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Administrative Proceedings: July 2 – September 28, 2001
| Release No. |
Date |
Respondents |
| 33-8021 |
Sept. 28, 2001 |
PriorityAccess, Inc., Endpoint Technologies, Inc. and Roger Shearer |
| 34-44883 |
Sept. 28, 2001 |
Robert Bruce Lohmann
Release No.: IA-1987 |
| 34-44882 |
Sept. 28, 2001 |
Lawrence P. Grady
Release No.: IC-25201 |
| 34-44881 |
Sept. 28, 2001 |
Daniel J. Murphy d/b/a Financial Picks |
| 34-44880 |
Sept. 28, 2001 |
Benefit Concepts Group, Inc. and James D. Cannon
Release No.: IA-1986 |
| IA-1985 |
Sept. 28, 2001 |
Chris Woessner
Release No.: 3-10607 |
| IA-1984 |
Sept. 28, 2001 |
Duff & Phelps Investment Management Co., Inc.
Release Nos.: IC-25200, 3-10606 |
| IA-1983 |
Sept. 28, 2001 |
Wayne C. Stevens |
| 33-8020 |
Sept. 28, 2001 |
Kevin G. Quinn
Release No.: 34-44879 |
| 34-44877 |
Sept. 28, 2001 |
Edward Bracken and Douglas Diggins |
| 33-8019 |
Sept. 28, 2001 |
Kyle R. Kirkland
Release No.: 34-44876, IA-1982, IC-25199 |
| 33-8018 |
Sept. 28, 2001 |
Trudie D. Whitehead
Release No.: 33-44875, IA-1981, IC-25198 |
| IA-1980 |
Sept. 28, 2001 |
Western Asset Management Co. and Legg Mason Fund Adviser, Inc. |
| 34-44873 |
Sept. 28, 2001 |
George T. Helm, Jr. |
| IA-1979 |
Sept. 28, 2001 |
David F. Bellet |
| 33-8017 |
Sept. 28, 2001 |
Enrico Cortesano |
| 34-44869 |
Sept. 28, 2001 |
Rajiv Vohra |
| IA-1978 |
Sept. 27, 2001 |
Performance Analytics, Inc. and Robert P. Moseson |
| IA-1977 |
Sept. 27, 2001 |
Merrimac Advisors Company and Fredric J. French
Release No.: IC-25195 |
| IA-1976 |
Sept. 28, 2001 |
James S. Saltzman |
| 33-8015 |
Sept. 27, 2001 |
Royal Bank of Canada
Release No. 34-44865 |
| 33-8014 |
Sept. 27, 2001 |
Rauscher Pierce Refsnes, Inc. now known as Dain Rauscher Incorporated |
| 33-8013 |
Sept. 27, 2001 |
Rauscher Pierce Refsnes, Inc. now known as Dain Rauscher Incorporated
Release No.: 34-44864
See also 33-8014 and 33-8015 |
| 34-44860 |
Sept. 27, 2001 |
Paul S. Jurewicz |
| 34-44859 |
Sept. 27, 2001 |
Joseph H. Kiser |
| 34-44858 |
Sept. 27, 2001 |
Charles K. Springer, CPA; Robert S. Haugen, CPA; Haugen, Springer & Co., PC |
| 33-8011 |
Sept. 26, 2001 |
Michael D. Young
Release No.: 34-44851 |
| 34-44842 |
Sept. 25, 2001 |
Gunther International, Ltd. |
| 33-8009 |
Sept. 25, 2001 |
Jonathan Aerospace Materials Corporation |
| 33-8006 |
Sept. 24, 2001 |
W.J. Nolan & Co. and William J. Nolan
Release No.: 34-44833 |
| 34-44835 |
Sept. 24, 2001 |
The Chase Manhattan Bank |
| 34-44821 |
Sept. 20, 2001 |
Michael E. Furr |
| 34-44817 |
Sept. 19, 2001 |
Harlan & Boettger, LLP; William C. Boettger, CPA and P. Robert Wilkinson, CPA |
| 34-44816 |
Sept. 19, 2001 |
Ralph Sanchez, CPA |
| 34-44815 |
Sept. 19, 2001 |
Regina Fernandez |
| 34-44814 |
Sept. 19, 2001 |
Madera International, Inc. |
| 34-44806 |
Sept. 17, 2001 |
Robert M. Fuller |
| 34-44805 |
Sept. 17, 2001 |
Charles F. Morgan |
| 34-44786 |
Sept. 12, 2001 |
Adam E. Peck |
| 34-44785 |
Sept. 12, 2001 |
Raffi T. King |
| 34-44784 |
Sept. 12, 2001 |
Baker Hughes Incorporated |
| 33-8003 |
Sept. 10, 2001 |
George Kelly Moore, CPA
Release No. 34-44781 |
| 33-8002 |
Sept. 10, 2001 |
Louis P. Reames, Sr.
