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Administrative Proceedings: July 1 – September 30, 2004

Release No. Date Respondents
34-50479 Sep. 30, 2004 Joseph L. Lents, Brian E. Baginski and Anthony V. Yonadi
Note: See also the Order in this matter
33-8499 Sep. 30, 2004 Raymond James Financial Services, Inc., J. Stephen Putnam, and David Lee Ullom
Other Release Nos.: 34-50476; IA-2309
Note: See also the Order in this matter
IA-2308 Sep. 30, 2004 Groh Asset Management, Inc. and Roger O. Groh
34-50472 Sep. 29, 2004 Harold B. Gallison, Jr., Terrence J. Hughes and David Rosenthal
34-50467 Sep. 29, 2004 Agra-Tech, Incorporated, Consolidated Oil & Gas, Inc., Kilimanjaro Group.Com Inc., New Hampshire Industrials, Inc., Oyster Creek Group Inc., Savannah River Group, Inc., 2KSounds Corporation, Xunantunich, Inc.
Note: See also the Order in this matter
34-50462 Sep. 28, 2004 Alan Brian Bond, and Albriond Capital Management, LLC
Other Release No.: IA-2307
34-50459 Sep. 28, 2004 Marshall S. Klein
Note: See also the Order in this matter
34-50455 Sep. 27, 2004 A.C.L.N. Limited
34-50444 Sep. 24, 2004 Robert Snyder and James Stamp
34-50440 Sep. 24, 2004 Donald L. Knight
Note: See also the Order in this matter
34-50439 Sep. 24, 2004 Franklin Marone
34-50438 Sep. 24, 2004 Emex Corporation
Note: See also the Order in this matter
34-50437 Sep. 24, 2004 Michael Carnicle
Note: See also the Order in this matter
IA-2305 Sep. 23, 2004 Kenneth B. MacQueen
Note: See also the Order in this matter
33-8490 Sep. 23, 2004 Allen Z. Wolfson, Michael T. Grecco, John M. Black, Jr., Spiro Lazaretos, Robert Balsamo, Vladimir Carvallo, and Konstantinos Dino Sonitis
Other Release No.: 34-50435
34-50432 Sep. 23, 2004 Andrew S. Marks
34-50429 Sep. 23, 2004 The Village Green Bookstore, Inc.
Note: See also the Order in this matter
34-50428 Sep. 23, 2004 John E. Isselmann, Jr.
Other Release No.: AAER-2108
34-50427 Sep. 23, 2004 John W. Adams and AIP, LLC
34-50426 Sep. 23, 2004 General Electric Company
34-50424 Sep. 22, 2004 Daniel S. Lezak
Other Release No.: AAER-2107
34-50422 Sep. 22, 2004 Edward J. Strafaci
Other Release No.: IA-2304
IA-2303 Sep. 22, 2004 Massachusetts Financial Services Company
Other Release No.: IC-26617
34-50421 Sep. 22, 2004 Eagle Building Technologies, Inc.
34-50419 Sep. 22, 2004 EVTC, Inc.
IA-2302 Sep. 21, 2004 Brandt, Kelly & Simmons, LLC and Kenneth G. Brandt
Note: See also the Order in this matter
IA-2301 Sep. 21, 2004 Kiely Financial Services, Inc. and Joseph K. Kiely
IA-2300 Sep. 21, 2004 Rudney Associates, Inc. and Eric A. Rudney
34-50415 Sep. 21, 2004 TD Waterhouse Investor Services, Inc.
Other Release No.: IA-2299
34-50407 Sep. 17, 2004 Alfred J. Flores
34-50400 Sep. 16, 2004 Senetek PLC
34-50397 Sep. 16, 2004 William Barney Thomas
Other Release No.: IA-2298
34-50396 Sep. 16, 2004 Cybergate, Inc., Cyber Tennis, Inc., Cyberwholesale, Inc., CathayOne, Inc., eLocity, Inc., Golden Opportunity Development Corp., J. A. B. Int'l, Inc., Maxx Int'l, Inc., Oasis Resorts Int'l, Inc.,Rollerball Int'l, Inc., U.S. Homes & Properties, Inc., Wichita Development Corp., Youthline USA, Inc., and ATC II, Inc.
