|
|
 |
Administrative Proceedings: October 1 – December 29, 2003
| Release No. |
Date |
Respondents |
| 34-49007 |
Dec. 29, 2003 |
Eric Stuerken |
| 34-49006 |
Dec. 29, 2003 |
Edward Becker |
| 34-49005 |
Dec. 29, 2003 |
Gregg Becker |
| IA-2207 |
Dec. 29, 2003 |
Paul Joseph Sheehan dba Paul J. Sheehan & Associates |
| 34-48974 |
Dec. 23, 2003 |
Rocky Mountain Energy Corporation |
| 34-48968 |
Dec. 22, 2003 |
Mark Gilbert Platt, John Wayne Ezell and Richard M. Ohlhaber |
| 34-48962 |
Dec. 19, 2003 |
Genesco Inc.
Release No.: AAER-1930 |
| 34-48961 |
Dec. 19, 2003 |
Mary E. Crabtree
Release No.: AAER-1929 |
| 34-48951 |
Dec. 18, 2003 |
Hanover Compressor Company and William S. Goldberg,
Release No.: AAER-1927 |
| 34-48956 |
Dec. 18, 2003 |
Paul Wayne Mason (a/k/a Louis Ronnie Sarpy), Kristin Luck Emery, and Laurence Mark Anderson (a/k/a Ron Laurence) |
| IA-2205 |
Dec. 18, 2003 |
Alliance Capital Management, L.P.
Release No. IC-26312
(Note: See also amended Rel. No. IA-2205A) |
| IA-2203 |
Dec. 15, 2003 |
Wilfred Meckel and Robert T. Littell |
| 34-48916 |
Dec. 12, 2003 |
Cornerstone Propane Partners, L.P. |
| 34-48907 |
Dec. 11, 2003 |
Robert H. Pozner |
| 34-48905 |
Dec. 11, 2003 |
Marco G. Fiore, Jr., Benjamin V. Salmonese, Jr., Thomas Deceglie, And David C. Lavender |
| 34-48906 |
Dec. 11, 2003 |
Thomas D. Costello
Release No.: AAER-1921 |
| 33-8346 |
Dec. 11, 2003 |
Jon D. Hammes, Albert Gary Shilling, Allan H. Stefl, and Linda F. Stephenson
Release No.: IC-26290
(Note: See also Rel. No. 33-8346A,
Dissent of Commissioner Roel Campos) |
| IA-2201 |
Dec. 11, 2003 |
FT Interactive Data, f/k/a Interactive Data Corporation
Release No.: IC-26291 |
| 33-8342 |
Dec. 11, 2003 |
IMS/CPAs & Associates, Vernon T. Hall, Stanley E. Hargrave and Jerome B. Vernazza
Release Nos.: 34-48899; IA-2198 |
| 34-48901 |
Dec. 10, 2003 |
Peter F. Kuebler, CPA
Release No.: AAER-1920 |
| 34-48900 |
Dec. 10, 2003 |
John M. Youngdahl, Jr.
