30, 2005 Barry S. Berlin
Other Release No.: AAER-2301
34-52357 Aug. 30, 2005 David P. Levine
Other Release No.: AAER-2300
34-52356 Aug. 30, 2005 Michael W. Spake
Other Release No.: AAER-2299
IA-2421 Aug. 30, 2005 J. Robert Dobbins
34-52354 Aug. 29, 2005 T. Gene Gilman
Other Release No.: IA-2420
Note: See also the Order in this matter
34-52353 Aug. 29, 2005 Alanar, Inc., Vaughn A. Reeves, Sr., Vaughn A. Reeves, Jr., Jonathan Christopher Reeves, and Joshua Craig Reeves
Note: See also the Order in this matter
33-8606 Aug. 24, 2005 Axess Media Group, Ltd. and Michael Dale Grandon
Note: See also the Order in this matter
34-52322 Aug. 23, 2005 UCAP, Inc.
34-52321 Aug. 23, 2005 David Friend, CPA
Other Release No.: AAER-2296
34-52320 Aug. 23, 2005 Laurene U. English
Other Release No.: IA-2419
34-52318 Aug. 23, 2005 Barry Alan Bingham
Other Release No.: IA-2418
Note: See also the Order in this matter
34-52311 Aug. 22, 2005 MPTV, Inc. and Read-Rite Corp.
34-52307 Aug. 19, 2005 Vincent Langella
33-8605 Aug. 19, 2005 James F. Glaza, d/b/a Falcon Financial Services, Inc.
Other Release No.: 34-52305
34-52306 Aug. 19, 2005 Nexpub, Inc.
Note: See also the Order in this matter
33-8604 Aug. 18, 2005 Prudential Equity Group, LLC, f/k/a Prudential Securities, Inc.,
Other Release No.: 34-52299
34-52279 Aug. 17, 2005 Charles W. Crouse and Norman R. Hess
34-52272 Aug. 16, 2005 Joseph Catapano, Aaron Andrzejewski and Michael Kordich
34-52258 Aug. 15, 2005 John V. Back, Jr., CPA
Other Release No.: AAER-2291
34-52257 Aug. 15, 2005 Margaret M. Eardley
Other Release No.: AAER-2290
IA-2416 Aug. 12, 2005 Dean Earl Kirkland
34-52247 Aug. 12, 2005 F. Thomas Eck, III
Note: See also the Order in this matter
34-52246 Aug. 12, 2005 F. Thomas Eck, III
33-8602 Aug. 12, 2005 Morgan Stanley DW, Inc.
Other Release No.: 34-52245
34-52233 Aug. 10, 2005 LaBranche & Co. LLC
34-52232 Aug. 10, 2005 SIG Specialists, Inc.
34-52231 Aug. 10, 2005 Performance Specialist Group LLC
34-52230 Aug. 10, 2005 Van der Moolen Specialists, USA, LLC
34-52229 Aug. 10, 2005 Spear, Leeds & Kellogg Specialists LLC
34-52228 Aug. 10, 2005 Bear Wagner Specialists LLC
34-52227 Aug. 10, 2005 Fleet Specialist, Inc.
34-52223 Aug. 8, 2005 Ernesto V. Sibal and Doseph J. Shin
34-52222 Aug. 8, 2005 Benjamin Y. Chiu
Other Release No.: IA-2415
34-52214 Aug. 5, 2005 Divedepot.com, Inc., GS Telecom Ltd., Rocky Mountain Financial Enterprises, Inc., Studio City Holding Corporation and US Data Authority, Inc.
Note: See also the Order in this matter
34-52211 Aug. 4, 2005 Russell W. Jones
34-52208 Aug. 4, 2005 Busybox.Com, Inc.
33-8601 Aug. 4, 2005 Utah Educational Savings Plan Trust
34-52207 Aug. 4, 2005 David A. Finnerty, et al., James V. Parolisi, Patrick E. Murphy, Robert W. Luckow
34-52199 Aug. 3, 2005 MPTV, Inc., and Read-Rite Corp.
IA-2414 Aug. 3, 2005 J. Robert Dobbins
Note: See also the Order in this matter
34-52190 Aug. 2, 2005 Chauncey D. Steele
Other Release No.: IA-2413
34-52186 Aug. 1, 2005 In the Matter of Jeffrey L. Pittsburg
34-52185 Aug. 1, 2005 Robert Korkuc, CPA
Other Release No.: AAER-2286
34-52184 Aug. 1, 2005 Nathan A. Chapman, Jr.
Other Release No.: IA-2412
Note: See also the Order in this matter
33-8598 Aug. 1, 2005 Prudential Equity Group, LLC f/k/a Prudential Securities, Inc.
33-8597 Jul. 29, 2005 Raymond James Financial Services, Inc. and J. Stephen Putnam
Other Release No.: 34-52164, IA-2411
34-52163 Jul. 29, 2005 Scott A. Christian
34-52161 Jul. 29, 2005 Jesse M. Townsley, Jr.