34-50387 Sep. 15, 2004 Robert Cord Beatty
Note: See also the Order in this matter
33-8489 Sep. 15, 2004 Taglich Brothers, Inc. and Richard C. Oh
Other Release No.: 34-50388
IA-2297 Sep. 15, 2004 Adam G. Kruger
Note: See also the Order in this matter
IA-2296 Sep. 15, 2004 Sagam Capital Management Corp. and Sagam Capital LLC
34-50385 Sep. 15, 2004 McLeodUSA Incorporated
Other Release No.: AAER-2103
34-50384 Sep. 15, 2004 PA Fund Management LLC, PEA Capital LLC, and PA Distributors LLC
Other Release Nos.: IA-2295; IC-26598
34-50383 Sep. 15, 2004 Cary R. Kahn
See also: 34-50046
34-50382 Sep. 15, 2004 Anthony Gianninoto and Eileen Laine
Note: See also the Order in this matter
IA-2294 Sep. 15, 2004 Bridgeway Capital Management, Inc. and John Noland Ryan Montgomery
33-8487 Sep. 14, 2004 Bruce Keith Jensen
Other Release Nos.: 34-50370; AAER-2102
33-8486 Sep. 14, 2004 Dean Foods Company and John D. Robinson,
Other Release No.: 34-50368; AAER-2100
33-8485 Sep. 14, 2004 Kemps LLC, f/k/a Marigold Foods, LLC, James Green and Christopher Thorpe
Other Release No.: 34-50369; AAER-2101
33-8484 Sep. 14, 2004 John K. Adams
Other Release No.: 34-50367; AAER-2098
33-8483 Sep. 14, 2004 Digital Exchange Systems, Inc., Rosario Coniglio and Steven Schmidt
Other Release No.: 34-50366; AAER-2099
33-8482 Sep. 14, 2004 Fleming Companies, Inc.
Other Release No.: 34-50365; AAER-2097
34-50363 Sep. 14, 2004 Kenneth A. Orr
Note: See also the Order in this matter
34-50362 Sep. 14, 2004 Michael Yeninas
Note: See also the Order in this matter
34-50360 Sep. 14, 2004 Charles Schwab & Co., Inc.
Other Release No.: IC-26595
34-50359 Sep. 14, 2004 Michael I. Nnebe, Nelson C. Walker, and Hildreth J. Fleming, Jr.
Note: See also the Order in this matter
34-50358 Sep. 13, 2004 Roberto E. Veitia
Note: See also the Order in this matter
34-50354 Sep. 13, 2004 PA Fund Management LLC f/k/a PIMCO Advisors Fund Management LLC, PEA Capital LLC f/k/a PIMCO Equity Advisors LLC, and PA Distributors LLC f/k/a PIMCO Advisors Distributors LLC
Other Release Nos.: IA-2292, IC-26594
34-50353 Sep. 13, 2004 Robert C. Walters
34-50352 Sep. 13, 2004 John A. D'Onofrio
34-50351 Sep. 13, 2004 Dennis J. Oslosky
34-50350 Sep. 13, 2004 Jason J. Riley
34-50349 Sep. 13, 2004 Stan Lee Media, Inc.
34-50348 Sep. , 2004 Allen Andrescu, Richard Brower, Mark Coates, Tejbir Singh, and Vikram Randhawa
Note: See also the Order in this matter
34-50344 Sep. 10, 2004 Cheryl A. Swain
34-50334 Sep. 9, 2004 Fiore J. Gallucci
34-50330 Sep. 8, 2004 Emanuele Cardaci
Note: See also the Order in this matter
33-8481 Sep. 8, 2004 John Gorman and Patrick Gentile
Other Release Nos.: 34-50329; AAER-2093
34-50321 Sep. 7, 2004 Harold B. Gallison, Jr., Terrence J. Hughes and David Rosenthal
Other Release No.:
Note: See also the Order in this matter
34-50320 Sep. 7, 2004 Frederick Tropeano
Note: See also the Order in this matter
34-50316 Sep. 3, 2004 David Abish, Christopher Betts, Mark Charvat, James Corcoran, Paul Feeny, Robert Pratt, Mario Rodriguez, Scott Siegel, Andrew Tursi and David Weeks
Note: See also the Order in this matter
34-50315 Sep. 3, 2004 Franklin Marone
Note: See also the Order in this matter
34-50314 Sep. 3, 2004 Michael Sydney Newman
Note: See also the Order in this matter
34-50313 Sep. 3, 2004 Piranha, Inc.