Release No.: IA-2199 |
| 34-48895 |
Dec. 9, 2003 |
E-Smart Technologies, Inc. F/K/A Plainview Laboratories, Inc. |
| 34-48873 |
Dec. 4, 2003 |
Shane Ferras |
| 34-48870 |
Dec. 3, 2003 |
Joseph F. Doody IV
Release No.: IA-2197 |
| 34-48862 |
Dec. 1, 2003 |
Valentin Fernandez, Juan Fernandez, Daniel J. Phillips, Matthew D. Stone and Haskell P. Stone |
| 34-48856 |
Dec. 1, 2003 |
Professional Transportation Group Ltd. |
| 33-8341 |
Nov. 26, 2003 |
Steven E. Muth, Richard J. Rouse and Bruce J. Bates
Release No. 34-48853 |
| 34-48852 |
Nov. 26, 2003 |
James Patrick Driver |
| 34-48850 |
Nov. 26, 2003 |
Steven Wise and Vladlen "Larry" Vindman aka Larry Vindman |
| 34-48849 |
Nov. 26, 2003 |
Schneider Securities, Inc. |
| 34-48830 |
Nov. 24, 2003 |
George F. Fahey
Release No. IA-2196 |
| 34-48826 |
Nov. 24, 2003 |
Bruce Follick, Salvatore Tavolacci, Karl Donovan, Aaron Sandstrom, Derek Shapiro, and Donald Brooks
(Note: see corrected version) |
| 34-48824 |
Nov. 24, 2003 |
Lawrence M. Barsi
Release No. IA-2195 |
| IA-2194 |
Nov. 20, 2003 |
Kaufman, Bernstein, Oberman, Tivoli & Miller, LLC, and Howard M. Bernstein
|
| IA-2193 |
Nov. 19, 2003 |
Sherman S. Smith |
| 34-48794 |
Nov. 17, 2003 |
Thomas Gregory Cook |
| 34-48793 |
Nov. 17, 2003 |
James H. Malbaff |
| 34-48792 |
Nov. 17, 2003 |
Lytle E. Foglesong |
| 34-48790 |
Nov. 17, 2003 |
David P. Melillo |
| 33-8339 |
Nov. 17, 2003 |
Morgan Stanley DW Inc. |
| 34-48783 |
Nov. 13, 2003 |
Axeda Systems Inc., Jason C. Liu and Stewart C. Adams
Release No.: AAER-1913 |
| 33-8338 |
Nov. 13, 2003 |
Gateway, Inc.
Release No.: AAER-1911 |
| 33-8337 |
Nov. 14, 2003 |
Marion Sherrill
Release No.: 34-48777 |
| 33-8336 |
Nov. 14, 2003 |
William Slone
Release No.: 34-48776 |
| IA-2192 |
Nov. 13, 2003 |
Putnam Investment Management LLC
Release No.: IC-26255 |
| 34-48770 |
Nov. 12, 2003 |
Rita J. McConville and Kevin M. Harris
Release No.: AAER-1910 |
| 34-48753 |
Nov. 6, 2003 |
Wendell D. Belden
Release No.: IA-2191 |
| 34-48748 |
Nov. 5, 2003 |
Kirkpatrick, Pettis, Smith, Polian Inc., Peter N. Lahti and Gregory D. Adams |
| IA-2190 |
Nov. 5, 2003 |
Remmington Advisors, Inc., and Kenneth Randall Ward |
| 34-48747 |
Nov. 4, 2003 |
Larry R. Crowder and John R. Powell |
| 34-48741 |
Nov. 3, 2003 |
B. Roland Frasier, III |
| 34-48739 |
Nov. 3, 2003 |
Andrew Doney |
| 34-48732 |
Oct. 31, 2003 |
Michael A. Sylver |
| 34-48725 |
Oct. 31, 2003 |
Jack Benjamin Grubman
Release No.: IA-2189 |
| 34-48724 |
Oct. 31, 2003 |
Henry M. Blodget
Release No.: IA-2188 |
| 34-48718 |
Oct. 30, 2003 |
Brut, LLC |
| 34-48715 |
Oct. 29, 2003 |
Paul A. Barrios III And Dennis P. O'Connell, Jr. |
| IA-2186 |
Oct. 29, 2003 |
Lisa A. Thiesfield |
| IA-2185 |
Oct. 28, 2003 |
Putnam Investment Management LLC
Release No.: IC-26232 |
| 34-48705 |
Oct. 27, 2003 |
