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Litigation Releases Archives 1997

Archive of older Litigation Releases available include:

Fourth Quarter | Third Quarter | Second Quarter | First Quarter

Additional Archives

Release No. Date Action
Fourth Quarter
LR-15599 Dec. 22, 1997 Robert Howard and Robert E. Verrando
LR-15598 Dec. 22, 1997 William Madon
LR-15597 Dec. 19, 1997 Stephen Desimone, Francis Decabia and Gary Moody
LR-15605 Dec. 23, 1997 Emanuel Pinez
LR-15604 Dec. 23, 1997 Gene Block, Individually and d/b/a Block Consulting Services, Renate Haag, Individually and d/b/a Haag + Partner, and Robert T. Riley, Individually and d/b/a The Roberts Group
LR-15603 Jan. 5, 1998 Millennium Software Solutions, Inc. and Mark Shkolir
LR-15602 Dec. 23, 1997 Nicholas A. Zahareas, Tuschner & Company, Inc. and John M. Tuschner, Defendants and Euroamerican Securities S.A.
LR-15601 Dec. 23, 1997 Capital Acquisitions, Inc., The Somerset Group, Inc., Wayne Notwell and Clealon Mann
LR-15600 Dec. 22, 1997 Barclay Davis and World Syndicators, Inc.
LR-15596 Dec. 18, 1997 Sanjeev "Tony" Sachdeva and Nasim "Nicky" Aziz
LR-15595 Dec. 18, 1997 George Badger, Golf Communities of America, Inc., F.K.A. Golf Ventures, Inc., Duane Mar.ant, Stephen Spencer, Karl Badger, Marion Sherrill, Harmon S. Hardy, La Jolla Capital Corporation, Harold B. Gallison, Jr., Terry Hughes, Marvin Susemihl, David Rosenthal, andrew Sears, and William Slone; andrew Scudiero, Eric Nicholsberg, Dominick Caputo, Dominick Chieco, Craig Marino, Mat Matles, Anthony Selvaduri, Michael Dreitlein, Anthony Giambrone, Ian Hosang, and Frank Hartmann; Leonard Alexander Ruge, Richard Wolff, Mac Beagelman, Michael Scott Symons, Richard Balber, Stephen Evers, Eugene Flaksman, Mark Furman, Alex Grinshpon, Daniel Kolchkov, Jeff Sanders, Alex Solon, Mark Zaborsky, and Jeffery Stone; Joseph Pignatiello, John Fasano, James Manas, Robert Marsik, Mark Pierce, Peter Mazzeo, and Constance Pignatiello; Jeffrey Szur, Bertram Slutsky, First National Equity Corp., F.K.A. J.S. Securities, Inc., Vadim Kaplun, Joseph Epstein, Cary Weinstein, David Gold, Ronald Gray, Alex Levin, Diane Lakin, Elaine Szur, and George Elian
LR-15594 Dec. 17, 1997 Calman H. Rifkin and Eva-Health, USA, Inc.
LR-15593 Dec. 17, 1997 Holly Holdings, Inc.
LR-15592 Dec. 12, 1997 Uniglobe Trading Company, Inc., et.al.
LR-15591 Dec. 15, 1997 John Gardner Black, Devon Capital Management, Inc., and Financial Management Sciences, Inc.
LR-15590 Dec. 11, 1997 Joseph P. Medsker, Unified Financial Services Agency Corp., and Unified Financial Services Advisory Corp.
LR-15589 Dec. 11, 1997 Raejean S. Bonham, World Plus, Inc., and Atlantic Pacific Funding Corporation
LR-15588 Dec. 10, 1997 Trinity Gas Corporation and Sidney W. Sers
LR-15587 Dec. 9, 1997 Karl L. Dahlstrom, et al.
LR-15586 Dec. 9, 1997 Roger D. Wyatt and David L. Holewinski
LR-15585 Dec. 9, 1997 Southwest Income Trust, et al.
LR-15584 Dec. 9, 1997 Viking Resources International, Inc.
LR-15583 Dec. 8, 1997 Millennium Software Solutions, Inc. and Mark Shkolir
LR-15582 Dec. 8, 1997 Trinity Gas Corporation and Sidney W. Sers
LR-15581 Dec. 8, 1997 James R. Frith, Jr. Chicago Partnership Board, Inc., Defendants, and Adbot, Inc
LR-15580 Dec. 4, 1997 Steven R. Jakubowski
LR-15579 Dec. 4, 1997 Joseph A. Bremont, Jimmy B. Sanchez, Comcar International, Ltd., Commercial Capital Resources, Inc., Loomis Ltd., Michael R. Spector, and R.P.S. Financial Group, Inc.
LR-15578 Dec. 4, 1997 Peter T. Caserta, Salvatore T. Marino, and Dana C. Verrill
LR-15577 Dec. 1, 1997 Harold E. Tobin
LR-15576 Dec. 1, 1997 Robert Hunter, Edward R. Dudlik, Jr., Thomas F. Goldman, W. Kenneth Greenwood, Joseph McKeon, Kathy Naumann, Benjamin Paul, Thomas B. Pileggi, John Rose, John Rose, Jr., Raymond F. White, and H. Constance Neff
LR-15574 Nov. 26, 1997 KS Resources et al.
LR-15573 Nov. 26, 1997 Seahawk Deep Ocean Technology, Inc., John C. Morris, Gregory H. Stemm and Daniel S. Bagley
LR-15572 Nov. 25, 1997 HealthTech International, Inc.
LR-15571 Nov. 25, 1997 Charles O. Huttoe et al.
LR-15570 Nov. 24, 1997 Integrated Waste Services, Inc.
LR-15569 Nov. 24, 1997 Steven Strauss
LR-15568 Nov. 21, 1997 Uniglobe Trading Company, Inc., et.al.
LR-15567 Nov. 20, 1997 KS Resources, et al.
LR-15566 Nov. 19, 1997 Paramount Capital Management, Inc. and "John Doe" a/k/a "Kenneth Bridget"
LR-15565 Nov. 20, 1997 Richard P. Poirier, Jr., James E. Eaton and Michael S. Devegter
See also: Complaint in this matter
LR-15564 Nov. 18, 1997 CNC Trading Company, et al.
