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


Litigation Releases 
Admin Proceedings 
Fair Funds 
Investigation Reports 
Commission Opinions 
Cooperation Agreements 
Trading Suspensions 
Amicus Briefs 
Appellate Briefs 
Rules of Practice 

  ALJ

  Divisions

Administrative Proceedings: January 3 – March 31, 2003

Release No. Date Respondents
34-47601 Mar. 31, 2003 Niko G. Efstathiou
34-47597 Mar. 28, 2003 J.P. Bolduc, Brian J. Smith, C.P.A., Richard N. Sukenik, C.P.A., Philip J. Ryan III, Constantine L. Hampers, A. Miles Nogelo, and Robert W. Armstrong III, C.P.A.
Release No.: AAER-1746
34-47589 Mar. 28, 2003 Robert L. Bentley
Release No.: IA-2120
34-47585 Mar. 27, 2003 First Fidelity Securities
33-8215 Mar. 27, 2003 J.W. Barclay & Co., Inc., John A. Bruno, Michael J. Wills, Edgar B. Alcan, Emmanuel P. Cube, Mayer Dallal, Danoo Noor, Sr., Emanuele A. Scarso, Michael B. Scott
Release No.: 34-47581
34-47580 Mar. 27, 2003 Timothy J. Pinchin
34-47579 Mar. 27, 2003 Daniel C. Sanders
34-47574 Mar. 26, 2003 James Reuben Burton, Jr.
Release No.: IA-2118
33-8211 Mar. 20, 2003 J.W. Barclay & Co., Inc., John A. Bruno, Michael J. Wills, Edgar B. Alacan, Emmanuel P. Cube, Mayer Dallal, Danoo Noor, Sr., Emanuele A. Scarso, and Michael B. Scott
34-47528 Mar. 18, 2003 Household International, Inc.
34-47524 Mar. 18, 2003 BGI Inc.
34-47520 Mar. 18, 2003 Sharad Kapoor
34-47519 Mar. 18, 2003 Discovery Capital Group, Inc. and Erik Walsh
34-47518 Mar. 18, 2003 John Abresch
33-8209 Mar. 18, 2003 Jason T. Frazee
Release No. 34-47522
33-8208 Mar. 18, 2003 Leonard Sheehan
Release No. 34-47521
34-47512 Mar. 17, 2003 Nano World Projects Corporation
33-8204 Mar. 17, 2003 Michael Earl Hill
Release No. 34-47509
34-47495 Mar. 13, 2003 Nicholas J. Julian, Jr.
33-8203 Mar. 13, 2003 J.W. Barclay & Co., Inc., John A. Bruno, Michael J. Wills, Edgar B. Alacan, Emmanuel P. Cube, Mayer Dallal, Danoo Noor, Sr., Emanuele A. Scarso, and Michael B. Scott
Release No. 34-47506
33-8202 Mar. 13, 2003 J.W. Barclay & Co., Inc., John A. Bruno, Michael J. Wills, Edgar B. Alacan, Emmanuel P. Cube, Mayer Dallal, Danoo Noor, Sr., Emanuele A. Scarso, and Michael B. Scott
Release No. 34-47498
33-8201 Mar. 13, 2003 J.W. Barclay & Co., Inc., John A. Bruno, Michael J. Wills, Edgar B. Alacan, Emmanuel P. Cube, Mayer Dallal, Danoo Noor, Sr., Emanuele A. Scarso, and Michael B. Scott
Release No. 34-47497
33-8200 Mar. 13, 2003 J.W. Barclay & Co., Inc., John A. Bruno, Michael J. Wills, Edgar B. Alacan, Emmanuel P. Cube, Mayer Dallal, Danoo Noor, Sr., Emanuele A. Scarso, and Michael B. Scott
Release No. 34-47496
34-47490 Mar. 12, 2003 Pattinson Hayton
Release No.: AAER-1740
34-47487 Mar. 12, 2003 Peter Matus
34-47486 Mar. 12, 2003 Peter Meyer Kolben
34-47475 Mar. 10, 2003 Hexagon Consolidated Companies of America, Inc.
34-47474 Mar. 7, 2003 Barbara L. Berry, CPA
34-47473 Mar. 7, 2003 W. Dale McGhie, CPA
34-47462 Mar. 7, 2003 Andrew L. Pope
34-47454 Mar. 6, 2003 Acrodyne Communications, Inc.
34-47442 Mar. 4, 2003 Lernout & Hauspie Speech Products, N.V.
34-47440 Mar. 4, 2003 Kerry Kirby
34-47439 Mar. 4, 2003 Truserv Corporation
34-47438 Mar. 4, 2003 W.J. Nolan & Co., Inc.
33-8199 Mar. 4, 2003 Judy M. Rupay and Dixon R. Holman
Release No. IA-2113
33-8198 Feb. 28, 2003 Jason LeDay
Release No. 34-47426
34-47427 Feb. 28, 2003 Jeffrey M. Kalina, CPA
34-47416 Feb. 27, 2003 J.P. Bolduc, Brian J. Smith, C.P.A., Richard N. Sukenik, C.P.A., Philip J. Ryan III, Constantine L. Hampers, A. Miles Nogelo, and Robert W. Armstrong III, C.P.A.
Release No. AAER 1724
33-8197 Feb. 27, 2003 A.S. Goldmen Inc.,Anthony J. Marchiano,Stuart E. Winkler,John T. Diasabeyagunawardena, (a.k.a. John Abbey) John P. Delcioppo, Christopher M. Delcioppo, Vincent J. Lia, Duane P. Taylor, and Charles Trento
