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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


Modified: 10/02/2002