LR-15563 Nov. 18, 1997 John S. Nadolski
LR-15562 Nov. 17, 1997 John Logan
LR-15561 Nov. 14, 1997 Vincent Setteducate
LR-15560 Nov. 14, 1997 Charles Brumfield, Joseph Brumfield, Robert Allen, William Mylett, Joseph Penna, and Joseph Kenton Capital, Ltd
LR-15559 Nov. 13, 1997 Charles Brumfield, Joseph Brumfield, Robert Allen, William Mylett, Joseph Penna, Joseph Cusimano, Alfred Volpe, James Galante, Thomas Alger, John O'Brien, Lawrence Friedman, Robert Flanagan, Thomas Flanagan, Sharon Seiden, Warren Smith, John Lynch, and Albert Brody
LR-15558 Nov. 13, 1997 David W. Laing and PCO, Inc., D/B/A Personal Choice Opportunities
LR-15557 Nov. 12, 1997 Jerome C. Pinckney, Richard L. Arnold, Donald E. Elder, Fernando Cruz, Shaun K. R. Maxwell, Anthony Bukovich, and Six Capital Corporation
LR-15556 Nov. 12, 1997 Peter R. DeGeorge
LR-15555 Nov. 10, 1997 Teddy Wayne Solomon, Lisa Stevens, Platinum International, and Quantum Corp. a/k/a Quantum Trading
LR-15554 Nov. 7, 1997 Financial Advisers, Inc., American Capital Funding, Inc., and FW Advisers
LR-15553 Nov. 5, 1997 Shahryar Soroosh
LR-15552 Nov. 5, 1997 Vladislav Steven Zubkis, et al.
LR-15551 Nov. 5, 1997 Alan M. Stricoff
LR-15550 Nov. 4, 1997 Robert D. Gersh
LR-15549 Nov. 4, 1997 andrew S. Lane, Jack Lane, Jack O. Scher, Deborah S. Games, Craig L. Sampson, Bruce Sampson, and Tracy Ann Stoddart
LR-15548 Oct. 31, 1997 Bond D. Fletcher and Mediajet, Inc.
LR-15547 Oct. 30, 1997 Randall Smith Kuhlmann and David Sydney Darling
LR-15546 Oct. 30, 1997 Mitchell A. Hammer and Joseph Letzelter, Jr.
LR-15545 Oct. 29, 1997 Ronald J. Mitchellette and Robert Hardy
LR-15544 Oct. 28, 1997 Hernan Jose Perez
LR-15543 Oct. 27, 1997 Randall E. Bradbury, The Bradbury Financial Group, Inc., and T.B.F.G. International, Ltd.
LR-15542 Oct. 24, 1997 David Scott Heredia
LR-15541 Oct. 24, 1997 William D. Brosseau, et al.
LR-15540 Oct. 24, 1997 Roy Handojo
LR-15539 Oct. 24, 1997 Medco, Inc., et al.
LR-15538 Oct. 21, 1997 offshore Financial Corporation, et al.
LR-15537 Oct. 20, 1997 Bruce Van Wagner, et al.
LR-15536 Oct. 20, 1997 Gary W. Berus, Patricia S. Gale, Robert W. Harper and Nancy A. Swoffer
LR-15535 Oct. 20, 1997 Jerald Beagelman, Fred Lyman, Joseph Sanfellipo, and Elliot Stumacher
LR-15534 Oct. 16, 1997 Whitworth Energy Resources, Ltd., et al.
LR-15533 Oct. 16, 1997 Hernan Jose Perez
LR-15532 Oct. 9, 1997 Atlantic Capital Corporation, Wall Street Marketing, Inc., Pullman Publications, Inc., Stephen DeCesare, Mark Missler, Patrick Kephart, Howard Jenkins, Scott Mijares, Robert Thomas Beatty, Vincent St. Clair Beatty, Michael Cardascia, David Scott Rossman, Adrian Wilson, Timothy B. Daley, and David M. Connochie
LR-15531 Oct. 8, 1997 Cihaco International, Inc., Hartmut Haussecker, Bartley Carson Healy, and Tanya Llanes-Tarver
LR-15530 Oct. 7, 1997 Mark E. Gatch and Henry Benjamin Schmidt
LR-15529 Oct. 7, 1997 Atratech, Inc., Anthony Gurino, Vincent Sorena, Patrick Borello, Aug.o Aufiero, Stanley Kaplan, Francis J. O'Reilly, and Raymond Stankey
LR-15528 Oct. 6, 1997 Continental Wireless Cable Television, Inc., Robin J. Mcpherson, Jay R. Bishop and Gene R. Cardenaz
LR-15527 Oct. 6, 1997 James G. Hanley
LR-15526 Oct. 2, 1997 John Patrick Brink
LR-15525 Oct. 1, 1997 KS Resources, et al.
LR-15524 Oct. 2, 1997 Gerard Burns, et al.
LR-15523 Oct. 1, 1997 Russell S. Smith, et al.
LR-15522 Oct. 1, 1997 Jeffrey P. Sudikoff, Edward Cheramy and Rudy Wann
Third Quarter
LR-15521 Sep. 30, 1997 Francis X. Wazeter, III, et al.
LR-15520 Sep. 30, 1997 Robert Hunter, Edward R. Dudlik, Jr., Thomas F. Goldman, W. Kenneth Greenwood, Joseph Mckeon, Kathy Naumann, Benjamin Paul, Thomas B. Pileggi, John Rose, John Rose, Jr., Raymond F. White, and H. Constance Neff
LR-15519 Sep. 30, 1997 David R. Pfister, Richard G. Pfister, Ty Bartel, Nick A. Skansi, Nick L. Skansi, George S. Pharis, Chok-tat Tan, Jody L. Lafont, Jeffrey J. Jandegian, and Randolph R. Blackburn
LR-15517 Sep. 30, 1997 Brian E. Willis and William Sanchez
LR-15516 Sep. 30, 1997 Leonard Greer and Judah Wernick
LR-15515 Sep. 30, 1997 Sam Moore
LR-15514 Sep. 29, 1997 Phoenix Metals U.S.A. II, Inc., and Robert F. Flaherty
LR-15513 Sep. 26, 1997 Carlo D'Alelio
LR-15512 Sep. 26, 1997 Sage Technology, Inc., Jamie Edelkind, and William R. Thiele
LR-15511 Sep. 26, 1997 John Gardner Black, Devon Capital Management, Inc., and Financial Management Sciences, Inc.
