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Administrative Proceedings: January 3 – March 31, 1997

Release No. Date Respondents
3438454 Mar. 31, 1997 Brooklyn Capital & Securities Trading, Inc., and David Rybstein
33-7409 Mar. 27, 1997 Sheldon S. Traube and George F. Sweeney
34-38441 Mar. 26, 1997 Robert C. White
IA-1620 Mar. 17, 1997 Robert Pierce and Carrie L. Williams Pierce
34-38436 Mar. 25, 1997 Michael P. Sweeney
34-38433 Mar. 24, 1997 Matt Matson
33-7406 Mar. 24, 1997 Peter Tosto, Investor Relations, Inc.
34-38425 Mar. 20, 1997 Joseph Riccio
34-38424 Mar. 20, 1997 Michael J. Markowski
IA-1622 Mar. 18, 1997 H.P. Hambrick Co., Inc. and Henry P. Hambrick
IA-1621 Mar. 17, 1997 Vigil Asset Management Group, Inc., and Thomas Batterman
34-38395 Mar. 13, 1997 Duane V. Midgley
33-7402 Mar. 13, 1997 Kevin N. Campbell
33-7401 Mar. 12, 1997 Merle S. Finkel
34-38382 Mar. 11, 1997 Jon D. Aldrich
34- 38368 Mar. 5, 1997 Pace American Group, Inc.
34-38367 Mar. 5, 1997 Garcis U.S.A., Inc.
34-38361 Mar. 4, 1997 Michael Anthony Pierce
34-38359 Mar. 4, 1997 Robert Jarkow
34-38358 Mar. 4, 1997 John Thomas Royall
IC-22535 Feb. 28, 1997 Anthony J. Negus
34-38347 Feb. 27, 1997 David Schaen
34-38345 Feb. 27. 1997 Twenty First Century Health, Inc.
34-38343 Feb. 27, 1997 David Gore, Robert Puetz, William McClure, Robert P. Murphy
33-7397 Feb. 26, 1997 DeSoto Broadcasting, Inc. and Danford Sawyer, Jr.
34-38335 Feb. 26, 1997 David P. Schwartz
34-38337 Feb. 26, 1997 Selheimer & Co. and Perry A. Selheimer
34-38325 Feb. 24, 1997 Norman Gelman
34-38327 Feb. 24, 1997 Vincent Poliseno
33-7395 Feb. 21, 1997 M. Rimson & Co., Inc., Moshe Rimson, Jonathan Mende & Associates, Inc., Jonathan Aurielio Mende, Todd Levaughn Hickman, Christian Jean-Marie Girodet, Mitchell Aguirre, Claudio Peter Iodice, IIIAlex David Shindman, Yevgeny G. Shkilko, David Feyjin and Roger Dantoni, III
34-38316 Feb. 20, 1997 Philip Greifeld
IA-1615 Feb. 18, 1997 Kent A. Ahrens
34-38301 Feb. 18, 1997 Linda A. Hodge
34-38297 Feb. 18, 1997 William D. Kyle
34-38300 Feb. 18, 1997 Milton Weinger
33-7389 Feb. 18, 1997 Alan D. Rosskamm
34-38263 Feb. 11, 1997 Marsh Block & Co., Inc., Alfred G. Block, Kenneth L. Marsh, and Jeffrey M. Miller
IA-1614 Feb. 10, 1997 Oakwood Counselors, Inc. and Paul J. Sherman
34-38264 Feb. 11, 1997 Howard F. Rubin
34-38250 Feb. 6, 1997 Harry T. Couch
34- 38249 Feb. 6, 1997 Daniel C. Langford, Daniel C. Langford, Jr., Stephanus A. de Kockand and Peter P. Irby
33-7387 Feb. 6, 1997 William T. Manak
34-38258 Feb. 7, 1997 Lyle Moss
34- 38260 Feb. 10, 1997 Twenty First Century Health, Inc.
34-38239 Febuary 5, 1997 Frederick R. Grant
IA-1612 Jan. 31, 1997 Benjamin Franklin Bush, III and Ben Bush Investment Management, Inc.
33-7385 Jan. 30, 1997 David L. Arnold
34-38220 Jan. 30, 1997 Jon Edelman
34-38227 Feb. 3, 1997 James Zimmerman and Old Naples Securities, Inc.
34-38228 Feb. 3, 1997 Jerry Silva
34-38217 Jan. 29, 1997 David Keery
34-38210 Jan. 28, 1997 Halsey Drug Company, Inc.
IA-1611 Jan. 24, 1997 Ronald M. Zook
IA-1610 Jan. 23, 1997 Cecil H. Suter
34-38178 Jan. 16, 1997 Bernard Zelenka
34-38192 Jan. 22, 1997 Cortland First Financial Corporation, Donald S. Ames, and Frederick G. Compagni, Sr.
IA-1607 Jan. 21, 1997 Norman L. Yu & Co., Inc., and Norman L. Yu
34-38176 Jan. 16, 1997 Brian J. McCahery
34-38177 Jan. 16, 1997 Robert Albert Merrifield
33-7381 Jan. 15, 1997 Suppes Securities, Inc.
34-38171 Jan. 15, 1997 Mark Anthony and Michelle Suppes
34-38173 Jan. 15, 1997 GKN Securities Corp. and Robert H. Gladstone
34-38174 Jan. 15, 1997 Royal Alliance Associates, Inc.
C-22461 Jan. 13, 1997 Ronald V. Speaker and Janus Capital Corporation
33-7379 Jan. 13, 1997 Michael Coxon, Alan Michael Sergy, World Money Managers and World Money Securities, Inc.
34-38150 Jan. 10, 1997 National Financial Services Corporation
34-38137 Jan. 8, 1997 Republic International Corporation
34-38136 Jan. 8, 1997 Peter C. Tosto
33- 7378 Jan. 8, 1997 Carolyn Safer Kenner
34-38135 Jan. 8, 1997 David P. Schwartz
34-38122 Jan. 6, 1997 R. E. Anderson Cain
34-38121 Jan. 6, 1997 Matthew E. Klenovic

http://www.sec.gov/litigation/admin/adm1q97.shtml


Modified: 01/04/2002