Note: See also the Order in this matter
34-50309 Sep. 2, 2004 Matter of Steven Bocchino and Sharon Harosh
Note: See also the Order in this matter
33-8480 Sep. 1, 2004 John A. Carley, Mark N. Dohlen, Eugene C. Geiger, Paul A. Giles, Roy E. Gould, Thomas A. Kaufmann, Alfred Peeper, Edward H. Price, Christopher H. Zacharias, Le Fond Mondial D'investissement S.A., and Spencer Edwards, Inc.
Other Release No.: 34-50303
Note: See also the Order in this matter
34-50301 Sep. 1, 2004 Vladislav Steven Zubkis
Note: See also the Order in this matter
34-50300 Sep. 1, 2004 Charles B. Spadoni
Other Release No.: IA-2291
34-50299 Sep. 1, 2004 Marlon D. Tropeano
Note: See also the Order in this matter
34-50297 Aug. 31, 2004 Edward Landenbaum
Note: See also the Order in this matter
34-50293 Aug. 31, 2004 Merrell W. Williams and Timothy C. Olk
34-50289 Aug. 30, 2004 Michael D. Legoski
Other Release Nos.: IA-2290; IC-26590
IA-2289 Aug. 30, 2004 Timothy J. Miller
Other Release No.: IC-26589
IA-2288 Aug. 30, 2004 Thomas A. Kolbe
Other Release No.: IC-26588
IA-2287 Aug. 30, 2004 Dominique S. Alvieri
34-50288 Aug. 30, 2004 Marc Wein
Note: See also the Order in this matter
35-27886 Aug. 30, 2004 American Electric Power Company Inc.
34-50284 Aug. 27, 2004 Peter Bacanovic
Other Release No.: IA-2286
34-50281 Aug. 27, 2004 Jesse Dean Bogdonoff
Other Release No.: IA-2284
34-50271 Aug. 26, 2004 Alnoor Jiwan
IC-26581 Aug. 26, 2004 Robert S. Colman
IA-2282 Aug. 26, 2004 Audrey L. Buchner
Other Release No.: IC-26580
IA-2281 Aug. 26, 2004 Garrett Van Wagoner and Van Wagoner Capital Management, Inc.
Other Release No.: IC-26579
34-50273 Aug. 26, 2004 U.S. Technologies, Inc.
34-50272 Aug. 26, 2004 Donaldson, Lufkin & Jenrette Securities Corp., predecessor in interest to Credit Suisse First Boston LLC
34-50268 Aug. 26, 2004 Ronald D. Brouillette, Jr.
34-50266 Aug. 26, 2004 Cybergate Inc., et al.
34-50265 Aug. 26, 2004 Cybergate Inc., et al.
34-50264 Aug. 26, 2004 Cybergate Inc., et al.
34-50261 Aug. 25, 2004 Cybergate Inc., et al.
34-50260 Aug. 25, 2004 Cybergate Inc., et al.
34-50258 Aug. 25, 2004 Van E. Brighton
34-50257 Aug. 25, 2004 David L. Knudson
34-50256 Aug. 25, 2004 Andrew Sears
34-50255 Aug. 25, 2004 Derrick N. McKinney and Rick R. Malizia
Note: See also the Order in this matter
33-8475 Aug. 25, 2004 Janney Montgomery Scott LLC
Other Release No.: 34-50252
33-8474 Aug. 25, 2004 Needham & Company, Inc.