LR-15510 Sep. 25, 1997 Harold J. Lee and Alfred Almeder
LR-15509 Sep. 25, 1997 Dale J. Lange, et al.
LR-15508 Sep. 25, 1997 Ferrofluidics Corporation, Ronald Moskowitz, Jan R. Kirk, Stephen P. Morin, Jerome Allen, Bruce S. Moody, and the 1991 RPM Irrevocable Trust
LR-15507 Sep. 25, 1997 Michael Borlinghaus, Joseph Latona, Leonard Bellezza, Jeffrey F. Green, Joseph P. Greenwald, and Heinz Grein
LR-15506 Sep. 24, 1997 William H. Malek, Dean C. Turner and Michael L. Cooperstock
LR-15505 Sep. 24, 1997 Whitworth Energy Resources, Ltd.; Williston Basin Holding Corp.; Amerivest Financial Group, Inc.; Peter Sacker; Jerry W. anderson; and Robert M. Kerns
LR-15504 Sep. 22, 1997 Barnard Sackett, John H. Schriek and Enviroland, Ltd.
LR-15503 Sep. 19, 1997 Terry Oneil Clifford, D/b/a Datasource Consulting Group
LR-15502 Sep. 27, 1996 ;Omni International Trading, Inc., Daniel J. Bubalo, John C. Hetherington, Michael A. Wilcox, Daniel L. Koehler, Brian E. Farley and Scott A.
LR-15501 Sep. 18, 1997 International Breeders, Inc., First Western Ostrich Corp., Ostrich Breeders of America, Inc., Nsa, Inc., Capital Management and Development Corp., Jeffrey Davis, Bob Stewart, Freddie Don Stewart, Steven Stewart, Homer Rios, Clifford Stahl and Rik Foxx
LR-15500

Sep. 18, 1997 Club Atlanta Travel, Inc., David L. Straub, Frank Garner, and Fred Garner
LR-15499 Sep. 17, 1997 Charles Anthony Ferracone, James W. Farrell, James L. Ericksteen, Gary L. Moore, Jill Hall, and Guido Bensberg
LR-15498 Sep. 17, 1997 MicroWest Industries, Inc. et al.
LR-15497 Sep. 17, 1997 Paul H. Borg
LR-15496 Sep. 17, 1997 The Geneva Group and Nicholas Garcia
LR-15495 Sep. 16, 1997 Telecom Marketing, Inc.; Telecom Industries, Inc.; Barry Smith; Midas Media, Inc.; Jeffrey Jolcover; Century Wireless Communications Corp.; Ron Schroeder; Tri-star Communications, Inc.; Paul Iwankowski; Brixel, Inc.; and John Field IV
LR-15494 Sep. 15, 1997 Walter Clarence Busby, Jr.
LR-15493 Sep. 15, 1997 Alpha Diversified Industries, Inc., Ralph W. Leblanc, and Robert M. Bingham
LR-15492 Sep. 15, 1997 Roy Handojo
LR-15491 Sep. 12, 1997 Edward M. Collins
LR-15490 Sep. 12, 1997 Charles O. Huttoe, et al
LR-15489 Sep. 11, 1997 Bernard Zelenka
LR-15488 Sep. 11, 1997 Donald C. Ferguson, Renee Ferguson, David L. Fried, Albert L. Fried, and Matthew C. Ferry
LR-15487 Sep. 11, 1997 Maury H. Joseph and Allen E. Beni
LR-15486 Sep. 11, 1997 Channa Wickremeratne ("Channa Wick")
LR-15485 Sep. 11, 1997 Scientific Software-Intercomp, Inc.
LR-15484 Sep. 10, 1997 Michael Anthony Pierce, et al.
LR-15483 Sep. 10, 1997 Mark A. Ritacco, et al.
LR-15482

Sep. 23, 1996 Charles R. Cleveland, Sr.; Sep. 10, 1997
LR-15481 Sep. 9, 1997 Michael J. Oberholzer
LR-15480 Sep. 8, 1997 Phoenix Continental Corporation, Michael T. Honey, and Robert Johnston
LR-15479 Sep. 8, 1997 American Business Securities, Inc., Southwest Energy Consultants, Inc., Western Energy Acquisitions, Inc., Trans Terra Corporation, International, MacArthur Asset Management, Inc., Barry J. Zimmermann, John L. Casperson, Jr., Jeffrey L. Casperson, Jerome L. Casperson, Joseph L. Casperson, Tim L. Epps, and Thomas A. Hicks
LR-15478 Sep. 8, 1997 Donald R. Moore, Individually and D/B/A International Society of Investors, et al.
LR-15477 Sep. 5, 1997 The Infinity Group Company, Geoffrey P. Benson and Geoffrey J. O'Connor, et. al.
LR-15476 Sep. 4, 1997 Hugh Thrasher, John H. anderson, Ezra Chammah, Stanley Elbaum, Scott Forbes, Guillermo Gomez a/k/a William Gomez, Stephen v.R. Goodhue, Jr., Ira Gorman, Gorman Commodities and Securities, Inc., Jonathan S. Hirsh, Ronald Kuznetsky, Darrell Sandy Marsh, Jack P. Marsh, Michael R. Newman, Roger K. Odwak, Angelo Petrotto, Lee Rosenblatt, Robert Sacks, Jeffrey A. Sanker, David Schaen, Leonard Schaen, Julian Schor, Gregg R. Shawzin, and Mark R. Shawzin
LR-15475 Sep. 4, 1997 Keith Knutsson and Kaldi, Inc.
