SEC Seal Home | Jobs | Fast Answers | Site Map | Search
U.S. Securities and Exchange Commission


  About the SEC

  Filings & Forms

  Regulatory Actions

  Staff Interps

  Investor Info

  News & Statements

  Litigation


Litigation Releases 
Admin Proceedings 
Fair Funds 
Investigation Reports 
Commission Opinions 
Cooperation Agreements 
Trading Suspensions 
Amicus Briefs 
Appellate Briefs 
Rules of Practice 

  ALJ

  Divisions

Administrative Proceedings: July 2 – September 30, 1996

Release No.DateRespondents
34-37768Sept. 30, 1996Anthony Sarivola
34-37762Sept. 30, 1996Octagon, Inc.
34- 37758Sept. 30, 1996Frederick V. Dona Jr.
34-37757 September 30, 1996Thomas A. Piechowicz, James M. Flynn and Christopher Conway
34-37756Sept. 30, 1996Michael D. Gibson, Gregory C. Moore, and Jay D. Liebowitz, and David McClure
34-37755Sept. 30, 1996The O.N. Equities Sales Company
33-7349 September 30, 1996American Financial Partners, Ltd. and Jeffrey S. Rosenberg
33-7346Sept. 30, 1996M. Charles Zanaty
IA- 1589Sept. 30, 1996Domenic P. Ferrante
IA-1588 September 30, 1996Vigil Asset Management Group, Inc. and Thomas Batterman
IA-1586Sept. 30, 1996Milton Puryear
34-37766Sept. 30, 1996 Stephen J. Sogin and Steven N. Weiss
34-37765Sept. 30, 1996Philip Greifeld
34-3776Sept. 30, 1996Richard J. Line
34-37761Sept. 30, 1996Monte S. Colbert
34-37760Sept. 30, 1996Bernard Zelenka
34-37749Sept. 30, 1996Atlantis Group, Inc. (f/k/a Microterra, Inc.), Richard Fox and James E. Sidbury
34-37747Sept. 30, 1996Rom N. De Guzman
33-7344Sept. 30, 19963Net Systems, Inc.
34-37754 September 30, 1996Fahnestock and Co., Inc. and William E. Bierlin, Jr.
33- 7345Sept. 30, 1996Maricopa County, Arizona
33-7343Sept. 30, 1996Lawrence M. Gress
33-7348Sept. 30, 1996 Curtis Lynch and David Hollander
33-7347Sept. 30, 1996 Stires & Co., Inc., and Sidney H. Stires
34-37743 September 27, 1996Philadelphia Investors, Ltd. and Clarence Z. Wurts
33-7342Sept. 27, 1996Norman L. Sirak
33- 7341Sept. 27, 1996Carolyn Safer Kenner
IA-1585Sept. 27, 1996Concord Investment Company
IA- 1584Sept. 27, 1996Patricia Owen-Michael
34-37742Sept. 27, 1996Michael G. Cohen
34-37741Sept. 27, 1996 Republic International Corporation
34-37738Sept. 27, 1996Frederick W. Smith
34-377737Sept. 27, 1996Gerald Johnson
IA-1582Sept. 26, 1996Ira William Scott
33-7339Sept. 26, 1996Peter Tosto, Investor Relations, Inc., George Panagiotou, Mark Savage and Dean Verrigni
34-37733 September 26, 1996H. Ralph Sylvester, Donald R. Krueger and John C. Hawver
34-37730 Sept. 26, 1996 Advanced Micro Devices, Inc.
33-7338 September 26, 1996 Broad Capital Associates, Inc. and Murray Arron Huberfeld
33-7337 September 26, 1996 Michael C. Robertson and M.C. Robertson & Associates, Inc.
34-37727 Sept. 26, 1996 Richardt-Alyn & Co., and Richard B. Fienberg
33-7336 Sept. 25, 2996 Jeffrey L. Dunn
33-7335 Sept. 25, 1996 David G. Batu
34- 37720Sept. 24, 1996Moors & Cabot, Inc.
34-37719Sept. 24, 1996Wilshire Technologies, Inc.
34-37716Sept. 24, 1996Robert McClernon
34-37715Sept. 24, 1996James Warren
34- 37710 Septemeber 23, 1996Kimberly D. Goodman
34-37709Sept. 23, 1996Stanley L. Swoyer
34-37708Sept. 23, 1996George C. Bergleitner, Jr.
