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Administrative Proceedings: October 3 – December 31, 1997

Release No.DateRespondents
33-7493,
34-39508
Dec. 31, 1997Kerrigan Sean Weber
34-39507Dec. 31, 1997Oliver G. Richard III, and Jay B. Corn
34-39506Dec. 31, 1997New Jersey Resources Corp., Laurence M. Downes and Glenn C. Lockwood
33-7492
34-39501
Dec. 30, 1997Elliot B. Rosenberg, Jack A. Gilbert, Howard M. Caplan, Gerald J. Perlmutar and Douglas H. Mansfield
34-39486Dec. 23, 1997H. Thomas Fehn
34-39485Dec. 23, 1997James A. Terrano, Lynn R. Michl, CPA
33-7490,
IA-1689
Dec. 23, 1997Eugene Bilotti
34-39471Dec. 22, 1997Rocky Mountain International, Ltd.
IA-1688Dec. 22, 1997Renaissance Capital Advisors, Inc. and Richard N. Fine
34-39472Dec. 22, 1997Presstek, Inc.
34-39464Dec. 18, 1997Graham F. Lacey
34-39463Dec. 18, 1997Alan R. Mishkin
34-39447,
AAE-995
Dec. 12, 1997Warren L. Rawls, C.P.A.
34-39432Dec. 11, 1997Simon Dominic Baier
34-39430Dec. 11, 1997Nicholas Giandomenico
34-39431Dec. 11, 1997Charles O. Huttoe
33-7489;
34-39429
Dec. 11, 1997Phillip Pepe
33-7488;
34-39428
Dec. 11, 1997Anthony Lollis
33-7487;
34-39427
Dec. 11, 1997Craig Curtis Peterson
33-7486;
34-39426
Dec. 11, 1997Kenneth Alan Larson
33-7485;

34-39425

Dec. 11, 1997Michael Graber
33-7484;
34-39424
Dec. 11, 1997Brian Patrick Cork
33-7482;
34-39398
Dec. 4, 1997Armscott Securities, Ltd.
IA-1683;
34-39397
Dec. 4, 1997A. Morgan Maree, Jr. & Associates, Inc., and Hugh Duff Robertson
33-7483,

34-39399

Dec. 4, 1997Mark David anderson
33-7481;
34-39396
Dec. 3, 1997Brent W. Berry
33-7480;

34-39388

Dec. 3, 1997Lazard Freres & Co. LLC
34-39376;
AAE-991
Dec. 1, 1997Stephen P. Morin, CPA
33-7477;
34-39375
Dec. 1, 1997Eric S. Blumen, Ira A. Boshnack, Andrew S. Friedman, Jordan I. Shamah and Irving Stitsky, all former principals and registered representatives ("RRs"), and Douglas C. Miller, a former RR, at Stratton Oakmont, Inc.
34-39362Nov. 26, 1997Freeman B. Irby III
AAE-994;
34-39400
Dec. 4, 1997;KPMG Peat Marwick LLP
34-39377;
AAE-992
Dec. 1, 1997Robert Gossett and Ronald Langos
34-39360Nov. 26, 1997Anthony S. Battaglia, Jr.
34-39335Nov. 18, 1997Wayne J. Conners, Thomas A. Piechowicz, James M. Flynn, Sharon Bartock, Winfred Kipp, and Christopher D. Conway
34-39329;
AAE-987
Nov. 17, 1997Bausch & Lomb Incorporated, Harold O. Johnson, Ermin Ianacone, and Kurt Matsumoto
34-39314Nov. 7, 1997Kenneth O'Neal, Donald White, and George Christopher Bleier
34-39312Nov. 7, 1997Russo Securities, Inc., Patrick Russo, and Kimberly Kent
34-39310;
33-7474
Nov. 7, 1997Sky Scientific, Inc.
33-7473;
34-39293
Nov. 4, 1997Dickinson & Co. and T. Marshall Swartwood
34-39290Nov. 3, 1997Orlando Super Card, Inc.
34-39283Oct. 29, 1997Ronald J. Viemont
34-39279;

IA-1680

Oct. 27, 1997 Bradbury Financial Group, Inc., and Randall E. Bradbury
33-7471;
34-39263
Oct. 22, 1997Sky Scientific, Inc., at al.
33-7469;

IA-1678

Oct. 20, 1997Lawrence A. Krause, Kw Financial Services, Inc., KW Securities Corp., Lawrence A. Krause & Associates, Inc.
34-39243Oct. 16, 1997John L. Bridges, Jr.
33-7467;
34-39208
Oct. 7, 1997Wayne J. Conners, Thomas A. Piechowicz, James M. Flynn, Sharon Bartock, Winfred Kipp, and Christopher D. Conway
33-7466;
34-39207
Oct. 7, 1997 Wayne J. Conners, Thomas A. Piechowicz, James M. Flynn, Sharon Bartock, Winfred Kipp, Thomas A. Piechowicz, and Christopher D. Conway
33-7468
34-39209
Oct. 7, 1997Wayne J. Conners, Thomas A. Piechowicz, James M. Flynn, Sharon Bartock, Winfred Kipp and Christopher D. Conway
34-39215Oct. 7, 1997United States Properties, Inc. ("USPI")
34-39212
IA-1677
Oct. 7, 1997Mark E. Gatch
34-39210Oct. 7, 1997Duane Green
34-39194
 AAE-975
Oct. 3, 1997Pinnacle Micro, Inc., Scott A. Blum, and Lilia Craig

http://www.sec.gov/litigation/admin/adm4q97.shtml


Modified: 01/04/2002