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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

Administrative Proceedings: January 3 – March 31, 1997

Modified: 01/04/2002