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Administrative Proceedings: January 6 – March 31, 1999

Release No. Date Respondents
33-7663 Mar. 31, 1999 John E. Thorn, Jr. and Thorn Welch & Co., Inc., formally known as Thorn, Alvis, Welch, Inc.;
33-7662 Mar. 31, 1999

Eugene J. Yelverton, Jr.

34-41228 Mar. 30, 1999

Robert Mitchell and Gary Mitchell

34-41227 Mar. 30, 1999

Theodore Heitzman

34-41225 Mar. 30, 1999

Peter W. Zent and Michael A. Cornblum

34-41224 Mar. 30, 1999

Kidder, Peabody & Co.. Inc.; 

34-41221 Mar. 29, 1999

Golf Ventures, Inc.

34-41205 Mar. 23, 1999

Lawrence M. Knapp

34-41202 Mar. 23, 1999

Roger Rees, Former President of Buckhead Financial Corporation

34-41198 Mar. 22, 1999

Gerard Burns

34-41197 Mar. 22, 1999

Miron Leshem

34-41190 Mar. 19, 1999

Ernest J. Olde, Stanley A. Snider and Daniel D. Katzman

34-41183 Mar. 18, 1999

Eugene K. Laff, Stanley Aslanian, Jr., and Lawrence Caito

34-41182 Mar. 18, 1999

Jeffrey L. Streich

34-41181 Mar. 18, 1999

Robert S. Barton, CPA

34-41179 Mar. 17, 1999

Brian E. Farley

34-41178 Mar. 17, 1999

Daniel L. Koehler

34-41156 Mar. 11, 1999

Interstate Transfer Co. and Janis A. Patterson

34-41166 Mar. 12, 1999

Larry E. Muller

34-41165 Mar. 12, 1999

Joel L. Hurst

34-41155 Mar. 11, 1999

Charles Stember

34-41154 Mar. 11, 1999

Gerard W. King

34-41146 Mar. 8, 1999

Jeffrey L. Harfst, CPA, William R. Hebel and Joseph E. Muehl

IA-1793 Mar. 10, 1999

Robert J. Smith

34-41145 Mar. 8, 1999

Dean Witter Reynolds Inc., Henry L. Auwinger, and Dennis W. Peterson

34-41144 Mar. 5, 1999

Andrew L. O'Connell

34-41129 Mar. 3, 1999

R. Scot Rubel

33-7652 Mar. 5, 1999

Eugene Bilotti

34-41134 Mar. 3, 1999

Rodney W. Helm

34-41133 Mar. 3, 1999

Randal Y. Stevens

34-41132 Mar. 3, 1999

Robert D. Sichta

34-41131 Mar. 3, 1999

Robin Heiney

34-41125 Mar. 1, 1999

Robert Cedrone

34-41097 Feb. 24, 1999

Sharon Longview, Christie Rockwood, Vicki Kranawetter, and Luther Dale Robinson

34-41096 Feb. 24, 1999

Sunrise Medical Inc.

33-7650 Feb. 26, 1999

TKO International, Inc. and Leonard A. Turano

34-41102 Feb. 24, 1999

Scott P. Flynn and Strategic Network Development, Inc.

34-41101 Feb. 24, 1999

RCG Capital Markets Group, Inc. and Arthur Max Ramras

33-7643 Feb. 24, 1999

Hastings Communications

34-41065 Feb. 17, 1999

James V. Pannone

34-41061 Feb. 17, 1999

Barrett R. Rochman

34-41043 Feb. 11, 1999

Micro Component Technology, Inc., DuaneAug. Wille, CPA, Steven David Turner, Jeff Allen Stewart, and Daniel James Hill

34-41042 Feb. 11, 1999

Stephen J. McErlain

34-41040 Leech Financial Corp.; Feb. 10, 1999

Comstock Partners, L.L.C., Gelber Securities, Inc., and Bettinger &

34-41039 Feb. 10, 1999

Madison Group, Inc.

34-41038 Co., P.A.; Feb. 10, 1999

Miguel A. Cabrera, Jr. and M.A. Cabrera &

34-41037 Feb. 10, 1999

Anthony J. Gentile

34-41036 Feb. 10, 1999

Republic New York Securities Corporation and James Edward Sweeney

34-41035 Feb. 10, 1999

Joseph W. Pellechia

34-41031 Feb. 9, 1999

Randy Depoister

34-41024 Feb. 8, 1999

Marsh Block & Co., Inc., Alfred G. Block, Kenneth L. Marsh, and Jeffrey M. Miller; 

34-41020  Feb. 3,1999

Laguna Financial Corporation, McGlone & Co., Phoenix Financial Services Corp., Multi Spectrum Investing Corporation, and E.C. Capital Ltd.;

34-41012 Feb. 2, 1999

Donnkenny, Inc.

34-40987 Jan. 28, 1999

James Bogner, CPA

34-40986 Jan. 28, 1999

James C. Morris

34-40984 Jan. 27, 1999

Randall W. Nelson

34-40977 Jan. 26, 1999

Steven R. Schaefer and AMPG, Inc.

34-40966 Jan. 22, 1999

RichardMar.ese

34-40965 Jan. 22, 1999

William Masucci

34-40964 Jan. 22, 1999

Eric Monchecourt

34-40958 Jan. 21, 1999

Tony Fiorino

33-7632 Jan. 21, 1999

Global Information Services, Inc., d/b/a Investment Hotlines and James E. Grady

40952 Jan. 15, 1999

Frank E. Stephan, C.P.A.

