SEC Seal Home | Jobs | Fast Answers | Site Map | Search
U.S. Securities and Exchange Commission


  About the SEC

  Filings & Forms

  Regulatory Actions

  Staff Interps

  Investor Info

  News & Statements

  Litigation


  ALJ

  Information for...

  Divisions


Administrative Proceedings: October 2 – December 31, 1996

Release No.DateRespondents
34-38102 Dec. 31, 1996Mark S. Ferber
34-38088 Dec. 26, 1996Dennis Lindsay Helliwell
34-38083 Dec. 24, 1996Michael Donald McGahee
34-38074 Dec. 23, 1996Stanley L. Swoyer
34-38061 Dec. 19, 1996Dale E. Barlage
34-38055 Dec. 18, 1996Peter M. Harrington
33-7374 Dec. 16, 1996Ernest W. Grendi
33-7372 Dec. 16, 1996Sky Scientific, Inc., Denver Broker-Dealers and Others
33-7370 Dec. 10, 1996Robert Tatarowicz
34-38037 Dec. 10, 1996Frederick V. Dona, Jr.
34-38035 Dec. 10, 1996Michael Goodbread
34-38028 Dec. 9, 1996Steven A. Lapper
34-38027 Dec. 9, 1996Shaner & Company, Inc. and Mark S. Shaner
34-38026 Dec. 6, 1996Stratton Oakmont, Inc. and Daniel M. Porush
33-7368 Dec. 4, 1996 Portfolio Management Consultants, Inc.
34-38016 Dec. 4, 1996Westcap Securities, L.P.
33-7367 Dec. 2, 1996Philip S. Sindler
34-38003 Dec. 2, 1996James W. Adams
34-38002 Dec. 2, 1996David Anderson
34-38001 Dec. 2, 1996 Stuart, Coleman & Co., Inc.
33-7366 Nov. 26, 1996DeSoto Broadcasting, Inc. and Danford Sawyer, Jr.
34-37984 Nov. 25, 1996Alliance Industries, Inc.
34-37966 Nov. 19, 1996 OmniGene Diagnostics, Inc.
33-7365 Nov. 18, 1996Carmel Equity Partners, Richard L. Goodrich, Lawrence D. Isen, Peter P. Kim, Bruce E. Mesnekoff, John B. Morris, and Kelsey Van Deventer
33-7364 Nov. 14, 1996Quality Products, Inc.
34-37940 Nov. 12, 1996Fox-Pitt, Kelton, Inc.
33-7363 Nov. 12, 1996George R. Johnston and Johnston Kent Securities, Inc.
34-37938 Nov. 12, 1996Karl G. Wassmann III
34-37932 Nov. 8, 1996Atlantis Group, Inc. (formerly known as Microterra, Inc.), Richard Fox and James E. Sidbury
34-37926 Nov. 6, 1996Edward D. Jones & Co.
33-7362 Nov. 6, 1996Robert Gann
33-7360 Oct. 31, 1996Gruntal & Co., Inc. and Gruntal Financial Corp.
33-7359 Oct. 31, 1996Gruntal & Co., Inc.
34-37905 Oct. 31, 1996Troy Lee Wood
34-37898 Oct. 31, 1996Peter C. Tosto
34-37892 Oct. 29, 1996Richard K. Steele, Sr.
34-37889 Oct. 29, 1996International Energy, Development Coproation and Jerome B. Richter
34-37879 Oct. 28, 1996Alan G. Lewis
34-37848 Oct. 22, 1996Calvin M. Dyer
34-37847 Oct. 22, 1996Midisoft Corporation
34-37843 Oct. 21, 1996Greg Steven Kaplan
33-7358 Oct. 17, 1996Cambridge Biotech Corporation
34-37834 Oct. 17, 1996Nir Kantor
IA-1594 Oct. 17, 1996Calamos Asset Management, Inc. and John P. Calamos
34-37832 Oct. 17, 1996 Andrew Bressman, Roman Okin, Richard Acosta, Richard Simone, Burton Blank, Mark Goldman and Jack Wolynez
34-37831 Oct. 17, 1996A.R. Baron & Co., Inc.
34-37830 Oct. 17, 1996A.R. Baron & Co. Inc., Andrew E. Bressman and Roman Okin
34-37822 Oct. 15, 1996George A. Rotelli
34-37821 Oct. 15, 1996Alfred M. Bauer
34-37820 Oct. 15, 1996Flagship Securities, Inc., Dennis G. Milewitz And Noreen M. Barrington
34-37819 Oct. 15, 1996Novatek International, Inc.
34-37804 Oct. 15, 1996Greenway Capital Corporation and Joseph M. Guccione
34-37814 Oct. 11, 1996Paul L. Parshall
33-7357Oct. 10, 1996 Roland Acevedo, Alfred P. Avasso, George Badger, Steve Bingaman, Ira Blackey, Thomas J. Browne, Daryl Buerge, Richard Cedrone, Cary Cimino, Dale Eyman, John Fasano, Bartholomew Haring, Theodore Heitzman, Gary Hrycyk, Richard Langley, Jr., Michael Lapp, Gerald Larder, Norman Lescht, Miron Leshem, William Lucas, Richard Mallion, James Manas, Gamal Ashraf Marwan, Gerald Cash Mcneil, Gary Mitchell, Robert Mitchell, Gregory John Mouen, Timothy Murray, Edward Padnos, George Panagiotou, Joseph Pignatiello, Jeff Pokross, Alexander Ruge, Blake Marshall Russ, Mark Anthony Savage, Robert Schulman, Andrew Scudiero, Sy Siegel, Bertram Slutsky, Jeffry Szur, Jeff Trenk, Dean Christopher Verrigni, Trung Vugia, Edward Williamson, Allen Wolfson John Chapman;
34-37798 Oct. 9, 1996Richard Cannistraro
34-37791 Oct. 7, 1996Systems of Excellence, Inc.
34-37785 Oct. 4, 1996William Edwin Somdahl
34-37775 Oct. 2, 1996 Daniel D. Dietrich and Robert J. Judge
33-7354 Oct. 2, 1996Maricopa County
33-7353 Oct. 2, 1996Peacock, Hislop, Staley & Given, Inc. and Larry S. Given
33-7352 Oct. 2, 1996Aura Systems Inc., Zvi Kurtzman, Francis T. Phalen and Joseph Bevacqua

http://www.sec.gov/litigation/admin/adm4q96.shtml


Modified: 01/04/2002