Other Release No.: IA-2410
33-8596 Jul. 28, 2005 Microtune, Inc., William L. Housley, Jeffrey W. Davis, and Everett Rogers
Other Release No.: 34-52159, AAER-2285
33-8595 Jul. 28, 2005 Hunter Adams, et al.
Other Release No.: 34-52144
34-52153 Jul. 28, 2005 Charlie Dilluvio
34-52152 Jul. 28, 2005 Michael J. Burns
34-52143 Jul. 28, 2005 Affinity International Travel Systems, Inc., BIFS Technologies Corp., Brandmakers, Inc., Consolidated General Corp., E-Rex, Inc., and IEMI
34-52137 Jul. 27, 2005 Frank Persico
Note: See also the Order in this matter
34-52136 Jul. 27, 2005 Knight Securities, L.P.
34-52129 Jul. 27, 2005 UCAP, Inc.
Note: See also the Order in this matter
33-8594 Jul. 26, 2005 ING Groep N.V. and ING Bank N.V.
34-52126 Jul. 26, 2005 Michael J. Cheshire
Other Release No.: AAER-2282
34-52116 Jul. 25, 2005 Prudential Equity Group, LLC, f/k/a Prudential Securities Inc.
34-52108 Jul. 22, 2005 Thomas J. Downey and Geoffrey K. Horn
34-52105 Jul. 22, 2005 Affinity International Travel Systems, Inc., IEMI Technologies Corp., Brandmakers, Inc., Consolidated General Corp., E-Rex, Inc., and IEMI
33-8593 Jul. 20, 2005 Canadian Imperial Holdings Inc. and CIBC World Markets Corp.
Other Release No.: 34-52064
33-8592 Jul. 20, 2005 Canadian Imperial Holdings Inc. and CIBC World Markets Corp.
Other Release Nos.: 34-52063; IA-2407; IC-26994
IA-2406 Jul. 18, 2005 Edgar M. Larsen
Other Release No.: IC-26992
34-52055 Jul. 18, 2005 Michael J. Cemo
Other Release No.: IC-26991
34-52053 Jul. 18, 2005 Active Link Communications, Inc.
34-52050 Jul. 18, 2005 Wheat, First Securities, Inc. f/k/a First Union Capital Markets Corp. and Teressa L. Cawley
33-8588 Jul. 15, 2005 Hunter Adams, et al.
Other Release No.: 34-52042
34-52041 Jul. 15, 2005 Comerica, Inc.
Other Release No.: AAER-2278
34-52040 Jul. 15, 2005 NetCurrents Information Services, Inc.
Note: See also the Order in this matter
33-8586 Jul. 14, 2005 Stacey J. Blake
Other Release No.: 34-52036
34-52023 Jul. 13, 2005 Spectrum Brands Corp.
Note: See also the Order in this matter
34-52022 Jul. 13, 2005 UBS Securities LLC (f/k/a/ UBS Warburg LLC)
34-52020 Jul. 13, 2005 American Machine, Inc., Asia4Sale.com, Inc., Pacific Vision Group, Inc., Preferred Investments, Inc., Deerwood, Inc., Nascent Technology, Inc., Profits Emporium, Inc., Ring of Fire Marketing, LTD., Seminar Strategies & Marketing, Inc., Social Engagements International, Inc., Passover Management International, LTD., Triumphant Endeavors, Inc., Idoleyez Corporation, Sun Asset Holdings, Inc., Sino Pharmaceuticals Corporation, Premium Financial Services & Leasing, Inc., Arcadia Investments Corporation, Easy Living Investments, Inc., Vinex Wines, Inc., and Western Financial Corporation
Note: See also the Order in this matter
34-52015 Jul. 12, 2005 John Madey
Other Release No.: IA-2405
34-52006 Jul. 11, 2005 Foamex International, Inc.
Other Release No.: AAER-2274
34-52003 Jul. 8, 2005 Todd M. Eberhard
Other Release No.: IA-2403
34-52002 Jul. 8, 2005 Joseph Catapano, Aaron Andrzejewski, and Michael Kordich
33-8585 Jul. 8, 2005 Gerald Klein & Associate, Inc. and Klein Pavlis & Peasley Financial, Inc.
Other Release Nos.: IA-2404, IC-26986
34-51995 Jul. 8, 2005 Duke Energy Corporation
Other Release No.: AAER-2273
34-51979 Jul. 6, 2005 Jeffrey Steinberg and John Geron
Other Release No.: AAER-2272
33-8584 Jul. 6, 2005 CorCom Companies, Inc., dba BlueFire Partners, Inc., BlueFire Research, Inc., and William P. Bartkowski
Other Release No.: IA-2402
34-51971 Jul. 5, 2005 Philip A. Lehman
Other Release No.: IA-2401
Note: See also the Order in this matter
34-51961 Jul. 1, 2005 St. George Metals, Inc.
Note: See also the Order in this matter
Second Quarter
34-51946 Jun. 30, 2005 KPMG LLP, Gary Bentham, C.A. and John Gordon, C.A.
