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Administrative Proceedings: July 1 – September 30, 1997

Release No.DateRespondents
34-39154 Sept. 30, 1997 Sandra Simpson and Daphne Pattee
34-39151 Sept. 30, 1997Michael L. Cooperstock
34-39150 Sept. 30, 1997William H. Malek
34-39171 Sept. 30, 1997 Christopher Laporte and Government Securities Corporation
33-7465
34-39170
Sept. 30, 1997Marion Bass Securities Corp. ("MBSC"), and Gerald P. Chandik ("Chandik")
34-39168 Sept. 30, 1997 Helen A. Roy, Christopher E. Beimel, William P. Hogan, Bruce W. Batley, Daniel D. Beimel, and John W. Ford
34-39168 Sept. 30, 1997 Penn Capital Financial Services, Inc
34-39165 Sept. 30, 1997Frank Klaus
34-39160 Sept. 30, 1997Joseph P. Greenwald
33-7462
34-39158
Sept. 30, 1997Fundamental Portfolio Advisers, Inc., Lance M. Brofman, Vincent J. Malanga, and Fundamental Service Corporation
34-39155 Sept. 30, 1997Sam Moore
IA-1675 Sept. 30, 1997 Schuylkill Capital Management, Ltd. and Howard A. Trauger
34-39152 Sept. 30, 1997Mark Coleman Graves
33-7460
34-39149
AAE-970
Sept. 30, 1997The City Of Syracuse, New York, Warren D. Simpson, and Edward D. Polgreen
AAE-969
34-39148
Sept. 30, 1997Mary Brennan
AAE-968
34-39147
Sept. 30, 1997Philip Mcinnes
IA-1672 Sept. 26, 1997Advisors, Inc. f/k/a Public Employees Financial Advisors, Inc. and Thomas Leroy Brown
33-7464
34-39167
AAE-972
Sept. 30, 1997John R. Alfson
33-7463
34-39166
AAE-971
Sept. 30, 1997Laser Photonics, Inc.
34-39164 Sept. 30, 1997Mark A. Ritacco
34-39163 Sept. 30, 1997Paul Francis Mabry
34-39161 Sept. 30, 1997 Diversified Capital Resources, Inc. and Angel Lorie
33-7462
34-39158
Sept. 30, 1997Fundamental Portfolio Advisers, Inc., Lance M. Brofman, Vincent J. Malanga, and Fundamental Service Corporation
34-39156 Sept. 30, 1997W.R. Grace and Co.
34-39146
IA-1674
Sept. 29, 1997Mark S. Chanko
33-7459
34-39145
IA-1673
Sept. 29, 1997 Abraham and Sons Capital, Inc. and Brett G. Brubaker
34-39144
AAE-967
Sept. 29, 1997Curtis L. Dally
33-7458; 34-39142 Sept. 29, 1997LDF Management, Inc. and Laura D. Fletcher
34-39141 Sept. 29, 1997Cary S. Greene
34-39138 Sept. 26, 1997Cortlandt Capital Corp., Mayer Amsel, and Joseph Michael Guccione
34-39136
IA-1671
Sept. 26, 1997Virgil Dean Damhof
34-39135 Sept. 26, 1997 A. Monzione, and Arthur R. Lapka
34-39134 Sept. 26, 1997Kent T.Black, Joel L. Hurst, David E. Lynch, Larry E. Muller, and Robert L. McCook
34-39133 Sept. 25, 1997Edward Christian Farni
33-7457 Sept. 25, 1997Joseph F. Reese
34-39132 Sept. 25, 1997Stephen D. Gellas
34-39130 Sept. 25, 1997David M. Carmichael, Anthony Kohl, and Chris Adams
34-39128
AAE-965
Sept. 25, 1997Kedar Gupta, Alvan Chorney, and Herbert Moskowitz
34-39127 Sept. 25, 1997Michael J. Oberholzer
34-39125 Sept. 24, 1997Nycal Corp
34-39124
AAE-963
Sept. 24, 1997Elliot Stumacher
34-39123 Sept. 24, 1997Gerald P. Hirsch
33-7456
34-39122
Sept. 24, 1997Dwight Allen
33-7455; 34-39121 Sept. 24, 1997Richard Milbrodt
33-7453
34-39107
IA-1669
IC-22829
Sept. 22, 1997 Michael C. Robertson and M.C. Robertson & Associates, Inc.
