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Administrative Proceedings: July 6 – September 30, 1998
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| 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
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