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Administrative Proceedings: July 6 – September 30, 1998

Release No. Date Respondents
IA-1768 Sept. 30, 1998 Bell Capital Management, Inc., Ronnie H. Bell, Thomas C. Comsudes, and Mark S. Palmer
33-7591, 34-40507 Sept. 30, 1998 Craig Leibold, Jeffrey Oetting, Tom Pollard, and Mark Salter
IA-1767 Sept. 30, 1998 Abn Amro-Nsm International Funds Management, B.V.
IA-1766 Sept. 30, 1998 Schuylkill Capital Management, Ltd. and Howard A. Trauger
34-40510 Sept. 30, 1998 H.J. Meyers & Co., Inc. and Tobin J. Senefeld
34-40509 Sept. 30, 1998 Michelle Sotnikow
34-40508 Sept. 30, 1998 J. David Glover, Jr.
34-40504 Sept. 30, 1998 Irwin Frankel
34-40503 Sept. 30, 1998 John Marsala
34-40502 Sept. 30, 1998 Douglas C. Selander
34-40501 Sept. 30, 1998 Allen Weinstein
34-40506 Sept. 30, 1998 William N. Briggs
34-40494 Sept. 29, 1998 Mike Zaman
IA-1765 Sept. 29, 1998 Rhumbline Advisers and John D. Nelson
IA-1764 Sept. 29, 1998 Profitek, Inc. and Edward G. Smith
IA-1763 Sept. 29, 1998 Finarc, LLC and Catherine F. White
33-7590 Sept. 29, 1998 City of Anaheim, City of Irvine, Irvine Unified School District, North Orange County Community College District, and Orange County Board Of Education
33-7589 Sept. 29, 1998 Newport-Mesa Unified School District
34-40489 Sept. 28, 1998 Patricia S. Gale
34-40488 Sept. 28, 1998 Nancy A. Swoffer
34-40495 Sept. 29, 1998 Donna Laubscher, CPA and Sherald Griffin, CPA
34-40490 Sept. 28, 1998 Christopher M. Pedersen
IA-1761, IC-23471 Sept. 28, 1998 Rupay-Barrington Investment Advisory Services, Inc. and Frederick A. Wolf
IC-23470 Sept. 28, 1998 Concord Growth Corporation
33-7588, IC-23469 Sept. 28, 1998 Reid Rutherford
33-7587, IC-23468 Sept. 28, 1998 Bryon G. Borgardt and Eric M. Banhazl
34-40484, IA-1760 Sept. 25, 1998 John W. Gillette, Jr.
IA-1757 Sept. 25, 1998 Seaboard Investment Advisers, Inc. and Eugene W. Hansen
IA-1758 Sept. 25, 1998 Pankowski Associates, Inc. and Joseph R. Pankowski
34-40483, IA-1759 Sept. 25, 1998 Randy Depoister
34-40480 Sept. 25, 1998 Ted C. Beattie and Linda Beattie
33-7585, 34-40478 Sept. 24, 1998 The City of Moorhead, Mississippi
34-40477 Sept. 24, 1998 Robert J. Meledandri, Jr.
34-40471 Sept. 24, 1998 John Von Der Lieth, III, and Daniel F. Dugan
34-40470 Sept. 24, 1998 Ronald Bajorek, Jr.
34-40468 Sept. 24, 1998 Joseph W. Pellechia
33-7586; 34-40469 Sept. 24, 1998 Global Casinos, Inc. and William P. Martindale
34-40476 Sept. 24, 1998 Corrpro Companies, Inc., Richard K. Harr
34-40467, IA-1756 Sept. 23, 1998 Nicholas C. Bogard
33-7584, 34-40466, IA-1755, IC-23463 Sept. 23, 1998 Sean P. Brennan and Keith E. Walsh
33-7583, 34-40465, IA-1754 Sept. 23, 1998 CS First Boston Investment Management Corporation
33-7582, 34-40464 Sept. 23, 1998 Raymond R. Newberg
34-40462 Sept. 23, 1998 David E. Freitag
34-40461 Sept. 23, 1998 Daniel L. Gotthilf, C.P.A.
34-40460 Sept. 23, 1998 John T. Fortier
34-40459 Sept. 23, 1998 Nylife Securities Inc.
IA-1753 Sept. 22, 1998 Orlando R. Landa
33-7581, 34-40453 Sept. 22, 1998 Meda Belle McKinney
34-40452 Sept. 22, 1998 Innovative Consulting Services, Inc. and Richard W. Mchenry
34-40450 Sept. 18, 1998 Brian M. Cohen
34-40446 Sept. 17, 1998 Audre Recognition Systems, Inc., Beverly E. Johnston, and Nick R. Avila
IA-1750 Sept. 14, 1998 Ellen Griggs
33-7580 Sept. 16, 1998 Stanley Berk, Bay Area Management, Armor Pension Managers and Marine Midland Bank
34-40425 Sept. 10, 1998 Andrew Paul Tomasko
33-7579, 34-40435, IA-1751, IC-23434 Sept. 14, 1998 Stephen H. Brown
33- 7578, 34-40429 Sept. 10, 1998 Bradford A. Orosey, Larry J. Bagwell, Connie L. Bally and Joseph O. Fallin and Administrative Proceedings Instituted against MGSI Securities, Inc. and James W. GG