LR-15474 Sep. 4, 1997 Wyatt Gene Ross, Lynn K. Ross, and Mickie E. Higgins-Hallke
LR-15473 Sep. 4, 1997 J. Bristow anderson, Bradley F. Bahret, Deborah D. Bahret, Lisa R. Burgess-Pittman, Linda A. Connor, George L. Gore, Jr., Moroni Leon Jensen, Stephen J. Katz, Charles R. Perry, Jr.
LR-15472 Sep. 4, 1997 Rob Nite, Philip L. Thomas, and David V. Sims
LR-15471 Sep. 4, 1997 Jason S. Wall
LR-15470 Sep. 4, 1997 Mark K. Curry and Joseph H. Curry
LR-15469 Sep. 3, 1997 Ellis L. Deyon, Bradley T. Gullett (individually, and D.B.A. "Gullet and Associates"), William Hanke, Dove Investment Group, Inc. Sherwood H. Craig
LR-15468 Sep. 2, 1997 Richard Warren & Associates, Inc., et. al.
LR-15467 Sep. 2, 1997 Digitran Systems, Inc., Donald G. Gallent and James R. Bryan
LR-15466 Aug. 28, 1997 Cihaco International, Inc., Hartmut Haussecker, Bartley Carson Healy and Tanya Llanes-Tarver
LR-15465 Aug. 28, 1997 Irving M. Mangel, Samuel J. Mangel, Thomas J. Ciocco and Edward W. Maskaly
LR-15464 Aug. 28, 1997 Karl L. Dahlstrom, et al.
LR-15463 Aug. 28, 1997 Michael J. Randy, et al.
LR-15462 Aug. 27, 1997 The Infinity Group Company, Geoffrey P. Benson and Geoffrey J. O'Connor, et. al.
LR-15461 Aug. 27, 1997 Frank A. M. Luca, Rudy Crosswell, and Paula G. Den Boer
LR-15460 Aug. 27, 1997 Timothy Ross, Douglas Coates, and John D. Peckskamp, Jr.
LR-15459 Aug. 26, 1997 Biltmore Securities, Inc.
LR-15458 Aug. 22, 1997 Wedgewood Financial Group, Inc., et al.
LR-15457 Aug. 21, 1997 American Growth Capital Corp., American Growth Fund I, LP, Growth Capital Resources Corp., Capital Growth Fund I, LP., Donna L. Snyder, Charles E. Duquette, Robert K. Kelly, Hugo v. Cianciulli, William M. McNary, Emanuel B. Nedwick, Jerome L. Glazov, and Christopher A. Paulick
LR-15456 Aug. 21, 1997 Robert J. Young, William Douglas Morgan, Russell Lozis and Beth Lombardo
LR-15455 Aug. 21, 1997 Richard Warren & Associates, Inc., et. al.
LR-15454 Aug. 21, 1997 Airship International Ltd.
LR-15453 Aug. 21, 1997 Timax I General Partnership, et al.
LR-15452 Aug. 21, 1997 Steve McMichael, et al.
LR-15451 Aug. 21, 1997 Ralph Wills, III and ProFinancial Advisors, Inc.
LR-15450 Aug. 20, 1997 Jozef A.C. van Stratum
LR-15447 Aug. 18, 1997 Tandem Management Inc., William F. Branston, Eugene B. Deveney and Peter S. Alsop
LR-15446 Aug. 18, 1997 andrew S. Pitt, Conectisys Corp., Devon Investment Advisors, Inc., B & M Capital Corp., Mike Zaman and Smith, Benton and Hughes, Inc.
LR-15445 Aug. 18, 1997 American Growth Capital Corp., American Growth Fund I, LP, Growth Capital Resources Corp., Capital Growth Fund I, LP., Donna L. Snyder, Charles E. Duquette, Robert K. Kelly, Hugo v. Cianciulli, William M. McNary, Emanuel B. Nedwick, Jerome L. Glazov, and Christopher A. Paulick
LR-15444 Aug. 15, 1997 Dhirein Patel
LR-15443 Aug. 15, 1997 William F. Kane
LR-15442 Aug. 15, 1997 Abdul Ismail, Ong Congqin Bobby, and Lum Kwan Sung
LR-15441 Aug. 13, 1997 Interactive Medical Technologies Ltd., William E. Shell, and Clark M. Holcomb
LR-15440 Aug. 12, 1997 American Growth Capital Corp., American Growth Fund I, LP, Growth Capital Resources Corp., Capital Growth Fund I, LP., Donna L. Snyder, Charles E. Duquette, Robert K. Kelly, Hugo V. Cianciulli, William M. McNary, Emanuel B. Nedwick, Jerome L. Glazov, and Christopher A. Paulick
LR-15439 Aug. 12, 1997 William M. Fisher
LR-15438

Aug. 11, 1997 Gregg Michael Brenner and Pamela Sue Topper
LR-15437 Aug. 11, 1997 Trans-American Ostrich Traders, Inc., Larry R. Earp, and David P. Silver
LR-15436 Aug. 7, 1997 Trustcap Financial Group, Inc., Matrix Investment Advisors, Inc., Security Financial, Inc., and Matrix Capital Management, Inc.;
LR-15435 Aug. 7, 1997 Steven H. Schiffer, Joann R. Schulz, Gary S. Kramer, Jonathan Solow, Frank J. Cannata, and Peter G. Mintz
LR-15434 Aug. 6, 1997 Michael Snowhite, BLS Consulting, Charles Boratgis, Paul Land, Jeffrey Stern, Shelley Olander, Morrey Wasserman, 900 Financial Services, L.L.C., David Kane, and Sam Sarcinelli D/B/A/ S&S Consulting
LR-15433 Aug. 6, 1997 Shahryar Soroosh
LR-15432 Aug. 5, 1997 Insnet World Communications, Inc.
LR-15431 Aug. 5, 1997 Southwest Income Trust, et al.
LR-15430 Aug. 4, 1997 Emmanuel A. Lagpacan, John A. Moreno and Kubasaki Associates, Inc
LR-15429 Aug. 4, 1997 Samir Traboulsi, et al.