Release No.: 34-44780 |
| 33-8001 |
Sept. 10, 2001 |
Walter T. Reeder
Release No.: 34-44799 |
| 34-44782 |
Sept. 10, 2001 |
Glen T. Vittor |
| 34-44775 |
Sept. 7, 2001 |
Jon Martin Carlson and Carlson National Brokers, Inc. |
| 34-44774 |
Sept. 7, 2001 |
D. Dean Pearson |
| 34-44773 |
Sept. 7, 2001 |
John Telford Snipes |
| 34-44765 |
Sept. 5, 2001 |
Carl Albano |
| 34-44764 |
Sept. 5, 2001 |
Indus International, Inc. |
| 34-44761 |
Sept. 4, 2001 |
Salvatore T. Marino, CPA |
| 34-44751 |
Aug. 29, 2001 |
Alvis Colin Smith, Jr. |
| 34-44711 |
Aug. 16, 2001 |
Leslie D. Crone, CPA |
| IA-1968 |
Aug. 15, 2001 |
Charles K. Seavey and Alexander Lushtak |
| 33-8000 |
Aug. 14, 2001 |
Joan L. Fleener, JMC International, Inc., Carolla S.R. Hopkins and Northstar, Inc. |
| 34-44685 |
Aug. 13, 2001 |
Roger M. Taft |
| 34-44684 |
Aug. 13, 2001 |
Richard H. Steinberg |
| 34-44679 |
Aug. 10, 2001 |
Andrew S. Parlin
Release No.: IA-1967 |
| 34-44678 |
Aug. 10, 2001 |
Angelo Iannone |
| 34-44677 |
Aug. 10, 2001 |
ABN AMRO Incorporated |
| IA-1966 |
Aug. 10, 2001 |
Oechsle International Advisors L.L.C. |
| IA-1965 |
Aug. 10, 2001 |
David Clark Stewart |
| IA-1964 |
Aug. 10, 2001 |
Jeffrey L. Grayson |
| IA-1963 |
Aug. 10, 2001 |
Capital Consultants |
| IA-1962 |
Aug. 10, 2001 |
Barclay L. Grayson |
| IA-1961 |
Aug. 9, 2001 |
Charles G. Dyer, Hawthorne Investment Trust, Hawthorne Associates, Inc. |
| 34-44671 |
Aug. 9, 2001 |
John E. Brinker, Jr. and Gary J. Bentz |
| 33-7998 |
Aug. 3, 2001 |
Harvey M. Burstein and James D. Loeffelbein |
| 34-44650 |
Aug. 3, 2001 |
John K. Boyd, III |
| IA-1959 |
Aug. 3, 2001 |
Donna L . Wood |
| 34-44634 |
Aug. 1, 2001 |
Roger A. Rawlings |
| 34-44633 |
Aug. 1, 2001 |
MAX Internet Communications Inc. |
| IA-1957 |
Jul. 31, 2001 |
Dana C. Giacchetto and The Cassandra Group, Inc. |
| 34-44613 |
Jul. 30, 2001 |
BankAmerica Corp. (now known as Bank of America Corp.) |
| 34-44606 |
Jul. 27, 2001 |
Jeffrey M. Yonkers, CPA |
| 33-7997 |
Jul. 27, 2001 |
Sage Advisory Services LLC, as successor to Standard Asset Group LP, and Standard Group Holdings LLC, as successor to Standard Asset Group, Inc. |
| 34-44591 |
Jul. 26, 2001 |
Dean C. Turner |
| 34-44590 |
Jul. 26, 2001 |
Joseph M. Salvani and Mainstreetipo.com, Inc. |
| 34-44587 |
Jul. 24, 2001 |
Judah Wernick |
| 34-44586 |
Jul. 24, 2001 |
Leonard B. Greer |
| 34-44585 |
Jul. 23, 2001 |
Richard S. Chancis, Michael J. Anton, Antonio R. Campos, Luis R. Loza, and Wayne W. Schumacher |
| IA-1953 |
Jul. 20, 2001 |
Founders Asset Management LLC and Bjorn K. Borgen |
| IA-1952 |
Jul. 20, 2001 |
Owen-Joseph Asset Management Corp. and William O. Foster |
| 34-44581 |
Jul. 20, 2001 |
Richard P. Macchiarulo, CPA |
| 34-44578 |
Jul. 19, 2001 |
Stephen G. Donahue
Release No. IA-1951 |
| 34-44577 |
Jul. 19, 2001 |
Ellsworth Wayne McLaws and Alan Clagg |
| 33-7996 |
Jul. 18, 2001 |
Am-Pac International, Inc.
Release No. 34-44566 |
| 34-44565 |
Jul. 18, 2001 |
Mark Goldberg, C.P.A. |
| 33-7995 |
Jul. 18, 2001 |
John Lerlo
Release No. 34-44564 |
| 33-7994 |
Jul. 18, 2001 |
American Bank Note Holographics, Inc.
Release No. 34-44563 |
| 34-44531 |
Jul. 10, 2001 |
Uniquest, Inc. |
| 34-44511 |
Jul. 3, 2001 |
Secure Sign, Inc. (formerly Yourbankonline.com), Pakie V. Plastino, and Williams L. Butcher, CPA |
| 34-44510 |
Jul. 3, 2001 |
Secure Sign, Inc. (formerly Yourbankonline.com), Pakie V. Plastino, and Williams L. Butcher, CPA |
| 34-44501 |
Jul. 2, 2001 |
James T. Rush |
| 34-44500 |
Jul. 2, 2001 |
Scott K. Barton, CPA |
http://www.sec.gov/litigation/admin/adm3q01.shtml
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