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Administrative Proceedings: July 1 – September 30, 1999
| Release No. |
Date |
Respondents |
| 34-41966 |
Sep. 30, 1999 |
David E. Houge |
| 34-41965 |
Sep. 30, 1999 |
Michael Paul Green |
| 34-41964 |
Sep. 30, 1999 |
Jeffrey A. Parker |
| 34-41963 |
Sep. 30, 1999 |
Legg Mason Wood Walker, Inc., Thomas M. Daly, and Joseph Sullivan |
| 34-41962 |
Sep. 30, 1999 |
Jerald F. Albin |
| 34-41960 |
Sep. 30, 1999 |
Howard Zalkin and Barry E. Adelson |
| 34-41959 |
Sep. 30, 1999 |
Ralph W. LeBlanc |
| 34-41958 |
Sep. 30, 1999 |
Frank Gaines |
| 34-41957 |
Sep. 30, 1999 |
Briant C. Patterson, Inc. and Briant Patterson |
| 34-41956 |
Sep. 30, 1999 |
Frank Grillo |
| 34-41955 |
Sep. 30, 1999 |
Seasongood & Mayer and Richard D. Reis |
| 34-41954 |
Sep. 30, 1999 |
William J. Bramble, Jr. |
| 34-41953 |
Sep. 30, 1999 |
Amerivest Financial Group, Inc. |
| 34-41952 |
Sep. 30, 1999 |
Michael Goldberg, CPA |
| 34-41951 |
Sep. 30, 1999 |
Ronald A. Knittle and Gregory G. Vernon |
| 34-41950 |
Sep. 30, 1999 |
Madlyn L. Ferro and Dwight H. Stephens |
| 34-41949 |
Sep. 30, 1999 |
Jeno K. Koch |
| 33-7749 |
Sep. 30, 1999 |
Derrick C. Johnson |
| 33-7747 |
Sep. 30, 1999 |
Bobby L. Rodgers |
| IA-1841 |
Sep. 30, 1999 |
Marvin & Palmer Associates, Inc., David F. Marvin, MacThom Associates, Inc. and Thomas E. Dubis |
| IA-1840 |
Sep. 30, 1999 |
Jeffrey Brommer |
| IA-1839 |
Sep. 30, 1999 |
Rupay-Barrington Investment Advisory Services, Inc. |
| IA-1838 |
Sep. 30, 1999 |
J. Scott Eskind |
| 34-41945 |
Sep. 29, 1999 |
John Picardi |
| 34-41944 |
Sep. 29, 1999 |
Christine A. Beyer |
| 34-41942 |
Sep. 29, 1999 |
Sterling Foster & Company, Inc. and Adam Lieberman |
| 33-7746 |
Sep. 29, 1999 |
Paul Page, Jr. and The Page Group |
| 34-41941 |
Sep. 29, 1999 |
Charles D. Ledford |
| 34-41940 |
Sep. 29, 1999 |
Mario Iacoviello |
| IA-1837 |
Sep. 29, 1999 |
Robert J. Smith |
| 34-41935 |
Sep. 28, 1999 |
Peter Madsen and Mark Rafferty
Release Nos. 34-41935 |
| 34-41934 |
Sep. 28, 1999 |
Paul Thomas Fink
Release Nos. 34-41934 |
| 34-41933 |
Sep. 28, 1999 |
Kenneth Schwartz and Joel Steinberg
Release Nos. 34-41933 |
| 34-41932 |
Sep. 28, 1999 |
Model Imperial, Inc. |
| 34-41931 |
Sep. 28, 1999 |
Danny R. Auerbach, Michael L. Glaser, and James Montgomery, II
Release Nos. 34-41931 |
| 34-41930 |
Sep. 28, 1999 |
Material Sciences Corporation
Release Nos. 34-41930 |
| 34-41929 |
Sep. 28, 1999 |
Stephen J. Pace
Release Nos. 34-41929 |
| 34-41928 |
Sep. 28, 1999 |
Laura M. Drews
Release Nos. 34-41928 |
| 34-41927 |
Sep. 28, 1999 |
Joseph A. Mathes |
| 34-41926 |
Sep. 28, 1999 |
Robert S. Chamberlain |
| 34-41925 |
Sep. 28, 1999 |
Raintree Healthcare Corporation, formerly known as Unison HealthCare Corporation |
