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Administrative Proceedings: July 1 – September 30, 2003

Release No. Date Respondents
33-8296 Sep. 30, 2003 Timothy McCool
Release Nos.: 34-48575, AAER-1882
34-48574 Sep. 30, 2003 Rodney L. Hinkle
34-48572 Sep. 30, 2003 Larry R. Crowder and John R. Powell
34-48427A Sep. 30, 2003 Scott Alexander Gryskiewicz
34-48571 Sep. 30, 2003 Scott Miller
Release No.: AAER-1881
34-48570 Sep. 30, 2003 Adam S. Richards
Release No.: AAER-1880
IA-2178 Sep. 30, 2003 Matthew P. Brady
34-48567 Sep. 30, 2003 Shane Ferras
34-48566 Sep. 30, 2003 The Chicago Stock Exchange
34-48562 Sep. 29, 2003 Nicole M. Shkedi
34-48561 Sep. 29, 2003 Brian P. Delaney
33-8295 Sep. 29, 2003 Loren D. Pfau
Release Nos.: 34-48559, AAER-1879
IA-2177 Sep. 26, 2003 Remmington Advisors, Inc. and Kenneth Randall Ward
33-8293 Sep. 26, 2003 Warren J. Soloski
Release No.: 34-48551
34-48549 Sep. 26, 2003 Analytical Surveys, Inc.
Release No.: AAER-1875
33-8292 Sep. 25, 2003 Howard S. Singer
Release No.: 34-48548
34-48546 Sep. 25, 2003 Akorn, Inc.
Release No.: AAER-1873
34-48544 Sep. 25, 2003 Scott Simon Fraser
34-48543 Sep. 25, 2003 Thomas C. Trauger and Michael Mullen
Release No.: AAER-1872
34-48542 Sep. 25, 2003 Oliver Flanagan
Release No.: AAER-1871
34-48537 Sep. 25, 2003 Stephen Scott Lowber, CPA
Release No.: AAER-1870
34-48536 Sep. 24, 2003 Christine B. Hoberg
Release No.: AAER-1869
34-48535 Sep. 24, 2003 Charles Bayne a/k/a Charles Taylor
34-48523 Sep. 23, 2003 Cyrus Industries, Inc.
34-48517 Sep. 22, 2003 Jeffrey Carl Wigginton
Release No.: IA-2175
34-48516 Sep. 22, 2003 David Isaac Lapin
Release No.: IA-2174
33-8291 Sep. 22, 2003 Brian Wiegand
Release No.: 34-48513; AAER-1866
33-8290 Sep. 22, 2003 David Slayton
Release No.: 34-48512; AAER-1865
34-48499 Sep. 17, 2003 John DelPrince
33-8289 Sep. 17, 2003 Salvatore Piazza, James S. Labate, William F. Palla, Emmanuel Gennusso, Cary F. Cimino, Todd M. Nejaime, Kevin P. Radigan, Robert Gallo, Robert J. Dacunto, Michael P. Dacunto, Joseph P. Meduri, Vincent A. Padulo, Jr., Vito G. Padulo, John Bruzzese, Salvatore F. Ruggiero, Patrick Giglio, Irving Stitsky, Paul L. Burton, Marc I. Burton, Kenneth J. Fuina, Marc L. Weissman, Anthony P. Dinota, Jr., Facundo Ponce, Chester L. Chicosky, Lawrence M. Choiniere, William P. Burke, Michael Caso, John Catalano, Jr., George Bisnoff, Damien Douglas, Craig P. Mcguinn, II, and Mark Danieli
Release No.: 34-48497
IA-2173 Sep. 17, 2003 Louis W. Ratfield
33-8288 Sep. 16, 2003 Theodore Charles Sihpol III
Release No.: 34-48493, IA-2172, IC-26179
34-48492 Sep. 16, 2003 Jeffrey A. Conway, CPA
Release No.: AAER-1863
IA-2171 Sep. 15, 2003 Michael Batterman and Randall B.