LR-15428 Aug. 4, 1997 Atlantic Capital Corporation, Wall Street Marketing, Inc., Pullman Publications, Inc., Stephen DeCesare, Mark Missler, Patrick Kephart, Howard Jenkins, Scott Mijares, Robert Thomas Beatty, Vincent St. Clair Beatty, Michael Cardascia, David Scott Rossman, Adrian Wilson, Timothy B. Daley, and David M. Connochie
LR-15427 Aug. 1, 1997 Robert L. Gray
LR-15426 Jul. 29, 1997 Charles Brumfield, Joseph Brumfield, Robert Allen, William Mylett, Joseph Penna, Joseph Cusimano, Alfred Volpe, James Galante, Thomas Alger, John O'Brien, Lawrence Friedman, Robert Flanagan, Thomas Flanagan, Sharon Seiden, Warren Smith, John Lynch, and Albert Brody
LR-15425 Jul. 29, 1997 Mitchell A. Hammer and Joseph Letzelter, Jr.
LR-15424 Jul. 28, 1997 Geoffrey Paul Adams
LR-15423 Jul. 28, 1997 First California Capital Markets Group, Inc., H. Michael Richardson and Derrick Dumont
LR-15422 Jul. 25, 1997 BioCoral Inc.
LR-15421 Jul. 24, 1997 Southwest Income Trust, Inc., et al
LR-15420 Jul. 24, 1997 Stuart Gregory Smith and Capital Investment Managers, Inc.
LR-15419 Jul. 24, 1997 Alexandra Elizabeth Montgomery, William Kenneth Nestor, Frederic Burgess and Harriet Gluck
LR-15418 Jul. 24, 1997 Stephen J. Murphy
LR-15417 Jul. 23, 1997 Policy Management Systems Corporation, George Larry Wilson, Robert L. Gresham, James P. Brown, David T. Bailey and Bernard C. Mazon
LR-15416 Jul. 18, 1997 Sunbelt Development Corporation, Wendell Rogers, Donald Hammond, and Willis Davis
LR-15415 Jul. 16, 1997 United Fire Technology Inc., Beverlee Kamerling, WWBM Consultants, Inc., James Gartland, Charles F. Jones, Michael J. Hooper and Kenneth R. Starnes
LR-15414 Jul. 16, 1997 Harold E. Tobin
LR-15413 Jul. 16, 1997 Robert Hunter, Edward R. Dudlik Jr., Thomas F. Goldman, W. Kenneth Greenwood, Joseph McKeon, Kathy Naumann, Benjamin Paul, Thomas B. Pileggi, John Rose, John Rose Jr., Raymond White, H. Constance Neff
LR-15412 Jul. 16, 1997 Gray Hawk Fund Co., Salvatore Vecchio; Frederick J. Rice
LR-15411 Jul. 11, 1997 CD Alternatives, Inc and Clyde Keith LaMonda
LR-15410 Jul. 10, 1997 Stuart Gregory Smith and Capital Investment Managers, Inc.
LR-15409 Jul. 9, 1997 Patrick Borello
LR-15408 Jul. 8, 1997 Michael Anthony Chmiel
LR-15407 Jul. 8, 1997 Juan Carlos Martinez
LR-15406 Jul. 7, 1997 Barry L. King
LR-15405 Jul. 7, 1997 Felix, Inc.
LR-15404 Jul. 7, 1997 G. Gregory Russell
LR-15403 Jul. 2, 1997 Jerry G. Allison and Qualified Pensions, Inc.
LR-15402 Jul. 2, 1997 Affordable Prepaid Cellular, Inc. and John C. Rockett
LR-15401 Jul. 2, 1997 Dr. Jacob Y. Terner, Theodore W. Dutton, Dr. Nissan Kahen, Parviz Kahen, George Voigt and andrea Guillen Dutton
LR-15400 Jul. 2, 1997 B.M.C. Enterprises Inc. et al.
Second Quarter
LR-15399 Jun. 26, 1997 Emanuel Pinez
LR-15398 Jun. 26, 1997 Patrick R. Bennett, Michael A. Bennett, Charles Genovese, Gary Peiffer, Anthony Pavoni, and Thomas Pomposelli
LR-15397 Jun. 26, 1997 Frederick Liu
LR-15396 Jun. 26, 1997 Richard L. McAdoo
LR-15395 Jun. 25, 1997 J. Scott Eskind
LR-15394 Jun. 25, 1997 Mark E. Gatch and Henry Benjamin Schmidt
LR-15393 Jun. 24, 1997 Jury Matt Hansen, Fergus Sloan and Christie Hansen
LR-15392 Jun. 24, 1997 Bruce A. Milliken and Richard A. Crawford
LR-15391 Jun. 24, 1997 Nicholas F. Coscia
LR-15390 Jun. 20, 1997 Thomas Warde
LR-15389 Jun. 19, 1997 Michael Humphress
LR-15388 Jun. 19, 1997 Michelle P. Suppes and Mark Anthony
LR-15387 Jun. 16, 1997 Robert Clifford Cowan
LR-15386 Jun. 12, 1997 Wye Resources,Inc.
LR-15385 Jun. 11, 1997 Patrick J. Leonard and Peter P. Hartman
LR-15384 Jun. 11, 1997 Joseph C. Allegra,David Hersh, J. Lee Ledbetter
LR-15383 Jun. 10, 1997 Michael Green and Capital Resources Group, Inc.
LR-15382 Jun. 10, 1997 Kyle Weston
LR-15381 Jun. 2, 1997 Robert C. Cowan, CS Investments Trust, Cowan Asset Management, Inc.
LR-15380

Jun. 2, 1997 PanWorld Minerals International, Inc., Robert G. Weeks, Kenneth L. Weeks, David A. Hesterman, Larry Krasny, L.K. Management, Inc., Joseph Fabiilli, Puritan Communications, Inc., Jerome Wenger, Randall Gilbert
LR-15379 May 30, 1997 Nu-Life International of Georgia, Inc, Gene Arthur
LR-15378 May 30, 1997 Affordable Prepaid Cellular, Inc., John C. Rockett
LR-15377 May 30, 1997 Judy Hockett, Gayle Raisor, and Kevin Raisor
LR-15376 May 29, 1997 Ted Harold Westerfield
LR-15375 May 29, 1997 Steven W. Koinis
LR-15374 May 27, 1997 Broadcast Associates - I, Broadcast Acquisitions, Inc., Broadcast Holdings, Inc., Arthur A. Graves, III, and Gregory P. Moeller
LR-15373 May 22, 1997 Kenneth Mitchell Wiggins, Jr. and Wiggins & Company, Inc.