33-7334 September 23, 1996Monness, Crespi, Hardt & Co., Inc., and Neil Crespi
34-37707Sept. 23, 1996Howe Barnes Investments, Inc.
34-37705Sept. 20, 1996Richard S. Berger
IA-1580Sept. 19, 1996Wayne A. Maki
34-37702 September 19, 1996Eli Buchalter and the Eli Buchalter Accountancy Corporation
33-7333Sept. 19, 1996Cypress Bioscience Inc. and Alex P. De Soto
33-7332 September 19, 1996Vincent P. Loban and First Capital Marketing Group
34-37689Sept. 18, 1996Paul Stansberry
34- 37683Sept. 16, 1996William Scott Smith
34-37682Sept. 16, 1996Raul N. Rodriguez
34- 37685Sept. 16, 1996Domenick M. Schina
34-37681Sept. 16, 1996JMDC Global Corp.
33-7330 Septmeber 13, 1996 Elliott B. Rosenberg, Jack A. Gilbert, Howard M. Caplan, Gerald J. Perlmutar and Douglas H. Mansfield
34-37674Sept. 12, 1996Michael J. Eberle,Robert D. Hodge,Thomas L. Costello,Donald H. Gilliland, Thomas J. VanEcho and Thomas J. Williamson
34-37671Sept. 12, 1996 Stephen M. Jordan, Douglas A. Burnip,Dennis A. Dunlap, Tina M. Applegate,Miguel A. Lucas and Larry R. Ryan
34-37673Sept. 12, 1996Lehman Brothers Inc., as the successor to Shearson Lehman Brothers Inc.
34-37669Sept. 12, 1996 (REVISED TEXT 9-30-96Tudor Investment Corporation
34-37664Sept. 10, 1996Stephen R. Parker
34-37662Sept. 9, 1996Robert Gilbert, Alan Weissman and Daniel Felter
34-37661Sept. 9, 1996Jeffrey Weisman and Martin Weisman
34-37660Sept. 9, 1996F. Otto Busot
34-37641Sept. 5, 1996Food Research Corporation
33-7327Sept. 5, 1996Advanced Medical Products, Inc., Clarence P. Groff and James H. Brown
34-37634Sept. 4, 1996Philip Forma, Sr., Alan Herr, Herbert Herr, and Stanley Mindel
34-37580 Aug. 19, 1996.Global Timber Corporation
IA-1577 August 15, 1996.Cabot Money Management, Inc. and Robert T. Lutts
IA-1576Aug. 8, 1996.Ronald M. Zook
34-37545Aug. 8, 1996.Richard Jenkins
34-37544Aug. 8, 1996.Frank Duca
34-37538Aug. 8, 1996 National Association of Securities Dealers, Inc.
IA-1574Aug. 6, 1996Douglas L. Blair
34-37531Aug. 6, 1996Refco Securities, Inc.
34-37530Aug. 6, 1996Robert J. Dantone
34-37514 August 2, 1996A.R. Baron & Co., Inc., Andrew E. Bressman and Roman Okin
34-37498 July 30, 1996James A. Sehn and Samuel O. Forson
33-7318Aug. 1, 1996Rodger E. Thornton
33-7317 July 30, 1996John Silseth
33-7315 July 26, 1996Robert K. Williams and College Planning Services, Inc.
34-37494 July 30, 1996Kenneth J. Schulte
34-37486 July 26, 1996 Daniel D. Dietrich and Robert J. Judge
34-37485 July 26, 1996Victor L. Kashner and Kashner Davidson Securities Corporation
34-37483 July 26, 1996Stephen J. Kandel
34-37477 July 25, 1996Payne & Thornton, Inc. d/b/a Retirement Investment Group
33-7313 July 25, 1996Elliott B. Rosenberg, Jack A. Gilbert, Howard M. Caplan, Gerald J. Perlmutar and Douglas H. Mansfield
33-7312 July 24, 1996 Peter C. Ferraro and William G. Stayduhar
34-37468 July 23, 1996David Lee Printy
IA-1571 July 16, 1996McKenzie Walker Investment Management, Inc. and Richard C. McKenzie, Jr.
34-37422 July 11, 1996Al Rizek
34- 37419 July 11, 1996Alexander Sheshunoff, Sr.
34-37396 July 2, 1996 Hein + Associates LLP and Duane C. Knight

http://www.sec.gov/litigation/admin/adm3q96.shtml

Contact | Employment | Links | FOIA | Forms | Privacy Policy
Modified: 01/04/2002