Batterman III
34-48489 Sep. 12, 2003 Paul A. Gianamore
Release No.: IA-2170
34-48487 Sep. 12, 2003 Thomas J. Connolly
34-48485 Sep. 11, 2003 Stephen D. Price
Release No.: AAER-1861
34-48483 Sep. 11, 2003 Robert F. Fox, Karim M. Lamarti, Charles S. Pipia, Charles J. Principato, Jr., James A. Sammartano, Mark Sanfilippo, Angelo M. Scifo, Jr., Shawn J. Smith, J. Vincent Tarantino, Clyde Anthony Williams
34-48480 Sep. 11, 2003 Nvidia Corporation
Release No.: AAER-1859
33-8286 Sep. 11, 2003 Salvatore Piazza et al.
Release Nos.: 34-48479
34-48477 Sep. 11, 2003 American International Group, Inc.
Release No.: AAER-1857
34-48476 Sep. 11, 2003 Louis Lucullo
Release No.: AAER-1856
34-48475 Sep. 11, 2003 Phillip Bounsall
Release No.: AAER-1855
33-8284 Sep. 11, 2003 Brightpoint, Inc.
Release Nos.: 34-48474, AAER-1854
34-48467 Sept. 10, 2003 Xaibe, Inc. and Lowell Nicholas
34-48461 Sept. 9, 2003 Schering-Plough Corporation and Richard J. Kogan
33-8283 Sep. 8, 2003 Charles C. Campbell
Release No.: 34-48458
33-8282 Sep. 8, 2003 Hunter Adams, Jason A. Cohen, Steven M. Cohen, David Hirsch, Jonathan D. Winston, John J. Gremmo, III, James L. Bila, Christian W. Blake, Louis R. Facchini, Jr., Roberto A. Mangiarano, Joseph P. Mannino, David M. Margules, James J. Pellizzi, David M. Pesso, Michael Pugliese, Christopher J. Russo, Howard I. Weinstein, and Robert J. Winston
Release No.: 34-48457
34-48455 Sep. 8, 2003 Darius L. Lee
Release No.: IA-2169
33-8281 Sep. 5, 2003 Steven Wise and Larry Vindman
Release No.: 34-48451
33-8280 Sep. 4, 2003 Freedom Financial, Inc., Freedom Track, Inc., Freedom Financial Group, Inc., Associated Investment Management, Inc., Jon Patrick Pierce, and Gary L. Winn
Release Nos.: 34-48446, IA-2168
34-48445 Sep. 4, 2003 Raymond C. Mohr
Release No.: IA-2167
34-48441 Sep. 4, 2003 Malik Firoze
34-48440 Sep. 4, 2003 William L. Franklin
IA-2165 Sep. 4, 2003 Massachusetts Financial Services Company
34-48439 Sep. 4, 2003 William H. Goren
Release No.: IA-2166
34-48436 Sep. 4, 2003 Goldman, Sachs & Co.
34-48432 Sep. 3, 2003 Rajan Moondra
34-48427 Sep. 2, 2003 Scott Alexander Gryskiewicz
34-48419 Aug. 29, 2003 Gregory P. Waldon
34-48418 Aug. 29, 2003 Robert I. Spruill
34-48415 Aug. 27, 2003 Larry T. Osaki and Van Y. Ichinotsubo
33-8275 Aug. 25, 2003 Mark Gilbert Platt, John Wayne Ezell, and Richard M. Ohlhaber
Release No.: 34-48408
34-48404 Aug. 25, 2003 Matthew J. Benedetto
34-48403 Aug. 25, 2003 Global Telemedia International, Inc.
33-8272 Aug. 22, 2003 John F. Smart
34-48381 Aug. 20, 2003 James Hicks
33-8270 Aug. 20, 2003 Michael B. Rawdin, Hard Asset Management, Inc. and David Cohen
Release No.: 34-48380
34-48377 Aug. 20, 2003 Robert F. Broege, Jr.