LR-15372 May 21, 1997 Balance for Life, Inc., Richard K. Steele, Jr.
LR-15371 May 21, 1997 Members Service Corporation, Philip Sung, John R. Silseth II, Union Securities Ltd., David Gilbert, Todd H. Moore, Charles V. Payne, Wall Street Strategies, Inc., Joseph Lanza, Kenneth O'Neal.
LR-15370 May 21, 1997 Sage Technology, Inc., William R. Thiele
LR-15369 May 21, 1997 Norman G. Cornelius, Avalon Custom Homes, Inc. Avalon Alliance Group, Inc..
LR-15368 May 16, 1997 Channa Wickremeratne a/k/a Channa Wick and Options Group Trading Company
LR-15367 May 16, 1997 Nycal Corporation
LR-15366 May 15, 1997 Stephen J. Murphy
LR-15365 May 13, 1997 Greenway Environmental Services, Inc., Alvin A. McCollum, Steven F. Broadbent, Rex L. Zimmerman
LR-15364 May 13, 1997 BeneFund, Inc. and Vernon R. Twyman, Jr.
LR-15363 May 13, 1997 A.R. Baron & Co., Inc., andrew Bressman, Roman Okin, Richard Acosta, Glenn O'Hare, Joseph Scanni, Brett Hirsch, Garvey Fox, Matthew Hirsch, Richard Simone, Charles Plia, Mark Goldman, John Mcandris and Jack Wolynez
LR-15362

May 12, 1997 James E. Washington, Jr., Dreams Unlimited Investment Group, Dreams Unlimited Investment, Inc., Concepts Unlimited Investment Group and Jacob N. Haynes
LR-15361 May 8, 1997 John F. Aptt, Financial Instruments Group, Financial Instruments Corporation, World Financial Instruments, Global Financial Instruments, International Financial Instruments, National Financial Instruments and Regional Financial Instruments
LR-15360 May 6, 1997 Southwest Income Trust; Advantage Income Trust; and Investors Trading Trust, Palo Verde 136, Inc., Steven R. Shoop, Advantage Marketing Group, Inc., Charles D. Brown, FLC Corporation, Donn K. Phillips and Anthony Ghirardello
LR-15359 May 5, 1997 Cary S. Greene, Mustang Development Corporation and Tower Operating Company
LR-15358 May 1, 1997 Shaun K.R. Maxwell
LR-15357 May 1, 1997 Marshall E. Melton
LR-15356 May 29, 1996 Douglas R. Damon, Robert M. Davis and Kenneth C. Kolovitz
LR-15355 Apr. 29, 1997 Gene Block and Robert T. Riley
LR-15354 Apil 29, 1997 Gary J. DiVall and Paul E. Magnuson
LR-15353 Apr. 29, 1997 Bradley J. Simmons and American Energy Group, Ltd.
LR-15352 Apr. 29, 1997 David A. Schmidt and Willard A. Whitehurst
LR-15351 Apr. 25, 1997 Lum Kwan Sung
LR-15350 Apr. 24, 1997 J.R. Consulting, Inc.
LR-15349 Apr. 24, 1997 Charles E. Rose
LR-15348 Apr. 24, 1997 Joseph C. Kane, Jr.
LR-15347 Apr. 23, 1997 Jay R. Bishop
LR-15346 Apr. 23, 1997 Joseph Latona and Jeffrey F. Green
LR-15345 Apr. 23, 1997 Jerry G. Kilgore
LR-15344 Apr. 22, 1997 Stephen J. Murphy a.k.a. Jack Davis
LR-15343 Apr. 22, 1997 Barry C. Nelsen and Ellis J. Tallant
LR-15342 Apr. 21, 1997 Tellus Industries, Inc. and Glen E. Burke
LR-15341 Apr. 21, 1997 Stanley J. Feminella
LR-15340 Apr. 18, 1997 Jeffrey E. Carter
LR-15339 Apr. 17, 1997 Philip Rennert, David Rex Yeaman, Michael Miller, George Jensen and Nolan Mendenhall
LR-15338 Apr. 17, 1997 Global Financial Traders, Ltd., BGSG Holding Corp., Michael R. Reilly, John J. Kenna, Vincent J. Iovine and David S. Coleman
LR-15337 Apr. 17, 1997 David E. Lipson
LR-15336 Apr. 17, 1997 Forrest Sygman
LR-15335 Apr. 17, 1997 Neil A. Liechty and Neil A. Liechty, Inc.
LR-15334 Apr. 15, 1997 Ong Congqin Bobby
LR-15333 Apr. 15, 1997 Timothy A. Hills and S.J. Windsor Capital Partners LLP
LR-15332 Apr. 15, 1997 Timothy J. Moriarty
LR-15331 Apr. 15, 1997 John K. Judd, Jr.
LR-15330 Apr. 15, 1997 NVID International, Inc., Matthew E. Klenovic, and Robert F. Bunte
LR-15329 Apr. 15, 1997 William Dennis Brosseau and Kenneth Wayne McKay
LR-15328 Apr. 11, 1997 James W. Hall
LR-15327 Apr. 11, 1997 David Earl Wallace, Earl Joseph Latiolais, David Stuart Zuckerman, and Joseph C. Lucio
LR-15326 Apr. 11, 1997 Enserco, Inc., Energy Service Company, John P. Brink, Anthony J. Leo and Frank Bravo, Jr.
LR-15325 Apr. 10, 1997 Structural Dynamics Research Corporation and Ronald J. Friedsam
LR-15324 Apr. 10, 1997 Kenneth P. Kasarjian and The Kenton Group, Inc.
