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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


Modified: 05/03/2001