Steven Hanna, Angelo John Bosco, Thomas Fede, Scott Follett, Paul Karkenny, Robert Palumbo, Stephen Palumbo, Raymond Saulon, Brian Scanlon and Joseph Tuozzo |
| 34-48704 |
Oct. 27, 2003 |
The Children's Beverage Group, Inc. |
| 34-48703 |
Oct. 27, 2003 |
William A. Wilkerson and The Phoenix Group of Florida, Inc. |
| 33-8311 |
Oct. 23, 2003 |
Energy & Engine Technology Corporation and ProActive Computer Services, Inc. |
| 33-8310 |
Oct. 23, 2003 |
First Capital International, Inc., Alexander Genin and Edwin M. Koziol |
| 33-8309 |
Oct. 23, 2003 |
Research Capital, LLC, Carl L. Smith, III, Richard Craig Hall, IR Specialists, Inc. and
Wayne H. Jenkins |
| 33-8308 |
Oct. 23, 2003 |
Lorsin, Inc., Loretta M. Lockhart, Craig K. Hjalmarson, Russell Management, Inc., George R. Siembida, Harold Engel, Jr., MicroCap Marketing, Inc., and Shane M. Nelson |
| 33-8307 |
Oct. 23, 2003 |
OTC Live, Inc. and Mark A. Suleymanov |
| 33-8306 |
Oct. 23, 2003 |
EquityAlert.com, Inc., Innotech Corporation, Bhupinder S. Mann, Harmel S. Rayat,
T&G2, Inc. and Virilitec Industries, Inc. |
| 33-8305 |
Oct. 23, 2003 |
SmallCap Solutions, Inc., Complete Financial and Operations, LLC, Tyler T. Fleming, Research Investment Group, Inc., and Scott H. Wilding |
| 34-48682 |
Oct. 22, 2003 |
Victor Herman, CPA
Release No.: AAER-1906 |
| 34-48679 |
Oct. 22, 2003 |
Anne H. Long, CPA
Release No.: AAER-1905 |
| 34-48661 |
Oct. 20, 2003 |
Louis B. Lloyd |
| 34-48655 |
Oct. 17, 2003 |
William G. Stayduhar, CPA
Release No.: AAER-1900 |
| 34-48654 |
Oct. 17, 2003 |
Peter C. Ferraro
Release No.: AAER-1899 |
| 34-48645 |
Oct. 16, 2003 |
Stephen A. White
Release No.: IA-2184 |
| 33-8304 |
Oct. 16, 2003 |
James Patrick Connelly Jr.
Release Nos.: 34-48643, IA-2183, IC-26209 |
| 34-48642 |
Oct. 16, 2003 |
Charles G. Dyer
Release No.: IA-2182 |
| 34-48638 |
Oct. 16, 2003 |
Arabian American Development Company and Hatem El-Khalidi
Release No.: AAER-1898 |
| 34-48635 |
Oct. 15, 2003 |
Mid-Ohio Securities Corp. |
| 34-48633 |
Oct. 15, 2003 |
James Mulhearn |
| 34-48629 |
Oct. 15, 2003 |
VantageMed Corporation
Release No.: AAER-1897 |
| 34-48628 |
Oct. 15, 2003 |
Joseph C. Kane, Jr. |
| 34-48608 |
Oct. 9, 2003 |
NCI Building Systems, Inc.
Release No.: AAER-1892 |
| 33-8302 |
Oct. 8, 2003 |
J.P. Morgan Securities, Inc.
Release No.: 34-48602 |
| 33-8301 |
Oct. 8, 2003 |
J.P. Morgan Securities, Inc. |
| 33-8300 |
Oct. 6, 2003 |
Jeffrey J. Schneider, CPA
Release Nos. 34-48594, AAER-1889 |
| 34-48593 |
Oct. 6, 2003 |
Adrian Balboa |
| 33-8299 |
Oct. 2, 2003 |
Rubin Investment Group, Inc., et al.
Release No.: 34-48589 |
| 33-8298 |
Oct. 2, 2003 |
Steven B. Markovitz
Release Nos.: 34-48588, IA-2180, IC-26201 |
| 34-48580 |
Oct. 1, 2003 |
Laurence M. Simon, CPA
Release No.: AAER-1885 |
| 34-48578 |
Oct. 1, 2003 |
Richard Fiedelman, CPA
Release No.: AAER-1884 |
http://www.sec.gov/litigation/admin/adm4q03.shtml
|