| 34-41924 |
Sep. 28, 1999 |
Steven R. Zemaitis and Julie Freisinger |
| 34-41923 |
Sep. 28, 1999 |
Ricky D. Barkley
Release Nos. 34-41923 |
| 34-41919 |
Sep. 27, 1999 |
Steven J. Erlsten, Jr., William H. Clark, Derek L. DuBois and Aaron Finkelstein |
| IA-1836 |
Sep. 27, 1999 |
Ellen Griggs |
| IA-1835 |
Sep. 27, 1999 |
William J. Lieberman |
| IA-1834 |
Sep. 27, 1999 |
Capital Markets Research Company and Paul Edward Holl |
| IA-1833 |
Sep. 27, 1999 |
Harry Michael Schwartz |
| 34-41915 |
Sep. 27, 1999 |
Gary A. Rue |
| 34-41914 |
Sep. 24, 1999 |
Bernard J. Krispinsky
Release Nos. 34-41914, IA-1832 |
| 34-41913 |
Sep. 24, 1999 |
Warren G. Trepp |
| 34-41911 |
Sep. 24, 1999 |
Jerry W. Anderson and Robert M. Kerns |
| 34-41909 |
Sep. 23, 1999 |
Marsh Block & Co., Inc, Alfred G. Block, Kenneth L. Marsh, and Jeffrey M. Miller |
| 34-41908 |
Sep. 23, 1999 |
First Colonial Securities Group, Inc., Michael E. Golden, and Steven D. Schwartz |
| 34-41906 |
Sep. 23, 1999 |
David Scott Heredia |
| 34-41899 |
Sep. 22, 1999 |
Robin A. Heiney |
| 34-41898 |
Sep. 22, 1999 |
Philip A. Lehman and Tower Equities, Inc.
Release Nos. 33-7742, 34-41898, IA-1831 |
| IA-1830 |
Sep. 22, 1999 |
Gary L. Pittsford |
| 34-41895 |
Sep. 22, 1999 |
William A. Moler and Strategic Resource Management, Inc. |
| 34-41894 |
Sep. 22, 1999 |
Herbert Woll, C.P.A. |
| IA-1829 |
Sep. 22, 1999 |
Edward Arnold Patterson |
| 34-41896 |
Sep. 22, 1999 |
City of Miami, Florida, Cesar Odio and Manohar Surana |
| 34-41893 |
Sep. 22, 1999 |
Barry A. Bates |
| 34-41888 |
Sep. 20, 1999 |
Brian D. O'Toole, Steven D. Pirrone, and Spectrum Securities Inc.
Release Nos. 34-41888, IA-1828 |
| 34-41887 |
Sep. 20, 1999 |
Dorthy A. Chikly
Release Nos. 34-41887, IA-1827 |
| 34-41885 |
Sep. 20, 1999 |
William McNamara |
| 34-41878 |
Sep. 15, 1999 |
Madison Group Associates, Inc. |
| 34-41876 |
Sep. 14, 1999 |
Kevin James Quinn |
| 34-41873 |
Sep. 14, 1999 |
Dominic Scacci |
| 34-41865 |
Sep. 13, 1999 |
Kevin C. Samson |
| IA-1825 |
Sep. 13, 1999 |
Engebretson Capital Management, Inc. and Lester W. Engebretson |
| 34-41853 |
Sep. 10, 1999 |
Wayne J. Conners, Thomas A. Piechowicz, James M. Flynn, Sharon Bartock, Winfred Kipp and Christopher D. Conway
Release Nos. 33-7738, 34-41853 |
| IA-1824 |
Sep. 9, 1999 |
Schield Management Company, Marshall L. Schield, and Troy Schield |
| IA-1823 |
Sep. 9, 1999 |
Michael J. Rothmeier, Clarke T. Blizzard, Rudolph Abel, Donald C. Berry, Christopher P. Roach, Craig Janutol, East West Institutional Services, Inc. |
| IA-1822 |
Sep. 9, 1999 |
Karen Michalski and Christopher D. Sargent |
| IA-1821 |
|
Fleet Investment Advisors Inc. (as successor to Shawmut Investment Advisers, Inc.) |
| 34-41842 |
Sep. 8, 1999 |
