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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


Modified: 06/10/2004