IA-1670 Sept. 22, 1997 ProFinancial Advisors, Inc., and W. Ralph Wills, III
33-7454 Sept. 22, 1997J.M. Dickinson Bransford
34-39108 Sept. 22, 1997Dennis Murray Bissell
34-39102,
IA-1668
Sept. 22, 1997Gary L. Hamby and Gary B. Ross
33-7453;
34-39107;
IA-1669;
IC-22829
Sept. 22, 1997Michael C. Robertson and M.C. Robertson & Associates, Inc.
34-39097;
IA-1667
Sept. 19, 1997Joseph B. Johnson
33-7452;
34-39091
Sept. 18, 1997George Garcy
33-7451;
34-39090
Sept. 18, 1997A. David Hengstler
34-39089;
AAE-962
Sept. 18, 1997David Hersh, CPA
34-39085 Sept. 17, 1997Freddie Don Stewart
34-39081,
AAE-961
Sept. 16, 1997Century Technologies Inc.
IA-1666 Sept. 16, 1997Stephens Inc.
IA-1665 Sept. 16, 1997D.L. Gresty & Company, Inc., David Lee Gresty, and Marcia A. Gresty
34-39078 Sept. 15, 1997;Rodney B. Hedges
AAE-960,
34-39077
Sept. 15, 1997;James R. Bryan, CPA
34-39074,
IA-1663,
IC-22820
Sept. 15, 1997;Vilis Pasts, Bts/Bond Timing, Inc., Bond Timing Securities Corp. and Adonis Berzins
IA-1662,
34-39073
Sept. 15, 1997;John D. MacKenzie
. 34-39072 Sept. 15, 1997;Legend Sports, Inc.
33-7450,
34-39061
Sept. 15, 1997;Michael D. Gibson
34-39062 Sept. 12, 1997;Edward M. Collins
3439056 Sept. 11, 1997;Robert A. Quiel
34-39057 Sept. 11, 1997;Monroe Parker Securities, Inc.
34-39052,
AAE-958 
Sept. 11, 1997;Douglas R. Coates, CPA
34-39047 Sept. 10, 1997Euro-Atlantic Securities, Inc., Brian A. Schmidt, Darlan E. Gordon, John T. Madden, William Aven, and John Aristotle Dilworth II
34-39046,
IA-1661
Sept. 10, 1997 Carol A. Hamby and David W. Stepanek
34-39045,
AAE-955
Sept. 10, 1997William B. Sanders, CPA
33-7449,
34-39042 
Sept. 10, 1997Juergens Otto Winkler
34-39041,
AAE-954 
Sept. 10, 1997Lynn K. Ross
34-39040,
AAE-953 
Sept. 10, 1997Wyatt Gene Ross
34-39039,
AAE-952
Sept. 10, 1997 Mickie E. Higgins-Hallke, CPA, CPA
34-39034,
IA-1660,
IC-22813
Sept. 9, 1997Frank P. Meadows, III, and The Nottingham Co., Inc. d/b/a The Nottingham Management Co., Inc., d/b/a TNC, Inc., d/b/a F.P. Meadows & Co and d/b/a The Nottingham Co.
34-39029 Sept. 8, 1997Fahnestock & Co., Inc. and William E. Bierlin, Jr.
34-39027,
IA-1659
Sept. 8, 1997Jocelyn Jane O'Rourke
33-7447,
34-39023
Sept. 5, 1997Lloyd John Newton
33-7446,
34-39015,
IA-1658,
IC-22809
Sept. 4, 1997Willy Kerzinger, D/B/A Commodity Pool Service
34-39006,
IA-1657
Sept. 3, 1997Walter Herbert Moore, Jr.
34-39005,
IA-1656
Sept. 2, 1997Aug. Mezzetta
34-39002,
IA-1655
Sept. 2, 1997Barbara B. Nolan
34-39003 Sept. 2, 1997Nicholas Giandomenico and Simon Dominic Baier
33-7444, 34-39001,
IA-1654,
IC-22805
Septermber 2, 1997 Mitchell Hutchins Asset Management Inc.