Other Release No.: AAER-2269
34-51945 Jun. 30, 2005 Jeffrey Szur, Elaine Szur, Cary Weinstein, Joseph Epstein, and George Elian
34-51930 Jun. 28, 2005 Warren J. Soloski, Esquire
34-51927 Jun. 27, 2005 David S. Klarman, Esq.
Other Release No.: AAER-2266
34-51924 Jun. 24, 2005 Active Link Communications, Inc., MPTV, Inc. and Read-Rite Corp.
Note: See also the Order in this matter; Order in this matter
34-51922 Jun. 24, 2005 Daniel W. Heath
34-51918 Jun. 24, 2005 Busybox.com, Inc.
Note: See also the Order in this matter
34-51914 Jun. 23, 2005 Raymond L. Braun, Jr.
34-51895 Jun. 21, 2005 James H. David, Jr., CPA
Other Release No.: AAER-2262
34-51894 Jun. 21, 2005 Dennis R. Mathews, Jr.
Other Release No.: IA-2400
33-8583 Jun. 20, 2005 Simon A. Hershon
Other Release Nos.: 34-51887, IA-2399, IC-26912
34-51886 Jun. 20, 2005 Allen Andrescu, Richard Brower, Mark Coates, Tejbir Singh, and Vikram Randhawa
34-51883 Jun. 20, 2005 Joe D. Thomas
34-51866 Jun. 17, 2005 Lawrence A. Clasby
Other Release No.: IA-2398
34-51864 Jun. 17, 2005 Marketxt, Inc. and Irfan Mohammed Amanat
IA-2397 Jun. 16, 2005 Burton G. Friedlander
34-51852 Jun. 15, 2005 Banc of America Investment Services, Inc., and Bacap Distributors, LLC
Other Release No.: IA-2396
34-51850 Jun. 14, 2005 Knight Securities, L.P.
34-51849 Jun. 14, 2005 SIG Specialists, Inc.
34-51848 Jun. 14, 2005 Performance Specialist Group LLC
34-51847 Jun. 14, 2005 Van der Moolen Specialists, USA, LLC
34-51846 Jun. 14, 2005 Spear, Leeds & Kellogg Specialist
34-51845 Jun. 14 2005 LaBranche & Co. LLC
34-51844 Jun. 14, 2005 Fleet Specialist, Inc.
34-51843 Jun. 14, 2005 Bear Wagner Specialists LLC
34-51839 Jun. 14, 2005 Hilary L. Shane
Other Release No.: IA-2395
33-8582 Jun. 14, 2005 Ford Motor Credit Company
34-51829 Jun. 13, 2005 Massachusetts Financial Services Co., John W. Ballen and Kevin R. Parke
IA-2394 Jun. 13, 2005 Jeff Thomas Allen
34-51819 Jun. 10, 2005 Joseph Ferragamo
Note: See also the Order in this matter
34-51817 Jun. 10, 2005 Salim B. Lewis
34-51811 Jun. 9, 2005 Gary Todd
33-8581 Jun. 9, 2005 Robert M. Blau
Other Release Nos.: 34-51809, AAER-2260
34-51807 Jun. 9, 2005 Affinity International Travel Systems, Inc., BIFS Technologies Corp., Brandmakers, Inc., Consolidated General Corp., E-Rex, Inc., and IEMI
34-51804 Jun. 8, 2005 Carlos A. Shibata
Other Release No.: IA-2393
34-51803 Jun. 8, 2005 ePhone Telecom, Inc., and National Institute Companies of America, Inc.
34-51802 Jun. 8, 2005 Mark Steven Lynch, CPA
Other Release No.: AAER-2255
34-51801 Jun. 8, 2005 Affinity International Travel Systems, Inc., Bifs Technologies Corp., Brandmakers, Inc., Consolidated General Corp., E-Rex, Inc., and Iemi
34-51798 Jun. 8, 2005 Charles Cini and Gordon Novak
33-8580 Jun. 7, 2005 Mount Sinai Medical Center of Florida, Inc., M. Brooks Turkel and Harvey W. Smith
Other Release Nos.: 34-51797, AAER-2254
34-51794 Jun. 7, 2005 James J. Mcdermott, Jr.
Other Release No.: IA-2392
34-51793 Jun. 7, 2005 Peter J. Burns
34-51792 Jun. 7, 2005 Michael F. Hollendoner
33-8579 Jun. 2, 2005 Huntington Bancshares, Inc., Thomas E. Hoaglin, Michael J. Mcmennamin, and John Van Fleet, CPA
Other Release Nos.: 34-51781, AAER-2252
34-51774 Jun. 2, 2005 David Rich, Cris Sagnelli, Ray Hutchinson, Daniel Bender, Frank Dickey, and George Doumanis
34-51773 Jun. 2, 2005 Thomas Steinbach, Ashley Sosner, Tim Rice, Howard Kerbel, Barry Berman, Vincent Barone, And Bruce Biddick
Note: See also the Order in this matter
34-51772 Jun. 2, 2005 Upgrade International Corp.