Other Release No.: 34-50251
33-8472 Aug. 25, 2004 SG Cowen & Co., LLC, f/k/a SG Cowen Securities Corporation
Other Release No.: 34-50250
33-8469 Aug. 25, 2004 Prudential Equity Group, LLC f/k/a Prudential Securities Inc.
Other Release No.: 34-50248
33-8466 Aug. 25, 2004 Morgan Keegan & Co., Inc.,
Other Release No.: 34-50246
33-8461 Aug. 25, 2004 Friedman, Billings, Ramsey & Co., Inc.
Other Release No.: 34-50243
33-8460 Aug. 25, 2004 Adams Harkness, Inc., f/k/a Adams, Harkness & Hill, Inc.
Other Release No.: 34-50242
34-50232 Aug. 24, 2004 Cybergate, Inc., Cyber Tennis, Inc., Cyberwholesale, Inc., Cathayone, Inc., Elocity Networks, Inc., Golden Opportunity Development Corp., J. A. B. Int'l, Inc., Maxx Int'l, Inc., Oasis Resorts Int'l, Inc., Rollerball Int'l, Inc., U.S. Homes & Properties, Inc., Wichita Development Corp., Youthline USA, Inc., and ATC II, Inc.
Other Release No.: 34-50232
34-50240 Aug. 24, 2004 Matthew Brenner and Darren Silverman
Other Release No.: IA-2280
34-50236 Aug. 24, 2004 Dale Carone
33-8459 Aug. 24, 2004 Ira Weiss, and L. Andrew Shupe II
Other Release No.: 34-50235
34-50234 Aug. 24, 2004 Graham Andrews
Note: See also the Order in this matter
34-50233 Aug. 24, 2004 Royal Dutch Petroleum Company and The "Shell" Transport and Trading Co., p.l.c.
Other Release No.: AAER-2085
34-50228 Aug. 23, 2004 Platinum Investment Corporation, Andrew Antonucci and Mathew Beaulieu
Note: See also the Order in this matter
34-50225 Aug. 20, 2004 Kenneth K. Livesay, CPA
Other Release No.: AAER-2082
34-50223 Aug. 20, 2004 Steven E. Muth
34-50222 Aug. 20, 2004 Steven M. Bolla and Susan Bolla
Other Release No.: IA-2279
IA-2277 Aug. 18, 2004 Janus Capital Management LLC
Other Release No.: IC-26532
34-50207 Aug. 17, 2004 Alfred J. Flores
Note: See also the Order in this matter
34-50200 Aug. 16, 2004 Alcohol Sensors Int'l, Ltd., et al.
34-50194 Aug. 13, 2004 Daniel Harris
34-50186 Aug. 12, 2004 Ashley Nemiroff, Rocco Siclari, George A. Carhart, Carl D'Elia, Howard C. Zelin, Craig A. Brandwein, and Donald R. Catapano
Note: See also the Order in this matter
34-50185 Aug. 12, 2004 Joseph Casuccio, CPA
Other Release No.: AAER-2079
33-8457 Aug. 12, 2004 Thayer Capital Partners, TC Equity Partners IV, L.L.C., TC Management Partners IV, L.L.C., and Frederic V. Malek
Other Release No.: IA-2276
34-50181 Aug. 11, 2004 Stan Lee Media, Inc.
Note: See also the Order in this matter
34-50180 Aug. 11, 2004 Joseph W. Isaac
Note: See also the Order in this matter
IA-2275 Aug. 11, 2004 Pilgrim Baxter & Associates, Ltd.
Note: See also IA-2251
34-50179 Aug. 11, 2004 Gary L. Seidelman, CPA
Other Release No.: AAER-2078
IA-2273 Aug. 9, 2004 Richard L. Cherry
34-50167 Aug. 9, 2004 Ralph DiFalco
33-8456 Aug. 9, 2004 Inviva, Inc. and Jefferson National Life Insurance Company
Other Release Nos.: 34-50166, IC-26527
33-8455 Aug. 9, 2004 CIHC, Inc., Conseco Services, LLC, and Conseco Equity Sales, Inc.