34-48376 Aug. 20, 2003 Steven B. Rodd
34-48375 Aug. 20, 2003 Ihor A. "Gary" Humesky
34-48371 Aug. 20, 2003 UBS PaineWebber, Inc.
34-48370 Aug. 20, 2003 Castle Securities Corp. and Michael T. Studer
34-48369 Aug. 20, 2003 Investco, Inc.
34-48364 Aug. 19, 2003 Eknowledge Group, Inc. and Gary S. Saunders
34-48362 Aug. 19, 2003 RGW Acquisition Corporation I, RGW Acquisition Corporation II, RGW Acquisition Corporation III, RGW Acquisition Corporation IV, RGW Acquisition Corporation V, RGW Acquisition Corporation VI, RGW Acquisition Corporation VII, RGW Acquisition Corporation VIII, RGW Acquisition Corporation IX, RGW Acquisition Corporation X
IA-2160 Aug. 19, 2003 Deutsche Asset Management, Inc.
34-48224A Aug. 18, 2003 John J. Canepa, CPA
Release No.: AAER-1819A
34-48359 Aug. 18, 2003 Xaibe, Inc., Lowell Nicholas
IA-2159 Aug. 18, 2003 Louis W. Ratfield
33-8266 Aug. 15, 2003 Brian R. Cassidy
Release Nos.: 34-48354, IA-2158, IC-26150
34-48350 Aug. 15, 2003 John DelPrince
34-48349 Aug. 14, 2003 Jeffrey D. Chandler
34-48348 Aug. 14, 2003 Cyrus Industries, Inc.
34-48346 Aug. 14, 2003 Randall Jordan
34-48341 Aug. 14, 2003 Gary L. Atnip C.P.A.
Release No.: AAER-1843
34-48338 Aug. 14, 2003 Andover Brokerage, LLC, Michael Picozzi, III, Elias Schechter, and David Daily
34-48337 Aug. 14, 2003 Peter Bromberg, C.P.A.
Release No.: AAER-1842
34-48336 Aug. 14, 2003 Lehman Brothers, Inc.
34-48335 Aug. 14, 2003 SG Cowen Securities Corporation
34-48331 Aug. 13, 2003 Kevin Kirkpatrick
34-48330 Aug. 13, 2003 Steven L. Hunt, Esq.
Release No.: AAER-1840
34-48329 Aug. 13, 2003 Wendell D. Belden
Release No.: IA-2157
34-48328 Aug. 13, 2003 Richard P. Scalzo, C.P.A.
Release No.: AAER-1839
34-48326 Aug. 12, 2003 Jean-Paul Bolduc, Brian J. Smith, C.P.A., Richard N. Sukenik, C.P.A., Philip J. Ryan III, Constantine L. Hampers, A. Miles Nogelo, and Robert W. Armstrong III, C.P.A.
Release No.: AAER-1838
34-48325 Aug. 12, 2003 Jean-Paul Bolduc, Brian J. Smith, C.P.A., Richard N. Sukenik, C.P.A., Philip J. Ryan III, Constantine L. Hampers, A. Miles Nogelo, and Robert W. Armstrong III, C.P.A.
Release No.: AAER-1837
34-48311 Aug. 8, 2003 Warren Martin, CPA
Release No.: AAER-1835
34-48302 Aug. 8, 2003 Darius L. Lee
Release No.: IA-2156
34-48300 Aug. 7, 2003 Edward A. Durante
34-48296 Aug. 7, 2003 Cutter & Buck Inc.