33-8578 May 31, 2005 Charles J. O'Brien, Jr. & Credit Suisse First Boston, LLC
Other Release Nos.: 34-51764, IA-2391
34-51761 May 31, 2005 Smith Barney Fund Management LLC and Citigroup Global Markets, Inc.
Other Release No.: IA-2390
Note: See also Order in this matter
Note: See also Order in this matter
34-51758 May 27, 2005 Greentech USA, Inc.
34-51726 May 24, 2005 Affinity International Travel Systems, Inc., BIFS Technologies Corp., Brandmakers, Inc., Consolidated General Corp., E-Rex, Inc., and IEMI
34-51724 May 20, 2005 Diagnostic Products Corporation Other Release No.: AAER-2249
IA-2388 May 19, 2005 Larry Adams
Other Release No.: IC-26874
34-51719 May 19, 2005 Kevin Rodgers
Other Release No.: AAER-2246
IA-2387 May 19, 2005 Putnam Investment Management, LLC
Other Release No.: IC-26873
34-51714 May 19, 2005 National Stock Exchange and David Colker
34-51713 May 19, 2005 John B. Hoffmann and Kevin J. McCaffrey
Other Release No.: IA-2386
34-51711 May 19, 2005 Grant Thornton LLP, Doeren Mayhew & Co. P.C., Peter M. Behrens, CPA, Marvin J. Morris, CPA and Benedict P. Rybicki, CPA
34-51709 May 19, 2005 Oaktree Capital Management, LLC
Other Release No.: IA-2385
34-51708 May 19, 2005 Galleon Management, L.P.
34-51707 May 19, 2005 DB Investment Managers, Inc.
Other Release No.: IA-2384
34-51702 May 18, 2005 Vincent Langella
Note: See also the Order in this matter
34-51701 May 17, 2005 Christopher Quintana
34-51700 May 17, 2005 Suntrust Securities, Inc.
34-51699 May 17, 2005 Joseph W. Leighton
34-51694 May 13, 2005 Strong Capital Management, Inc., Strong Investor Services, Inc., Strong Investments, Inc., Richard S. Strong, Thomas A. Hooker and Anthony J. D'Amato
Other Release No.: IA-2383, IC-26868
34-51686 May 12, 2005 Walter Cercavschi, CPA
Other Release No.: AAER-2244
IA-2382 May 11, 2005 Andrew M. Welt
34-51679 May 10, 2005 Gary Todd
Note: See also the Order in this matter
34-51678 May 10, 2005 Mark Wiertzema
34-51662 May 6, 2005 Harold F. Harris, and Ronald E. Crews
34-51652 May 4, 2005 EVTC, Inc.
See also: 34-50419
34-51648 May 3, 2005 Advanced Solutions & Technologies, Inc., Comparator Systems Corp., Emerging Enterprise Solutions, Inc., and Shaman Pharmaceuticals, Inc.
34-51647 May 2, 2005 Robert R. Berti, CPA
Other Release No.: AAER-2241
34-51629 Apr. 28, 2005 Dawn Diaz, CPA
Other Release No.: AAER-2240
34-51624 Apr. 28, 2005 Michael J. Laughlin
Other Release No.: IA-2380; IC-26860
IA-2379 Apr. 28, 2005 John D. Carifa
Other Release No.: IC-26859
IA-2378 Apr. 28, 2005 Gerald T. Malone
Other Release No.: IC-26858
34-51625A Apr. 28, 2005 Tyson Foods, Inc. and Donald Tyson
34-51618 Apr. 27, 2005 Affinity International Travel Systems, Inc.; BIFS Technologies Corp.; Brandmakers, Inc.; Consolidated General Corp.; E-Rex, Inc.; IEMI; ePhone Telecom, Inc.; National Institute Companies of America, Inc.
Note: See also:
* Order, Affinity International Travel Systems, Inc., et al.
* Order, ePhone Telecom, Inc., et al.
* Trading Suspension: Active Link Communications, Inc., et al.
34-51607 Apr. 26, 2005 Deloitte & Touche LLP, Steven H. Barry, CPA, and Karen T. Baker, CPA
Other Release No.: AAER-2238
34-51606 Apr. 26, 2005 Deloitte & Touche LLP
Other Release No.: AAER-2237
34-51604 Apr. 25, 2005 Investment Technology, Inc.
34-51594 Apr. 21, 2005 Douglas W. Powell, Charles D. Elliott, III, and Russell S. Tarbett
Other Release No.: IA-2377; IC-26837
34-51592 Apr. 21, 2005 PHLO Corporation, James B. Hovis, and Anne P. Hovis
Note: See also the Order in this matter
34-51589 Apr. 21, 2005 Charles J. Addeo
34-51588 Apr. 21, 2005 Fiserv Securities, Inc. and Dennis J. Donnelly
34-51587 Apr. 21, 2005 Robert A. Tommassello
34-51585 Apr. 20, 2005 Andrew E. Gold
34-51577 Apr. 20, 2005 Infotopia, Inc.