Other Release Nos.: 34-50165, IC-26526
34-50161 Aug. 6, 2004 Frederick B. Hornick, Jr.
34-50156 Aug. 5, 2004 Richard Wolff, Alex Grinshpon, Alex Solon, and Jeffery Stone
34-50155 Aug. 5, 2004 Richard Wolff, Alex Grinshpon, Alex Solon, and Jeffery Stone
34-50155 Aug. 5, 2004 Richard Wolff, Alex Grinshpon, Alex Solon, and Jeffery Stone
34-50151 Aug. 5, 2004 Richard S. Kern, Donald R. Kern, and Charles Wilkins
34-50150 Aug. 5, 2004 Alcohol Sensors Int'l, Ltd., Beachport Entertainment Corp., Biosonics, Inc., Compressent, Inc., Eye Cash Networks, Inc., Hamilton-Biophile Companies, Holly Holdings, Inc., Intelligent Decision Systems, Inc., Long Distance Direct Holdings, Inc., Lrg Restaurant Group, Inc., Nevada Manhattan Group, Inc., Parallel Technologies, Inc., Quadratech, Inc., Redneck Foods, Inc., Safetech Industries, Inc., Viking Resources Int'l, Inc., and Xavier Corp.
IA-2272 Aug. 5, 2004 Terese Herwick
34-50148 Aug. 5, 2004 Grant Thornton LLP, Doeren Mayhew & Co. P.C., Marvin J. Morris, CPA, Peter M. Behrens, CPA and Benedict P. Rybicki, CPA
Other Release No.: AAER-2076
33-8452 Aug. 3, 2004 Halliburton Company, and Robert Charles Muchmore, Jr.
Other Release Nos.: 34-50137, AAER-2072
34-50138 Aug. 3, 2004 Fidelity Brokerage Services, LLC
Note: See also Order granting waiver
34-50136 Aug. 3, 2004 Harold F. Harris and Ronald E. Crews
Note: See also the Order in this matter
34-50135 Aug. 3, 2004 Ronald H. Hoffman, CPA
Other Release No.: AAER-2071
34-50134 Aug. 2, 2004 William F. Buettner, CPA
Other Release No.: AAER-2070
IA-2271 Aug. 2, 2004 Franklin Advisers, Inc.
Other Release No.: IC-26523
34-50132 Aug. 2, 2004 Americo Robert Gallo and Oren Fachler
Note: See also the Order in this matter
34-50128 Jul. 30, 2004 Jason H. Pollak
34-50121 Jul. 29, 2004 Timothy J. Buzzelli
Other Release No.: AAER-2067
IA-2270 Jul. 28, 2004 Dominique S. Alvieri
Note: See also the Order in this matter
34-50111 Jul. 28, 2004 Irving P. David,
Other Release No.: IA-2269
34-50107 Jul. 28, 2004 Richard Wolff, Alex Grinshpon, Alex Solon, and Jeffery Stone
34-50102 Jul. 28, 2004 EpicEdge, Inc.
34-50098 Jul. 27, 2004 Charter Communications, Inc.
Other Release No.: AAER-2064
34-50096 Jul. 27, 2004 Leslie Wasser, CPA
Other Release No.: AAER-2062
34-50092 Jul. 27, 2004 JC Management, Inc. and Joseph X. Crivelli
34-50088 Jul. 26, 2004 EVTC, Inc.
Note: See also the Order in this matter
34-50086 Jul. 26, 2004 Joseph DeSanto
34-50076 Jul. 26, 2004 SIG Specialists, Inc.
34-50075 Jul. 26, 2004 Performance Specialist Group LLC
34-50073 Jul. 23, 2004 Spiegel, Inc.
33-8450 Jul. 22, 2004 Raymond A. Saitta, CPA
Other Release Nos.: 34-50062; AAER-2058
IA-2267 Jul. 22, 2004 Warren L. Ware
34-50053 Jul. 21, 2004 Michael H. Taber, CPA
Other Release No.: AAER-2057
34-50052 Jul. 21, 2004 Alnoor Jiwan
Note: See also the Order in this matter
34-50051 Jul. 21, 2004 Ronald D. Brouillette, Jr.