Release No.: AAER-1832
IA-2155 Aug. 6, 2003 Ryan J. Fontaine
34-48288 Aug. 5, 2003 Richard P. Callipari and Thomas J. Connolly
34-48282 Aug. 5, 2003 SRI/Surgical Express, Inc., Wayne R. Peterson, and James T. Boosales
Release No.: AAER-1829
34-48270 Aug. 1, 2003 Stephen H. Thomas
34-48269 Aug. 1, 2003 Robert Douglas Williams
34-48268 Aug. 1, 2003 Tiji Thomas
34-48261 July 31, 2003 Dwarka P. Rathi and Charles H. Pennington
34-48260 July 31, 2003 Rajan Moondra
33-8261 July 31, 2003 Nevis Capital Management, LLC, David R. Wilmerding, III and Jon C. Baker
Release No. 34-48262, IA-2154, IC-26144
33-8260 July 31, 2003 The Massachusetts Turnpike Authority and James J. Kerasitotes
IA-2153 July 30, 2003 John McStay Investment Counsel L.P.
34-48257 July 30, 2003 David S. Pearl, Esq.
Release No. AAER-1827
34-48248 July 29, 2003 Jay P. Gilbertson, C.P.A.
Release No. AAER-1825
33-8259 July 29, 2003 Philip L. Pascale, C.P.A.
Release Nos. 34-48247, AAER-1824
34-48230 July 28, 2003 Citigroup, Inc.
Release No. AAER-1821
34-48224 July 24, 2003 John J. Canepa, CPA
Release No. AAER-1819
34-48214 July 23, 2003 RSA Security, Inc.
34-48213 July 23, 2003 Keith G. Greenberg
34-48199 July 21, 2003 Spear, Leeds & Kellogg, L.P.
34-48189 July 17, 2003 Liberty National Securities, Inc., Robert J. Guyer, and Sonia Howe Radencovici
34-48192 July 17, 2003 Arsin Corporation and Danis Yadegar-Mooshiabadi
Release No.: AAER-1815
34-48188 July 17, 2003 Ascend Capital, LLC, Malcolm P. Fairbairn and Emily Wang Fairbairn
Release No.: IA-2150
33-8253 July 16, 2003 Arthur Ritchie
Release No.: 34-48186
IA-2149 July 16, 2003 Jeffrey L. Goldberg
IA-2148 July 16, 2003 Timothy B. Gamwell
34-48184 July 16, 2003 Children's Beverage Group, Inc.
34-48183 July 16, 2003 RGW Acquisition Corporations I through X
34-48182 July 16, 2003 Xaibe, Inc. and Lowell Nicholas
Release No.: AAER-1814
34-48181 July 16, 2003 Global Telemedia International, Inc.
33-8252 July 15, 2003 IFG Network Securities, Inc., William I. Kissinger, Kissinger Advisory, Inc., David Ledbetter, Bert E. Miller, and Glenn F. Wilkinson
Release No. 34-48178, IA-2147
See also: Order Amending, Release No. 34-50008
33-8250 July 14, 2003 Americorp Securities, Inc. and Drew Edgar Schaefer
Release No.: 34-48171
IA-2145 July 14, 2003 Justin S. Mazzon d/b/a/
American Blue Chip Investment Management
34-48170 July 14, 2003 Carnegie International Corporation
34-48168 July 11, 2003 Daniel M. Coyle
33-8248 July 10, 2003 Robert Ostrowski and Rees Harris
Release No. 34-48150
34-48149 July 10, 2003 Prudential Securities Incorporated
33-8247 July 10, 2003 Prudential Securities Incorporated
34-48147 July 9, 2003 Thomas J. Donahue
34-48139 July 8, 2003 Robert B. Kessler
34-48134 July 7, 2003 Barry D. Romeril and Gregory B. Tayler
Release No.: AAER-1812
IA-2142 July 3, 2003 Peter W. Chabot
34-48114 July 1, 2003 Roger M. Detrano
34-48109 July 1, 2003 Liberty National Securities, Inc., Robert J. Guyer, and Sonia Howe Radencovici

http://www.sec.gov/litigation/admin/adm3q03.shtml


Modified: 07/26/2004