34-51574 Apr. 19, 2005 KPMG LLP
Other Release No.: AAER-2234
34-51571 Apr. 19, 2005 Anthony Bisceglie
34-51570 Apr. 19, 2005 Craig R. Clark
Other Release No.: AAER-2233
34-51569 Apr. 19, 2005 Norsul Oil & Mining, Ltd.
33-8569 Apr. 18, 2005 The Coca-Cola Company
Other Release Nos.: 34-51565; AAER-2232
34-51564 Apr. 18, 2005 Advanced Solutions & Technologies, Inc., Comparator Systems Corp., Emerging Enterprise Solutions, Inc., and Shaman Pharmaceuticals, Inc.
34-51562 Apr. 15, 2005 Asset Equity Group, Inc., Household Direct, Inc., International Brands, Inc., Interspace Enterprises, Inc., J.S.J. Capital II, Inc., Mega Micro Technologies Group, Inc., S D E Holdings 2, Inc., Vertical Computer Systems, Inc., and VSAT Net, Inc.
34-51560 Apr. 15, 2005 Raffi Oghlian
34-51557 Apr. 15, 2005 Van der Moolen Specialists, USA, LLC
34-51556 Apr. 15, 2005 Spear, Leeds & Kellogg Specialists LLC
34-51555 Apr. 15, 2005 SIG Specialists, Inc.
34-51554 Apr. 15, 2005 Performance Specialist Group LLC
34-51553 Apr. 15, 2005 LaBranche & Co. LLC
34-51552 Apr. 15, 2005 Fleet Specialist, Inc.
34-51551 Apr. 15, 2005 Bear Wagner Specialists LLC
34-51548 Apr. 15, 2005 Hosoi Garden Mortuary, Inc.
34-51547 Apr. 15, 2005 Progressive Software Holding, Inc.
34-51546 Apr. 15, 2005 PAT Services, Inc. (f/k/a Arthur Treachers Inc. /DE/ and Arthur Treacher's, Inc.)
34-51538 Apr. 13, 2005 David Hutter (a/k/a David Green)
34-51537 Apr. 13, 2005 Tekron, Inc.
34-51536 Apr. 12, 2005 Advanced Solutions & Technologies, Inc., Comparator Systems Corp., Emerging Enterprise Solutions, Inc., and Shaman Pharmaceuticals, Inc.
34-51532 Apr. 12, 2005 Allen S. Freed
34-51531 Apr. 12, 2005 Marc N. Siegel
34-51530 Apr. 12, 2005 vFinance Investments, Inc.
34-51529 Apr. 12, 2005 Drkoop.Com, Inc., 1st Miracle Entertainment, Inc., and United States Crude International, Inc.
34-51528 Apr. 12, 2005 Saverio (Sammy) Galasso, III
34-51527 Apr. 12, 2005 Gateway International Holdings, Inc. and Lawrence A. Consalvi
Note: See also the Order in this matter
33-8566 Apr. 12, 2005 David A. Finnerty, Donald R. Foley II, Scott G. Hunt, and Thomas J. Murphy formerly of Fleet Specialist, Inc.; Kevin M. Fee and Frank A. Delaney IV of Bear Wagner Specialists LLC; Freddy DeBoer formerly of LaBranche & Co. LLC; Todd J. Christie, James V. Parolisi, Robert W. Luckow, Patrick E. Murphy and Robert A. Johnson, Jr. formerly of Spear Leeds & Kellogg Specialists LLC; and Patrick J. McGagh, Jr., Joseph Bongiorno, Michael J. Hayward, Richard P. Volpe, Michael F. Stern, Warren E. Turk, Gerard T. Hayes and Robert A. Scavone, Jr. formerly of Van der Moolen Specialists USA, LLC
Other Release No.: 34-51525
Note: See also the Order in this matter
34-51524 Apr. 12, 2005 New York Stock Exchange, Inc.
34-51518 Apr. 11, 2005 Charles Zandford
34-51517 Apr. 11, 2005 Global Crossing Ltd., Thomas J. Casey, Dan J. Cohrs, and Joseph P. Perrone
Other Release No.: AAER-2231
34-51516 Apr. 11, 2005 Gregory Davis, CPA and BKR Metcalf Davis
Other Release No.: AAER-2229
34-51509 Apr. 8, 2005 James E. Iverson
34-51508 Apr. 8, 2005 Victor P. Dhooge
34-51506 Apr. 7, 2005 Easylink Services Corporation, f.k.a. Mail.com, Inc. and Debra McClister, CPA
Other Release No.: AAER-2227
34-51505 Apr. 7, 2005 Charles Dwain Davis, Jr.
34-51501 Apr. 7, 2005 Stephen C. Jones, CPA
Other Release No.: AAER-2225
34-51495 Apr. 6, 2005 Bear Wagner Specialists LLC
34-51494 Apr. 6, 2005 Fleet Specialist, Inc.