LR-15323 Apr. 10, 1997 Eunice J. Leigh
LR-15322 Apr. 10, 1997 Dr. Milton Mutchnick, Renee Mutchnick, Michael DeWood, Dennis M. Gill, Yvonne Graham, Paul H. Holloway, William M. Leuchter, Richard Liebich, Dr. Panguluri, Dr. Ravindra Alapati and Dr. Syam Gaddam
LR-15321 Apr. 9, 1997 Michael Jonsson and Objective Invest Holding S.A.
LR-15320 Apr. 8, 1997 Donald E. Elder
LR-15319

Apr. 8, 1997 Asset Management and Research, Inc., Westview Capital, L.C., Trading Partners, L.C. and Trading Partners II, L.C.
LR-15318 Apr. 8, 1997 Peter M. Stanley
LR-15317 Apr. 7, 1997 NVID International, Inc., Matthew E. Klenovic and Robert F. Bunte
LR-15316 Apr. 4, 1997 Michelle P. Suppes and Mark Anthony
LR-15315 Apr. 4, 1997 Nilkanth Patel, Hasmukh Patel, Janak C. Patel, Janak M. Patel, and Kanubhai Patel
LR-15314 Apr. 3, 1997 Leslie John Gray
LR-15313 Apr. 2, 1997 Timothy A. Hills, S.J. Windsor Capital Partners LLP
LR-15312 Apr. 2, 1997 Chester Holdings, Ltd., Joseph Pignatiello, Constance Pinatiello, Christopher Werner
LR-15311 Apr. 1, 1997 Kenneth E. Rottenberg
First Quarter
LR-15310 Mar. 31, 1997 Robert D. Gersh, Boston Municipal Securities, Inc. and Devonshire Escrow
LR-15309 Mar. 31, 1997 Raeburn Evans, M.D.
LR-15308 Mar. 28, 1997 Gerald P. Hirsch and Churchill Mortgage Investment Corp.
LR-15307 Mar. 25, 1997 David I. Namer, Network Mortgage Services, Inc., Offshore Insurance Services, Inc., Meyers Pollock Robbins, Inc., Michael Ploshnick and Shelli Ploshnick
LR-15306 Mar. 25, 1997 Michael Anthony Pierce and Jocelyn Jane O'Rourke
LR-15305 Mar. 24, 1997 Environmental Chemicals Group, Inc. 
LR-15304 Mar. 24, 1997 Gregg R. Shawzin, John H. Anderson and Jeffrey Sanker
LR-15303 Mar. 21, 1997 Paul Jay Shiffman
LR-15302 Mar. 20, 1997 Susan L. Hirsch
LR-15301 Mar. 19, 1997 Pamela Sue Topper
LR-15300 Mar. 18, 1997 Dunne Finance Limited
LR-15299 Mar. 18, 1997 Terry Plack
LR-15298 Mar. 17, 1997 Robert Pierce, Carrie L. Williams Pierce, and Pierce Investments Co.
LR-15297 Mar. 17, 1997 Matrix Investment Advisors, Inc., Security Financial, Inc., and Trustcap Financial Group, Inc.
LR-15296 Mar. 17, 1997 Steven W. Koinis Mar. 17, 1997
LR-15295 Mar. 14, 1997 Emanuel Pinez Mar. 14, 1997
LR-15294 Mar. 14, 1997 Jan Jusko
LR-15293 Mar. 14, 1997 Danny Sterk
LR-15292 Mar. 14, 1997 William Sedkey Saydein
LR-15291 Mar. 14, 1997 Global Financial Traders, Ltd., BGSG Holding Corp., Michael R. Reilly, John J. Kenna, Vincent J. Iovine, and David S. Coleman
LR-15290 Mar. 14, 1997 Barry L. King
LR-15289 Mar. 13, 1997 Walter E. Johnson and Rex E. Sanders
LR-15288 Mar. 13, 1997 Michael R. Warren
LR-15287 Mar. 13, 1997 Fernando Cruz
LR-15286 Mar. 12, 1997 Merle S. Finkel
LR-15285 Mar. 12, 1997 Alfred Volpe
LR-15284 Mar. 10, 1997 Business and Taxpayers Coalition for Affordable Housing
LR-15283 Mar. 10, 1997 Michael J. Colello
LR-15282 Mar. 11, 1997 Phillip John Milligan, a/k/a John Milligan
LR-15281 Mar. 11, 1997 W.S. Clearing, Inc., William Sedkey Saydein
LR-15280 Mar. 10, 1997 Gregg Michael Brenner and Pamela Sue Topper
LR-15279 Mar. 10, 1997 Hubert Leon Leopard and Richard E. Lopez
LR-15278 Mar. 10, 1997 Gary Alan Singer
LR-15277 Mar. 10, 1997 Robert N. Taylor
LR-15276 Mar. 7, 1997 First Interregional Advisors Corporation, First Interregional Equity Corporation and Richard Goettlich
LR-15275 Mar. 5, 1997 Personal Wealth Systems, Inc. and Gary M. Haiser
LR-15274 Mar. 4, 1997 Simon M. Rosenfeld, Terry D. Kochanowski and John F. Yakimczyk
LR-15273 Mar. 4, 1997 John Thomas Royall
LR-15272 Mar. 4, 1997 Mike Zaman, Smith, Benton & Hughes, Andrew S. Pitt, Conectisys Corporation, B & M Capital Corp., and Devon Investment Advisors, Inc.
LR-15271 Feb. 28, 1997 Charles L. Howard
LR-15270 Feb. 28, 1997 Joy L. Bouwkamp, Joe L. Hallock and Thomas M. Grahovac
LR-15269 Feb. 27, 1997 Neil A. Liechty and Neil Liechty, Inc.
LR-15268 Feb. 27, 1997 Michael Anthony Pierce
LR-15267 Feb. 27, 1997 Marshall E. Melton Asset Management and Research, Inc., Westview Capital, L.C. Trading Partners, L.C. and Trading Partners II, L.C.
LR-15266 Feb. 27, 1997 Triton Energy Corporation, Philip W. Keever and Richard L. McAdoo
LR-15265 Feb. 27, 1997 Roseann Martucci, Jay R. Hartman and Garr Management Services, Inc
LR-15264 Feb. 25, 1997 George Chelekis, KGC, Inc. and Hot Stocks Review, Inc.