Note: See also the Order in this matter
34-50050 Jul. 21, 2004 Currency Trading International, Inc., Craig A. Cunningham, James R. Kelsall, and Christian J. Weber
34-50046 Jul. 20, 2004 Cary R. Kahn
See also: 34-50383
33-8449 Jul. 20, 2004 Allen Z. Wolfson et al.
Other Release No.: 34-50045
33-8448 Jul. 20, 2004 Allen Z. Wolfson et al.
Other Release No.: 34-50044
33-8447 Jul. 20, 2004 Allen Z. Wolfson, et al.
Other Release No.: 34-50043
33-8446 Jul. 20, 2004 Allen Z. Wolfson, et al.
Other Release No.: 34-50042
33-8445 Jul. 20, 2004 Allen Z. Wolfson, et al.
Other Release No.: 34-50041
34-50039 Jul. 20, 2004 Putnam Investment Management, LLC
33-8444 Jul. 16, 2004 CyberCare, Inc.
34-50034 Jul. 16, 2004 Connecticut Capital Markets, L.L.C., and Richard L. Klass
34-50027 Jul. 15, 2004 Bruce H. Barbers and Craig H. Colwell
Note: See also the Order in this matter
34-50017 Jul. 14, 2004 SEI Investments Distribution Company and SEI Investments Company
34-50014 Jul. 14, 2004 Donald F. Chamberlin and David N. Chamberlin
Other Release No.: IA-2264
IA-2263 Jul. 14, 2004 Joseph L. Norris and Mark G. Coleman
34-50011 Jul. 14, 2004 Frederic A. Gladle
34-50009 Jul. 13, 2004 Randall W. Harding
IA-2262 Jul. 12, 2004 Nevis Capital Management, LLC, David Wilmerding, III, and Jon C. Baker
IA-2261 Jul. 12, 2004 Wilmington Trust Company
34-50001 Jul. 12, 2004 Dale Carone
Note: See also the Order in this matter
34-49997 Jul. 9, 2004 Michael Karlins, CPA
Other Release No.: AAER-2054
34-49996 Jul. 9, 2004 Larry A. Stockett
IA-2260 Jul. 9, 2004 Joseph L. Norris and Mark G. Coleman
33-8439 Jul. 9, 2004 Levine, Hughes, and Mithuen, Inc.
Other Release Nos.: 34-49993; AAER-2053
34-49992 Jul. 9, 2004 James Dean, CPA
Other Release No.: AAER-2052
34-49984 Jul. 8, 2004 Kirk J. Dischino (CPA)
Other Release No.: AAER-2050
33-8438 Jul. 8, 2004 J. Michael Scarborough and Royal Alliance Associates, Inc
Other Release No.: 34-49982
34-49980 Jul. 7, 2004 Richard S. Kern, Donald R. Kern, and Charles Wilkins
Note: See also the Order in this matter
34-49977 Jul. 7, 2004 Michael Puorro, Walter Dorow, James C. Parrish, Geoffrey W. Gazda, Melvin L. Levine, Michael T. Reiter, Bruce Bertman, Jerry Poole and Larry W. Kerschenbaum
34-49976 Jul. 7, 2004 Ocumed Group, Inc.
34-49975 Jul. 7, 2004 Jose P. Zollino
Other Release No.: IA-2257
Note: See also the Order in this matter
34-49974 Jul. 7, 2004 Richard Wolff, Alex Grinshpon, Alex Solon and Jeffrey Stone
34-49971 Jul. 6, 2004 Pinnacle Business Management, Inc
33-8435 Jul. 1, 2004 Mark Jackson Nichols
Other Release Nos.: 34-49960; IA-2255
33-8434 Jul. 1, 2004 Goldman, Sachs & Co.
Other Release No.: 34-49953

http://www.sec.gov/litigation/admin/adm3q04.shtml


Modified: 02/09/2005