34-51493 Apr. 6, 2005 LaBranche & Co. LLC
34-51492 Apr. 6, 2005 Spear, Leeds & Kellogg Specialists LLC
34-51491 Apr. 6, 2005 Van der Moolen Specialists, USA, LLC
34-51490 Apr. 6, 2005 Performance Specialist Group LLC
34-51489 Apr. 6, 2005 SIG Specialists, Inc.
34-51488 Apr. 6, 2005 John D. Clutten
Other Release No.: AAER-2224
33-8564 Apr. 6, 2005 William T. Belko
Other Release No.: 34-51487; IA-2375
IA-2374 Apr. 6, 2005 Michael T. Jackson and EGM Capital
33-8563 Apr. 6, 2005 Charles W. Crouse, Jr.
Other Release No.: 34-51480
34-51475 Apr. 5, 2005 Jess L. Mercer
34-51473 Apr. 4, 2005 Denis Timothy O'Brien
34-51470 Apr. 1, 2005 Vertical Computer Systems, Inc.
34-51469 Apr. 1, 2005 Asset Equity Group, Inc., Household Direct, Inc., International Brands, Inc., Interspace Enterprises, Inc., J.S.J. Capital II, Inc., Mega Micro Technologies Group, Inc., S D E Holdings 2, Inc., Vertical Computer Systems, Inc., and VSAT Net, Inc.,
34-51466 Apr. 1, 2005 Asia Pulp & Paper Company, Ltd.
First Quarter
33-8562 Mar. 31, 2005 Richard H. Dorfman
34-51461 Mar. 31, 2005 Tamarak, Inc.
34-51455 Mar. 31, 2005 Amitelo Communications, Inc.and Whitehall Enterprises, Inc.
34-51442 Mar. 29, 2005 Mark M. Iwan, CPA
Other Release No.: AAER-2220
IA-2372 Mar. 25, 2005 Victor G. Nance
34-51435 Mar. 25, 2005 Thomas C. Trauger, CPA
34-51427 Mar. 24, 2005 Flowserve Corporation, C. Scott Greer, and Michael Conley
34-51422 Mar. 23, 2005 Lewis Henry Hodge and Brett John Dohner
IA-2371 Mar. 23, 2005 Peter N. Brant
33-8557 Mar. 23, 2005 Citigroup Global Markets, Inc.
Other Release No.: 34-51415
33-8556 Mar. 23, 2005 Capital Analysts Incorporated
Other Release No.: 34-51414
IA-2370 Mar. 23, 2005 Putnam Investment Management, LLC
Other Release No.: IC-26788;
34-51409 Mar. 22, 2005 Michael Kordich, Joseph Catapano, and Aaron Andrzejewski
Note: See also the Order in this matter
34-51408 Mar. 22, 2005 Robert T. Kirk, Jr.
34-51406 Mar. 22, 2005 Robertson Stephens, Inc.
34-51405 Mar. 22, 2005 Select Media Communications, Inc.
34-51404 Mar. 21, 2005 Charles Zandford
Note: See also the Order in this matter
34-51403 Mar. 21, 2005 Koji Goto
Other Release No.: IA-2368
34-51402 Mar. 21, 2005 Allen Andrescu, Richard Brower, Mark Coates, Tejbir Singh, and Vikram Randhawa
34-51400 Mar. 21, 2005 James W. Barge, Pascal Desroches, and Wayne H. Pace
Other Release No.: AAER-2215
34-51396 Mar. 18, 2005 Yolanda Velazquez
34-51387 Mar. 17, 2005 Infotopia, Inc.
Note: See also the Order in this matter
34-51384 Mar. 16, 2005 Robert A. Tommassello
Note: See also the Order in this matter
IA-2367 Mar. 16, 2005 Bridgeway Capital Management, Inc. and John Noland Ryan Montgomery
34-51383 Mar. 16, 2005 CMKM Diamonds, Inc.
Note: See also the Order in this matter
34-51381 Mar. 16, 2005 Frederick J. Gilliland
34-51378 Mar. 16, 2005 Mark D. Montana
Other Release No.: IA-2366
34-51377 Mar. 15, 2005 Bryan James Hawes
Other Release No.: IA-2365
34-51376 Mar. 15, 2005 Charles Cini and Gordon Novak
Note: See also the Order in this matter
34-51375 Mar. 15, 2005 Bryan K. Treadway, CPA
Other Release No.: AAER-2212
34-51374 Mar. 15, 2005 Jennifer J. Tanner, f/k/a Jennifer J. Black
Other Release No.: AAER-2211
34-51373 Mar. 15, 2005 Mark A. Schumacher
Other Release No.: AAER-2210
34-51357 Mar. 10, 2005 Amitelo Communications, Inc., and Whitehall Enterprises, Inc.
34-51353 Mar. 10, 2005 First Pacific Networks, Inc.