33-7577, 34-40423 Sept. 10, 1998 Olde Discount Corp., Ernest J. Olde, Stanley A. Snider, and Daniel D. Katzman
33-7576, 34-40417 Sept. 9, 1998 Gilbert Mintz and Pearle G. Mintz
33-7575, 34-40416 Sept. 9, 1998 Erik W. Chan
33-7574, 34-40415 Sept. 9, 1998 Donald E. Whorl
33-7573, 34-40414 Sept. 9, 1998 Charles N. Lipton, CPA
33-7572, 34-40413 Sept. 9, 1998 Steven M. Scarano, CPA
33-7571, 34-40396 Sept. 3, 1998 Kevin C. Speranza, and Robert A. Maggi
33-7570, 34-40394 Sept. 3, 1998 Kuo-Chang Wong
34-40389 Sept. 1, 1998 Janis A. Patterson
33-7569, 34-40388 Sept. 1, 1998 Joseph P. Tufo
34-40376 Aug. 27, 1998 Wheat, First Securities Inc. F/k/a First Union Capital Markets Corporation
34-40375 Aug. 27, 1998 The Nikko Securities Co. International, Inc., Masao Ebina, Tadao Osada, and Toshiyuki Sagiuchi
34-40322, IA-1742 Aug. 13, 1998 Jeffrey A. Egan
34-40366 Aug. 26, 1998 Dean Witter Reynolds Inc., Henry L. Auwinger, and Dennis W. Peterson
34-40362 Aug. 25, 1998 Jacqueline Badger Mars
34-40347 Aug. 20, 1998 Oliver Williams
34-40336 Aug. 19, 1998 Frank Palumbo
IA-1747 Aug. 19, 1998 William J. Ferry
IA-1745 Aug. 13, 1998 Donna L. Snyder
IA-1744 Aug. 13, 1998 Charles E. Duquette
IA-1743 Aug. 13, 1998 American Growth of The Investment Advisers Capital Corp.
IA-1741 Aug. 12, 1998 Nicholas-Appelgate Capital Management
33-7566, 34-40352 Aug. 24, 1998 Merrill Lynch, Pierce, Fenner & Smith Inc.
33-7565, 34-40333 Aug. 18, 1998 Eric S. Blumen, Jordan I. Shamah, Irving Stitsky
33-7564, 34-40332 Aug. 18, 1998 Ira A. Boshnack, Andrew S. Friedman, Douglas C. Miller
34-40346 Aug. 20, 1998 David L. Chandler
34-40329, IA-1746, IC-23392 Aug. 17, 1998 George E. Brooks & Associates, Inc., Morehead Investment Advisors, Inc., and George E. Brooks
4-40313 Aug. 10, 1998 Frank P. Zitkevitz
4-40309 Aug. 7, 1998 Cesar A. Montilla
33-7561, 34-40307 Aug. 6, 1998 Spacedev, Inc. and James W. Benson
34-40305 Aug. 5, 1998 Sony Corporation and Sumio Sano
33-7560, 34-40292, IA1739, IC23368 July 31, 1998 Prime Advisors, Inc., Norman Zadeh, and Jeffrey Goodstein
34-40291 July 31, 1998 Peter F. Kuebler, CPA
34-40290 July 31, 1998 Maria Mei Wenner, CPA
33-7559, 34-40282 July 30, 1998 Amerivision Communications, Inc., Hebron Communications Corp., Tracy C. Freeny and Carl D. Thompson
34-40281 July 30, 1998 Incomnet, Inc., Joel W. Greenberg, and Stephen A. Caswell
34-40280 July 30, 1998 Barbara J. Cavallo
34-40279 July 30, 1998 Ivor R. Ellul and Joseph R. Summa
34-40269 July 28, 1998 PFS Investments, Inc.
33-7557, 34-40267, IA1737, IC23333 July 28, 1998 Piper Capital Management, Inc., Worth V. Bruntjen, Marijo A. Goldstein, Robert H. Nelson, Amy K. Johnson, Molly Destro, and Edward J. Kohler
34-40265 July 27, 1998 Rudy Crosswell and Paula G. Den Boer
34-40259 July 23, 1998 Rosario Russell Ruggiero
34-40256 July 23, 1998 Eugene Laff, Stanley Aslanian, Jr., and Lawrence Caito
34-40234, IA1734 July 17, 1998 Brack Stanford and Associates, Inc. and Brack Stanford
33-7554, 34-40194 July 13, 1998 Coahoma County, MS, et al.
34-40183 July 9, 1998 Susan L. Henry
33-7553, 34-40184 July 9, 1998 Robert G. Bettiga
34-40181 July 8, 1998 Charles T. Young, CPA
34-40174 July 7, 1998 Hernan Jose Perez
34-40173 July 7, 1998 J.W. Korth & Co. and James Wilder Korth
33-7552, 34-40175, IC-23304, IA-1729 July 7, 1998 Fundamental Portfolio Advisors, Inc., Lance M. Brofman, Vincent J. Malanga, and Fundamental Service Corporation
34-40171 July 6, 1998 Gaston E. Oxman
34-40170 July 6, 1998 Frank J. Cooney
34-40169 July 6, 1998 Erick A. Gray
34-40168 July 6, 1998 My Dang

http://www.sec.gov/litigation/admin/adm3q98.shtml


Modified: 01/27/2005