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Administrative Proceedings: January 2 – March 31, 2004

Release No. Date Respondents
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/adm1q04.shtml

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Modified: 02/09/2005