34-51349 Mar. 9, 2005 C. Dennis McKittrick
34-51345 Mar. 9, 2005 William H. Rogers
34-51335 Mar. 9, 2005 Edward Landenbaum
33-8553 Mar. 4, 2005 William W. Canfield
Other Release Nos.: 34-51321; AAER-2203
33-8552 Mar. 4, 2005 Talx Corporation
Other Release Nos.: 34-51320; AAER-2202
33-8551 Mar. 3, 2005 Eddie Richard Meche
Other Release Nos.: 34-51315; AAER-2198
34-51314 Mar. 3, 2005 Saverio (Sammy) Galasso III
Note: See also the Order in this matter
34-51311 Mar. 3, 2005 David Hutter (A/K/A David Green)
Note: See also the Order in this matter
34-51308 Mar. 3, 2005 Norman P. Rounds
34-51307 Mar. 3, 2005 Thomas C. Trauger, CPA
Other Release No.: AAER-2196
33-8548 Mar. 2, 2005 CIBC Mellon Trust Company
33-8547 Mar. 2, 2005 CIBC Mellon Trust Company
Other Release No.: 34-51299
33-8546 Mar. 2, 2005 CIBC Mellon Trust Company
Other Release No.: 34-51298
34-51297 Mar. 2, 2005 CIBC Mellon Trust Company
34-51288 Mar. 2, 2005 Scott F. Mccreadie
Other Release No.: IA-2364
34-51287 Mar. 2, 2005 Roberto E. Veitia
34-51270 Feb. 28, 2005 L.H. Ross & Company, Inc.
34-51266 Feb. 25, 2005 Norman R. Hess
34-51259 Feb. 25, 2005 Thomas C. Trauger, CPA, and Michael Mullen, CPA
Other Release No.: AAER-2191
IA-2363 Feb. 25, 2005 Colley Asset Management, Inc., and John E. Colley
33-8541 Feb. 23, 2005 Harold Engel, Jr.
34-51241 Feb. 23, 2005 Roger A. Householder
Other Release No.: IA-2361
34-51364 Feb. 18, 2005 Vladislav Steven Zubkis
34-51222 Feb. 17, 2005 Ulysses "Thomas" Ware
34-51219 Feb. 17, 2005 Brean Murray & Co., Inc.
Other Release No.: IC-26761
34-51218 Feb. 17, 2005 L. Van Stillman
34-51207 Feb. 15, 2005 Gerald F. Hunter, Jr.
34-51204 Feb. 15, 2005 Select Media Communications, Inc.
Note: See also the Order in this matter
34-51203 Feb. 15, 2005 Eagletech Communications, Inc.
Note: See also the Order in this matter
34-51202 Feb. 15, 2005 DrKoop.Com, Inc., 1st Miracle Entertainment, Inc., and United States Crude International, Inc.; Advanced Solutions & Technologies, Inc., Comparator Systems Corp., Emerging Enterprise Solutions, Inc., and Shaman Pharmaceuticals, Inc.; Amitelo Communications, Inc. and Whitehall Enterprises, Inc.
Note: See also the Order in this matter (DrKoop.Com, Inc., 1st Miracle Entertainment, Inc., and United States Crude International, Inc.)
Note: See also the Order in this matter (Advanced Solutions & Technologies, Inc., Comparator Systems Corp., Emerging Enterprise Solutions, Inc., and Shaman Pharmaceuticals, Inc.)
Note: See also the Order in this matter (Amitelo Communications, Inc., and Whitehall Enterprises, Inc.)
Note: See also the Order in this matter (Amitelo Communications, Inc., y Whitehall Enterprises, Inc.)
34-51200 Feb. 14, 2005 J.P. Morgan Securities Inc.
34-51199 Feb. 14, 2005 GE InVision, Inc. (formerly known as InVision Technologies, Inc.)
Other Release No.: AAER-2186
34-51198 Feb. 14, 2005 FFP Marketing Company, Inc., Warner Williams, and Craig Scott, CPA
Other Release No.: AAER-2185
34-51196 Feb. 14, 2005 Digi Link Technologies, Inc.
34-51194 Feb. 11, 2005 Investment Technology
Note: See also the Order in this matter
34-51193 Feb. 11, 2005 Greentech USA, Inc., Information Architects Corporation and Tekron, Inc.
Note: See also the Order in this matter (Greentech USA, Inc.)
Note: See also the Order in this matter (Information Architects Corporation)
Note: See also the Order in this matter (Tekron, Inc.)
34-51191 Feb. 11, 2005 Gary F. Pado, CPA
Other Release No.: AAEAR-2184
IA-2359 Feb. 10, 2005 Scott B. Kaye
IA-2358 Feb. 10, 2005 Bridgeway Capital Management, Inc. and John Noland Ryan Montgomery
IA-2354 Feb. 9, 2005 Erik Gustafson
Other Release No.: IC-26755
IA-2352 Feb. 9, 2005 Joseph Palombo
Other Release No.: IC-26753
33-8538 Feb. 9, 2005 Banc of America Capital Management, LLC, BACAP Distributors, LLC, and Banc of America Securities, LLC
Other Release Nos.: 34-51167; IA-2355; IC-26756
33-8537 Feb. 9, 2005 Peter Martin
Other Release Nos.: 34-51166; IA-2353; IC-26754
33-8534 Feb. 9, 2005 Columbia Management Advisors, Inc. and Columbia Funds Distributor, Inc.