Annable Turner & Co., Inc. ("ATCO") and Roger E. Turner |
| 34-41841 |
Sep. 8, 1999 |
David A. Johnston |
| IA-1819 |
Sep. 8, 1999 |
Van Kampen Investment Advisory Corp. and Alan Sachtleben |
| 34-41835 |
Sep. 3, 1999 |
Steven G. Barkus |
| 34-41807 |
Aug. 30, 1999 |
Cery B. Perle |
| 34-41806 |
Aug. 30, 1999 |
Jerald M. Banks |
| 33-7729 |
Aug. 30, 1999 |
Fastlane Footwear, Inc. and John H. Lefere |
| 34-41798 |
Aug. 26, 1999 |
Alpha Tech Stock Transfer Trust, Greenfield Fund, Inc., Manor Investment Funds, Inc., and United Stock Transfer, Inc. |
| 34-41793 |
Aug. 26, 1999 |
Peachtree Stock Transfer and Robert J. Crain, Jr. |
| 34-41792 |
Aug. 26, 1999 |
Bassett Furniture Industries, Inc. and Thermal Energy Storage, Inc. |
| IA-1818 |
Aug. 26, 1999 |
Calvin Douglas Brace |
| IA-1817 |
Aug. 26, 1999 |
Amervest Company, Inc. and KMI Realty Advisors, Inc. |
| IA-1816 |
Aug. 26, 1999 |
Huber Hogan Consulting, Inc. ("Huber Hogan"); Russon Financial Services, Inc. ("Russon"); and Robert C. Sears ("Sears") |
| 34-41785 |
Aug. 24, 1999 |
Carl F. Ruzicka |
| 34-41784 |
Aug. 24, 1999 |
Mamadou M. M'Bodj |
| 34-41765 |
Aug. 19, 1999 |
Ronnie R. Neihart |
| 34-41764 |
Aug. 19, 1999 |
Daniel L. Koehler |
| 34-41761 |
Aug. 19, 1999 |
Michael P. Traba
Release Nos. 33-7727, 34-41761 |
| 34-41760 |
Aug. 19, 1999 |
Peachtree Partners |
| 34-41759 |
Aug. 19, 1999 |
IG Holding, Inc. |
| 34-41756 |
Aug. 18, 1999 |
Christian R. Higgins, Charles L. Powell, James P. Gallaher, Dale J. Engelhardt, and Trey L. Friedmann |
| 34-41754 |
Aug. 18, 1999 |
John J. McGarry
Release Nos. 33-7726, 34-41754 |
| 34-41753 |
Aug. 18, 1999 |
Welco Securities, Inc., William S. Shapiro, and Kenneth S. Shapiro |
| 34-41751 |
Aug. 17, 1999 |
Inamed Corporation |
| 34-41750 |
Aug. 17, 1999 |
Steven Gale Trapp |
| 34-41749 |
Aug. 17, 1999 |
Raymond R. Kripaitis |
| 34-41745 |
Aug. 16, 1999 |
Meda Belle McKinney |
| 34-41744 |
Aug. 16, 1999 |
Michael A. Usher and Gilbert Marshall & Co, Inc. |
| 34-41741 |
Aug. 13, 1999 |
Michael William Ribant |
| 34-41740 |
Aug. 13, 1999 |
Ronald Obsgarten |
| 34-41739 |
Aug. 13, 1999 |
Craig Freeman, William Lashbrook, and Robert Sewell |
| IA-1814 |
Aug. 12, 1999 |
Bing Sung |
| 34-41734 |
Aug. 12, 1999 |
Jeffrey Feld |
| 34-41729 |
Aug. 11, 1999 |
Owen D. Taranta, CPA |
| 33-7722 |
Aug. 11, 1999 |
Americorp Securities, Inc., and Drew Edgar Schaefer |
| 34-41720 |
Aug. 10, 1999 |
Michael J. Marrie and Brian L. Berry |
| 34-41713 |
Aug. 6, 1999 |
Laurie Jones Canady |
| 34-41710 |
Aug. 5, 1999 |
Jennifer D'Antoni |
| 34-41696 |
Aug. 3, 1999 |
Jon Mark Stewart |
| IA-1813 |
|
Bell Capital Management, Inc., Ronnie H. Bell, Thomas C. Comsudes, and Mark S. Palmer |
| 34-41708 |
Aug. 5, 1999 |
Richard Harriton