Release No. 34-47411
IA-2112 Feb. 26, 2003 Stevin R. Hoover and Hoover Capital Management, Inc.
33-8196 Feb. 26, 2003 Glen Andrew Folck
Release No. 34-47404; AAER 1721
34-47405 Feb. 26, 2003 Enterasys Networks, Inc. and Aprisma Management Technologies, Inc.
Release No. AAER 1722
34-47403 Feb. 25, 2003 Kyle G. Kennedy
34-47401 Feb. 25, 2003 Eduardo Villar
34-47399 Feb. 25, 2003 Eric Pereman
34-47398 Feb. 25, 2003 Igor Fleyshmakher a/k/a Isaac Flash a/k/a Isaac Marks
33-8195 Feb. 21, 2003 Mathew A. Matz
33-8194 Feb. 21, 2003 Robert E. Glazewski
34-47362 Feb. 13, 2003 First Fidelity Securities Group
33-8192 Feb. 13, 2003 Gas & Oil Technologies, Inc. and Ingrid Aliet-Gass
Release No.: AAER-1717
33-8191 Feb. 13, 2003 Glen Morinaka, CPA
Release No.: AAER-1716
34-47343 Feb. 11, 2003 Raylen Parra
34-47341 Feb. 10, 2003 Harry P. Adler
34-47340 Feb. 10, 2003 Richard C. Tyrer
34-47339 Feb. 10, 2003 Donald F. Marcus
34-47334 Feb. 10, 2003 William E. Kraemer
IA-2108 Feb. 6, 2002 Paul J. House and Brandon R. Moore
34-47329 Feb. 6, 2003 Albert Terranova
34-47327 Feb. 6, 2003 Aaron Elbogen
34-47326 Feb. 6, 2003 Heartland Securities Corporation
34-47325 Feb. 6, 2003 Michael McCarty
34-47324 Feb. 6, 2003 Moishe Zelcer
34-47323 Feb. 6, 2003 Jeffrey A. Citron
34-47322 Feb. 6, 2003 Erik Maschler
34-47321 Feb. 6, 2003 Sheldon Maschler
34-47313 Feb. 5, 2003 Peter C. Lybrand
33-8189 Feb. 3, 2003 John L. Milling, Esq.
34-47303 Jan. 31, 2003 Bryan R. Brush
34-47299 Jan. 31, 2003 Arjun Sekhri
Release No. IA-2105
34-47292 Jan. 31, 2003 Continental Stock Transfer and Trust Company, and Michael Nelson
34-47291 Jan. 31, 2003 Ives Health Company, Inc.
34-47286 Jan. 30, 2003 American Rice, Inc., Joseph A. Schwartz, Jr., Joel R. Malebranche and Allen W. Sturdivant
Release No. AAER 1710
33-8187 Jan. 29, 2003 Stanslav Kaminsky
Release No. 34-47284
33-8184 Jan. 29, 2003 Harvey M. Burstein and James D. Loeffelbein
Release No. 34-47272
34-47270 Jan. 28, 2003 Lyndell F. Parks
34-47269 Jan. 28, 2003 Wayne F. Gorsek
34-47266 Jan. 28, 2003 Dennis S. Herula
34-47261 Jan. 27, 2003 Phillip E. Harlow, CPA
Release No.: AAER-1706
34-47260 Jan. 27, 2003 Robert J. Gluck
Release No.: AAER-1705
34-47256 Jan. 27, 2003 Glenn R. Ohlhauser, C.A.
Release No.: AAER-1703
33-8181 Jan. 24, 2003 Robert A. Papariella
Release No.: 34-47254
34-47255 Jan. 24, 2003 Harvest Financial Corporation and Frank D. Ruscetti
34-47247 Jan. 24, 2003 Eric Peremen
34-47246 Jan. 24, 2003 Igor Fleyshmakher a.k.a. Isaac Flash a.k.a. Isaac Marks
34-47242 Jan. 24, 2003 Monica Lynn Coleman
Release No. IA-2102
33-8179 Jan. 23, 2003 Steven W. Bingaman and Ira James Blackey
Release No.: 34-47238
33-8178 Jan. 23, 2003 Steven W. Bingaman and Ira James Blackey
Release No.: 34-47237
IA-2101 Jan. 22, 2003 Fred Albert Schluep
34-47228 Jan. 22, 2003 Andover Brokerage, LLC, Michael Picozzi, III, Elias Schechter, and David Daily
34-47222 Jan. 21, 2003 James F. Glaza
33-8175 Jan. 15, 2003 Kevin H. Goldstein
Release No.: 34-47187
34-47192 Jan. 15, 2003 John W. Duffell III
34-47183 Jan. 14, 2003 Jean B. Leclercq, Frederick J. Shapiro, and Kip Marsique
34-47173 Jan. 13, 2003 J. Patrick Kisor
Release No.: IA-2100
34-47168 Jan. 13, 2003 John J. Canepa
34-47167 Jan. 13, 2003 Anika Therapeutics, Inc., J. Melville Engle and Sean F. Moran
IA-2099 Jan. 13, 2003 Robert C. Sears
34-47154 Jan. 10, 2003 Mark Schultz
IA-2098 Jan. 10, 2003 Gordon J. Rollert
34-47145 Jan. 9, 2003 Salman Shariff
Release No.: IA-2096
34-47144 Jan. 9, 2003 Robertson Stephens, Inc.
34-47121 Jan. 3, 2003 David Edwards, James Edwards, Kevin Lynds and Gerald J. Stock

http://www.sec.gov/litigation/admin/adm1q03.shtml

Contact | Employment | Links | FOIA | Forms | Privacy Policy
Modified: 10/08/2004