Other Release Nos.: 34-51164; IA-2351; IC-26752
33-8533 Feb. 9, 2005 MarketXT, Inc. and Irfan Amanat
Other Release Nos.: 34-51162; IA-2350
Note: See also the Order in this matter
34-51161 Feb. 8, 2005 James T. Patten
34-51151 Feb. 8, 2005 Harold Miller
34-51141 Feb. 7, 2005 Keith Mohn
Other Release No.: IA-2349
IA-2347 Feb. 4, 2005 Michael G. Beckford
34-51134 Feb. 3, 2005 Dimitrios Kostopoulos
34-51132 Feb. 3, 2005 William Whelan
34-51131 Feb. 3, 2005 Scott F. McCreadie
Other Release No.: IA-2346
34-51130 Feb. 3, 2005 Harold F. Harris and Ronald E. Crews
34-51117 Feb. 1, 2005 Hunter Adams, James L. Bila, Christian Blake, and Joseph Mannino
34-51106 Jan. 31, 2005 Michael Sydney Newman
34-51090 Jan. 28, 2005 Raymond James Financial Services, Inc., J. Stephen Putnam and David Lee Ullom
34-51089 Jan. 28, 2005 Morgan Cooper, Inc.
Note: See also the Order in this matter
34-51088 Jan. 28, 2005 Homeland Security Technology, Inc.
34-51084 Jan. 27, 2005 Michael C. Mullen, CPA
34-51081 Jan. 26, 2005 Jonathan B. Orlick, Esq.
Other Release No.: AAER-2177
33-8526 Jan. 25, 2005 Steven Wise and Vladlen "Larry" Vindman
Other Release No.: 34-51077
34-51074 Jan. 24, 2005 William H. Black
Other Release No.: IA-2344
34-51073 Jan. 24, 2005 Robert C. Guccione
Other Release No.: AAER-2174
33-8525 Jan. 24, 2005 Daisytek International Corporation
Other Release Nos.: 34-51072; AAER-2172
34-51065 Jan. 21, 2005 Monte S. Colbert, CPA
Other Release No.: AAER-2171
IA-2343 Jan. 21, 2005 Massachusetts Financial Services Company
Other Release No.: IC-26724
34-51059 Jan. 19, 2005 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.
33-8524 Jan. 19, 2005 John M. Dutton
34-51057 Jan. 19, 2005 Martin Julien Marks, CPA
Other Release No.: AAER-2170
34-51056 Jan. 19, 2005 PricewaterhouseCoopers LLP
Other Release No.: AAER-2169
34-51045 Jan. 14, 2005 Daniel S. Lezak
Other Release No.: AAER-2175
33-8523 Jan. 13, 2005 Google, Inc. and David C. Drummond
34-51017 Jan. 11, 2005 Lawrence S. Powell and Delano N. Sta.Ana
34-51013 Jan. 11, 2005 American Multiplexer Corp., DMT Energy, Inc., JTS Corp., and Webvan Group, Inc.
34-51008 Jan. 10, 2005 Michael A. Lomas and Michael L. Young
33-8521 Jan. 10, 2005 Southwest Securities, Inc.
34-51002 Jan. 10, 2005 Southwest Securities, Inc., Daniel R. Leland, Kerry M. Rigdon, and Kevin J. Marsh
Other Release Nos.: IA-2341; IC-26721
34-50995 Jan. 7, 2005 Ronald J. Hottovy, CPA
Other Release No.: AAER-2163
34-50993 Jan. 7, 2005 American Multiplexer Corp., DMT Energy, Inc. JTS Corp., and Webvan Group, Inc.
34-50991 Jan. 7, 2005 S D E Holdings 2, Inc.
34-50990 Jan. 7, 2005 VSAT Net, Inc.
34-50989 Jan. 7, 2005 J.S.J. Capital II, Inc.
34-50987 Jan. 6, 2005 BroadVision, Inc.
Other Release No.: AAER-2161
34-50986 Jan. 6, 2005 Thomas T. Prousalis, Jr.
34-50983 Jan. 6, 2005 Derrick N. McKinney and Rick R. Malizia
Note: See also the Order vacating default
34-50978 Jan. 6, 2005 Monsanto Company
Other Release No.: AAER-2160
34-50966 Jan. 6, 2005 Richard M. Wooten, CPA
Other Release No.: AAER-2158
34-50963 Jan. 5, 2005 Mark D. Montana
Other Release No.: IC-2338
Note: See also the Order in this matter
34-50961 Jan. 5, 2005 Abacan Resources Corp. and Heroes, Inc.
34-50954 Jan. 3, 2005 John A. Carley, et al.

http://www.sec.gov/litigation/admin/adminarchive/adminarc2005.shtml


Modified: 03/22/2010