7630 Jan. 14, 1999

Leifer Capital, Inc., Jeffrey Leifer, and David Leifer

34-40948 Jan. 14, 1999

Allegheny Financial Programs, Inc., and Atlantic-Pacific Capital, Inc.

40945 Jan. 14, 1999

PricewaterhouseCoopers LLP

34-40939 Jan. 13, 1999

Gordon C. Eckstein

34-40938 Jan. 13, 1999

Christopher Mark Craib

34-40937 Jan. 13, 1999

Livent Inc.

33-7626 Jan. 11, 1999

John E. Backlund, John H. Hankins, Howard L. Peterson, and John G. Guffey

33-7625 Jan. 11, 1999

Craig S. Vanucci and Brian K. Andrew

34-40930 Jan. 11, 1999

William P. Heenan

34-40929 Jan. 11, 1999

Warburg Dillon Read LLC, Michael R. Antolini, Stephen D. Murphy, David S. Rothman and Joel I. Zweig

34-40928 Jan. 11, 1999

Tucker Anthony Inc.

34-40927  Jan. 11, 1999

Spear Leeds & Kellogg, L.P., Michael J. Ling, James P. Morris, John J. Quigley, and Eric J. Scherzer;

34-40926 Jan. 11, 1999

Sherwood Securities Corp., Brian J. Deegan, Richard M. Marino, Edward G. Schmitz, and David M. Zitman

34-40925 Jan. 11, 1999

Salomon Smith Barney Inc., Glenn Y. Blitzer, Barry J. Dusti, and George C. Ross, Jr.

34-40924 Jan. 11, 1999  

Salomon Smith Barney Inc.

34-40923 Jan. 11, 1999

Robinson-Humphrey Company, LLC

34-40922  Jan. 11, 1999

Raymond James & Associates, Inc., Thomas J. Dudenhoefer, Timothy J. Kane;

34-40921 Jan. 11, 1999

Prudential Securities Inc., Michael T. Burke, Jr., Joseph G. Candela, Robert D. Sprotte

34-40920 Jan. 11, 1999

Piper Jaffray Inc., and Stacey R. Rickert

34-40919 Jan. 11, 1999

Richard A. Bruno, Peter F. Comas, Robert D. Coppola, Gerard Kane, Joseph J. Palma, Arthur A. Raiola, Joseph H. Raiola, and Reuben G. Taub

34-40918 Jan. 11, 1999

CIBC Oppenheimer Corp., and William G. Clark, Jr.

34-40917 Jan. 11, 1999

Olde Discount Corp., Jack G. Monopoli, Frank W. Schwarz, III, and John F. Watson, Jr.

34-40916  Jan. 11, 1999

Morgan Stanley & Co., Inc., Peter W. Ferriso, Jr. and Robert S. Ranzman;

34-40915 Jan. 11, 1999

Merrill Lynch, Pierce, Fenner & Smith Inc.;

34-40914  Jan. 11, 1999

Mayer & Schweitzer, Inc., Robert Burns, and Christopher D. Colgan;

34-40913 Jan. 11, 1999

Lehman Brothers Inc.

34-40912 Jan. 11, 1999

Legg Mason Wood Walker, Inc.

34-40911 Jan. 11, 1999

Jefferies & Company, Inc.;

34-40910 Jan. 11, 1999

J.P. Morgan Securities, Inc., Donald A. Dunworth, Mark A. Gallagher and David J. Mottes

34-40909 Jan. 11, 1999

Herzog, Heine, Geduld, Inc., Ronald F. Cullen, Jr. and Bradley Zipper

34-40908  Jan. 11, 1999 Hambrecht & Quist LLC and Edward L. Albert; 
34-40907  Jan. 11, 1999

Gruntal & Co., L.L.C.;

34-40906  Jan. 11, 1999

Donaldson, Lufkin & Jenrette Securities Corporation, Lawrence H. Kurtz;

34-40905 Jan. 11, 1999

Dean Witter Reynolds, Inc.

34-40904 Jan. 11, 1999

Credit Suisse First Boston Corporation

34-40903 Jan. 11, 1999

SG Cowen Securities Corporation, Kennedy M. Buckley, David D. Dube, Peter M. Gilfillan, John P. Mottes, and Richard S. Striefler

34-40902  Jan. 11, 1999

Cantor Fitzgerald & Co.;

34-40901  Jan. 11, 1999

Bear, Stearns & Co., Inc. and Philip D. Zeifer;

34-40900 Jan. 11, 1999

Nasdaq Market Makers

34-40891 Jan. 7, 1999

Euro-Atlantic Securities, Inc., John T. Madden, Brian A. Schmidt, Darlan E. Gordon, John T. Madden, William Avent, and John Aristotle Dilworth

34-40899 Jan. 7, 1999

Alpha Tech Stock Transfer Trust, Greenfield Fund, Inc., Manor Investment Funds, Inc. and United Stock Transfer, Inc.

34-40895 Jan. 7, 1999

Corporate Planners, Inc., CSJ Limited Liability Company, Davidson Trust Co., Ivy Mackenzie Services Corp., and National Stock Transfer and Accounting, Inc.

34-40892  Jan. 7, 1999

H.J. Meyers & Co., Inc. and Tobin J. Senefeld;

34-40890 Jan. 7, 1999

Joel Pensley

33-7621 Jan. 6, 1999

Jean Costanza

http://www.sec.gov/litigation/admin/adm1q99.shtml


Modified: 10/11/2002