Release Nos. 33-7719, 34-41708 |
| 34-41707 |
Aug. 5, 1999 |
Bear, Stearns Securities Corporation
Release Nos. 33-7718, 34-41707 |
| 34-41697 |
Aug. 3, 1999 |
DeWayne R. VonFeldt |
| 34-41695 |
Aug. 2, 1999 |
Del Mar Financial Services, Inc. and Private Brokers Corporation and Others
Release Nos. 33-7717, 34-41695 |
| 34-41694 |
Aug. 2, 1999 |
Morton B. Lempel
Release Nos. 33-7716, 34-41694 |
| 34-41693 |
Aug. 2, 1999 |
Nicholas Catalano
Release Nos. 33-7715, 34-41693 |
| 34-41692 |
Aug. 2, 1999 |
Jeffery W. Berns
Release Nos. 33-7714, 34-41692 |
| 34-41691 |
Aug. 2, 1999 |
G. Bradley Taylor
Release Nos. 33-7713, 34-41691 |
| 34-41690 |
Aug. 2, 1999 |
RichMark Capital Corporation and Doyle Mark White
Release Nos. 33-7712, 34-41690 |
| 34-41689 |
Aug. 2, 1999 |
Jethro J. Barlow, CPA, Alan K. Burton, J. Edwards Cox, Robert G. Weeks, David A. Hesterman and Kenneth L. Weeks
Release Nos. 33-7711, 34-41689 |
| 34-41688 |
Aug. 2, 1999 |
Dynamic American Corporation |
| 34-41687 |
Aug. 2, 1999 |
National Stock Transfer, Inc., Krista Castleton Nielsen, and Roger Lee Greer
Release Nos. 33-7709, 34-41687 |
| 34-41686 |
Aug. 2, 1999 |
John J. Kenna |
| 34-41685 |
Aug. 2, 1999 |
Michael R. Reilly |
| 34-41681 |
Aug. 2, 1999 |
American Telephone + Data, Inc. |
| 34-41680 |
Aug. 2, 1999 |
Gerald R. Hinshaw |
| 34-41679 |
Aug. 2, 1999 |
Steven J. Cook
Release Nos. 33-7708, 34-41679 |
| 33-7710 |
Aug. 2, 1999 |
Fastlane Footwear, Inc. and John H. Lefere |
| IA-1811 |
Aug. 2, 1999 |
Energy Equities Inc. and David G. Snow |
| 34-41676 |
Jul. 30, 1999 |
Richard I. Brewer, CPA |
| 34-41667 |
Jul. 28, 1999 |
Great White Marine & Recreation, Inc. |
| 34-41665 |
Jul. 28, 1999 |
Micro Warehouse, Inc. |
| 34-41656 |
Jul. 27, 1999 |
Hartley T. Bernstein |
| 33-7706 |
Jul. 26, 1999 |
Robert J. Stahl |
| 33-7705 |
Jul. 26, 1999 |
Elizabeth A. Boyd |
| 34-41639 |
Jul. 22, 1999 |
Sean P. Brennan and Keith E. Walsh
Release Nos. 33-7704, 34-41639, IA-1810 |
| 34-41632 |
Jul. 21, 1999 |
Web Works Marketing.com, Inc. and Trace D. Cornell
Release Nos. 33-7703, 34-41632 |
| 34-41631 |
Jul. 21, 1999 |
Joe Loofbourrow
Release Nos. 33-7700, 34-41631 |
| 33-7702 |
Jul. 21, 1999 |
WowAuction.com Inc. and Steven Michael Gaddis, Sr. |
| 33-7701 |
Jul. 21, 1999 |
Theodore Sotirakis |
| 34-41616 |
Jul. 13, 1999 |
Peter W. Zent and Michael A. Cornblum |
| 33-7697 |
Jul. 7, 1999 |
Gary J. Pierce and C.S.I. Ag. |
| 34-41601 |
Jul. 7, 1999 |
A.S. Goldmen & Co., Inc. |
| 34-41587 |
Jul. 1, 1999 |
James T. Staples |
| 33-7696 |
Jul. 1, 1999 |
City of Anaheim, City of Irvine, Irvine Unified School District, and Orange County Board of Education |
http://www.sec.gov/litigation/admin/adm3q99.shtml
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