LR-15263 Feb. 25, 1997 Lynn Roy Oyler
LR-15262 Feb. 21, 1997 Rolan Colon
LR-15261 Feb. 18, 1997 Sterling Foster & Company, Inc., Adam Lieberman, Craig Kellerman, Frank Monroig, Dennis Rueb
LR-15260 Feb. 18, 1997 Fabri-Centers of America, Inc., Robert L. Norton and Joseph E. Williams
LR-15259 Feb. 14, 1997 Kenneth J. Schulte
LR-15258 Feb. 14, 1997 Emanuel Pinez
LR-15257 Feb. 13, 1997 Dennis Williams, Steve Wertman, Kevin Woodbridge, Edward Donner, Edward T. Shea, Ronald Geraci, Sr., Gerard King, Raymond Kripaitis, Trent Gribben, Ronald Troy Mikulka, Douglas Diggins, and Edward Bracken
LR-15256 Feb. 13, 1997 Harvey P. Tabb, Donald R. Golan, American Ticketing Systems, Inc., Business Investment Group, Inc. and Socal Ameritix Limited Partnership
LR-15255 Feb. 13, 1997 John T. Hall, Joel Ciniero and Mark Keckeisen
LR-15254 Feb. 11, 1997 Thomas J. Farrell
LR-15253 Jan. 29, 1997 Linda A. Hodge and The Hodge Group, P.C. 
LR-15252 Feb. 11, 1997 Digital Products Corporation
LR-15251 Feb. 10, 1997 Eddie Antar 
LR-15250 Feb. 10, 1997 Lennox, S.A
LR-15249 Feb. 7, 1997 The AppleTree Companies, Inc.
LR-15248 Feb. 6, 1997 Linda M. King
LR-15247 Feb. 6, 1997 Ronald J. Mitchellette and Robert Hardy
LR-15246 Feb. 6, 1997 Ezra Chammah, Stanley Elbaum, David Schaen, Ira Gorman, and Angelo Petrotto
LR-15245 Feb. 5, 1997 Thomas Warde
LR-15244 Feb. 4, 1997 J.W. Korth & Co. and James Wilder Korth
LR-15243 Feb. 3, 1997 Silicon Graphics, Inc.
LR-15242 Feb. 3, 1997 David E. Freitag
LR-15241 Feb. 3, 1997 Ben Bush Investment Management, Inc
LR-15240 Feb. 3, 1997 Nicholas J. Pace
LR-15239 Feb. 3, 1997 One Naples Securities, Inc. and James Zimmerman
LR-15238 Jan. 31, 1997 Robert C. White
LR-15237 Jan. 31, 1997 Charles O. Huttoe
LR-15236 Jan. 30, 1997 Michael Levine
LR-15235 Jan. 30, 1997 Citi Financial Services, Citi Corp Realty Partners IV, Richard Thomas Mandell, Mark Morgenlender, and Mark Barquera and Mark Cabrerro
LR-15234 Jan. 30, 1997 Martin Kaiden and Martin Kaiden Company, Inc.
LR-15233 Jan. 30, 1997 Richard P. Brown
LR-15232 Jan. 30, 1997 Telecom Marketing, Inc., Telecom Industries, Inc., Midas Media, Inc., Brixel, Inc., and John Field, IV
LR-15231 Jan. 30, 1997 Richard L. Arnold
LR-15230 Jan. 29, 1997 Jay Marcus
LR-15229 Jan. 28, 1997 Mustang Development Corporation, Tower Operating Company, Neal B. Stein, Cary S. Greene, and Samuel Embras, Jr.
LR-15228 Jan. 28, 1997 Alexander Charles Fuentes
LR-15227 Jan. 28, 1997 Joseph Cusimano
LR-15226 Jan. 23, 1997 Eugene R. Valentine
LR-15225 Jan. 22, 1997 Gary W. Berus and Ronald W. Harper
LR-15224 Jan. 22, 1997 William P. Dillon
LR-15223 Jan. 22, 1997 Jacob Adoni and Victor Douenias
LR-15222 Jan. 21, 1997 Ellis Deyon
LR-15221 Jan. 21, 1997 Thomas Alger and William Mylett
LR-15220 Jan. 17, 1997 Cecil H. Suter
LR-15219 Jan. 17, 1997 Twenty-First Century, Capital Link Holding, Shields, Mariarossi, Marketing Concepts Group, Inc., I-Net Holdings, Inc., Michael Coyne, Apex Marketing, Inc., Capital Link, Inc., Frontline Consulting, Inc. and Twenty-First Century Connection, LP.
LR-15218 Jan. 17, 1997 Nicholas A. Rudi and Public Capital Advisors, Inc.
LR-15217 Jan. 16, 1997 Concept Capital Fund, Ltd., and Multinational Fund Management, Ltd.
LR-15216 Jan. 16, 1997 Robert Albert Merrifield
LR-15215 Jan. 15, 1997 Eugene D. Derry
LR-15214 Jan. 15, 1997 Mark Anthony and Michelle Suppes and Suppes Securities, Inc.
LR-15213 Jan. 15, 1997 RBF International, Inc., and Kenneth P. D'Angelo
LR-15212 Jan. 9, 1997 James S. Faller II
LR-15211 Jan. 9, 1997 Joseph P. Galluzzi
LR-15210 Jan. 9, 1997 Harold Goldstein and Robert Singleton
LR-15209 Jan. 8, 1997 Arie From
LR-15208 Jan. 6, 1997 Milton Weinger
LR-15207 Jan. 6, 1997 Cecil H. Suter
LR-15206 Jan. 6, 1997 Matthew E. Klenovic and Thomas R. Yearms
Amendment Release LR-15206A: Matthew E. Klenovic, Thomas R. Yearms, Christopher P. Veltmann. May 14, 1997
LR-15205 Jan. 2, 1997 Michael Anthony Chmiel
LR-15204 Jan. 2, 1997 Ronald C. Black
LR-15203 Jan. 2, 1997 Harry C. Morgan, John G. Martines, and John F. Walsh

 

http://www.sec.gov/litigation/litreleases/litrelarchive/litarchive1997.shtml

Modified: 10/16/2014