34-38995 Aug. 29, 1997David Scott Rossman
IA-1653,
AAE-948
Sept. 2, 1997S. Donald Sussman
34-38994 Aug. 29, 1997Robert Thomas Beatty
AAE-946,
34-38988,
33-7443
Aug. 28, 1997Ngai King Tak, Evelyn A. Wong, and Haroutioun K. Aydjian
IA-1652 Aug. 27, 1997Peter S. Alsop
33-7441,
34-38977
Aug. 27, 1997 Willie Daniels
33-7442,
34-38978
Aug. 27, 1997Derek Washington
33-7439,
34-38970
Aug. 26, 1997Robert Alan Denton, Jeffrey Peter Morrison, Lee Michael Rough, Marc David Siden and Kenneth Thomas Tripoli
33-7440,
34-38976,
IC-22799,
IA-1651
Aug. 26, 1997Hudson Investors Fund, Inc., Hudson Advisers, Inc., Javed Anver Latef and Larry Alan Stockett
34-38957 Aug. 21, 1997John L. Bridges, Jr.
34-38946 Aug. 18, 1997Thomas John Cloutier
33-7436, 34-38947 Aug. 18, 1997 Americorp Securities, Inc. and Drew Edgar Schaefer
34-38944 Aug. 18, 1997Gary W. Berus
34-38942 Aug. 18, 1997William P. Carroll
IA-1648 Aug. 13, 1997 First Capital Strategists, Robert E. Frith Jr., Keith H. Cunningham, Paul J. Gangemi, and John J. McCollum
34-38931 Aug. 13, 1997 Combined Companies International Corp.
34-38919  Aug. 11, 1997 William N. Briggs
34-38918  Aug. 11, 1997 Stock Clearing Corp Of Philadelphia and Philadelphia Depository Trust Co.
34-38917 Aug. 11, 1997 Timothy J. Guiheen
34-38914  Aug. 11, 1997 David P. Silver
34-38913 Aug. 11, 1997 H. Beck, Inc. and Gary S. Hurvitz
34-38878,
IA-1645
July 28, 1997 Stuart Gregory Smith, Capital Investment Managers, Inc., and Capital Fund Managers, Inc.
IA-1647 Aug. 6, 1997Robert Pierce and Carrie L. Williams Pierce
34-38904 Aug. 6, 1997Ted Harold Westerfield
34-38903,
AAE-944
Aug. 5, 1997James P. Brown
34-38902, AAE-943 Aug. 5, 1997Robert L. Gresham, CPA
IA-1646, IC-22768 July 29, 1997Ronald J. Mitchellette
34-38876,
AAE-941
July 28, 1997William D. Kyle
34-38880,
IA-22767
July 28, 1997Edward D. Jones & Co., Donald E. Walter, Steven T. Roberts, Ronald L. Gorgen, and Charles R. Larimore
34-38877,
IA-22766
July 28, 1997Edward D. Jones & Co., Donald E. Walter, Steven T. Roberts, Ronald L. Gorgen, and Charles R. Larimore
34-38863 July 23, 1997Thomas J. Fox
8858,
AAE-938
July 22, 1997Ponder Industries, Inc., Mack Ponder, Charles E. Greenwood, and Michael A. Dupre
34-38857 July 22, 1997Alex David Shindman
34-38855 July 21, 1997Refco Securities, Inc.
IA-1644 July 18, 1997LBS Capital Management, Inc.
34-38844,
AAE-937
July 17, 1997Dennis Klein
34-38832 July 11, 1997 Dennis Lindsay Helliwell
34-38775June 25, 1997First Montauk Securities Corp.
34-38814 July 3, 1997Brian J. McCahery
34-38803 July 1, 1997Stephen J. Sogin
34-38802 July 1, 1997Steven N. Weiss
33-7429 July 1, 1997Paul Y. Okuda, Stephen A. Thorpe, and David J. Chester
33-7428 July 1, 1997Helen T. Chalut and Saleem Noorani

http://www.sec.gov/litigation/admin/adm3q97.shtml


Modified: 01/04/2002