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Administrative Proceedings: October 3 – December 31, 1997
| | Release No. | Date | Respondents | 33-7493,
34-39508 | Dec. 31, 1997 | Kerrigan Sean Weber | | 34-39507 | Dec. 31, 1997 | Oliver G. Richard III, and Jay B. Corn | | 34-39506 | Dec. 31, 1997 | New Jersey Resources Corp., Laurence M. Downes and Glenn C. Lockwood | 33-7492
34-39501 | Dec. 30, 1997 | Elliot B. Rosenberg, Jack A. Gilbert, Howard M. Caplan, Gerald J. Perlmutar and Douglas H. Mansfield | | 34-39486 | Dec. 23, 1997 | H. Thomas Fehn | | 34-39485 | Dec. 23, 1997 | James A. Terrano, Lynn R. Michl, CPA | 33-7490,
IA-1689 | Dec. 23, 1997 | Eugene Bilotti | | 34-39471 | Dec. 22, 1997 | Rocky Mountain International, Ltd. | | IA-1688 | Dec. 22, 1997 | Renaissance Capital Advisors, Inc. and Richard N. Fine | | 34-39472 | Dec. 22, 1997 | Presstek, Inc. | | 34-39464 | Dec. 18, 1997 | Graham F. Lacey | | 34-39463 | Dec. 18, 1997 | Alan R. Mishkin | 34-39447,
AAE-995 | Dec. 12, 1997 | Warren L. Rawls, C.P.A. | | 34-39432 | Dec. 11, 1997 | Simon Dominic Baier | | 34-39430 | Dec. 11, 1997 | Nicholas Giandomenico | | 34-39431 | Dec. 11, 1997 | Charles O. Huttoe | 33-7489;
34-39429 | Dec. 11, 1997 | Phillip Pepe | 33-7488;
34-39428 | Dec. 11, 1997 | Anthony Lollis | 33-7487;
34-39427 | Dec. 11, 1997 | Craig Curtis Peterson | 33-7486;
34-39426 | Dec. 11, 1997 | Kenneth Alan Larson | | 33-7485;
34-39425
| Dec. 11, 1997 | Michael Graber | 33-7484;
34-39424 | Dec. 11, 1997 | Brian Patrick Cork | 33-7482;
34-39398 | Dec. 4, 1997 | Armscott Securities, Ltd. | IA-1683;
34-39397 | Dec. 4, 1997 | A. Morgan Maree, Jr. & Associates, Inc., and Hugh Duff Robertson | | 33-7483,
34-39399
| Dec. 4, 1997 | Mark David anderson | 33-7481;
34-39396 | Dec. 3, 1997 | Brent W. Berry | | 33-7480;
34-39388
| Dec. 3, 1997 | Lazard Freres & Co. LLC | 34-39376;
AAE-991 | Dec. 1, 1997 | Stephen P. Morin, CPA | 33-7477;
34-39375 | Dec. 1, 1997 | Eric 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. | | 34-39362 | Nov. 26, 1997 | Freeman B. Irby III | AAE-994;
34-39400 | Dec. 4, 1997; | KPMG Peat Marwick LLP | 34-39377;
AAE-992 | Dec. 1, 1997 | Robert Gossett and Ronald Langos | | 34-39360 | Nov. 26, 1997 | Anthony S. Battaglia, Jr. | | 34-39335 | Nov. 18, 1997 | Wayne J. Conners, Thomas A. Piechowicz, James M. Flynn, Sharon Bartock, Winfred Kipp, and Christopher D. Conway | 34-39329;
AAE-987 | Nov. 17, 1997 | Bausch & Lomb Incorporated, Harold O. Johnson, Ermin Ianacone, and Kurt Matsumoto | | 34-39314 | Nov. 7, 1997 | Kenneth O'Neal, Donald White, and George Christopher Bleier | | 34-39312 | Nov. 7, 1997 | Russo Securities, Inc., Patrick Russo, and Kimberly Kent | 34-39310;
33-7474 | Nov. 7, 1997 | Sky Scientific, Inc. | 33-7473;
34-39293 | Nov. 4, 1997 | Dickinson & Co. and T. Marshall Swartwood | | 34-39290 | Nov. 3, 1997 | Orlando Super Card, Inc. | | 34-39283 | Oct. 29, 1997 | Ronald J. Viemont | | 34-39279;
IA-1680
| Oct. 27, 1997 | Bradbury Financial Group, Inc., and Randall E. Bradbury | 33-7471;
34-39263 | Oct. 22, 1997 | Sky Scientific, Inc., at al. | | 33-7469;
IA-1678
| Oct. 20, 1997 | Lawrence A. Krause, Kw Financial Services, Inc., KW Securities Corp., Lawrence A. Krause & Associates, Inc. | | 34-39243 | Oct. 16, 1997 | John L. Bridges, Jr. | 33-7467;
34-39208 | Oct. 7, 1997 | Wayne 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, 1997 | Wayne J. Conners, Thomas A. Piechowicz, James M. Flynn, Sharon Bartock, Winfred Kipp and Christopher D. Conway | | 34-39215 | Oct. 7, 1997 | United States Properties, Inc. ("USPI") | 34-39212
IA-1677 | Oct. 7, 1997 | Mark E. Gatch | | 34-39210 | Oct. 7, 1997 | Duane Green | 34-39194
AAE-975 | Oct. 3, 1997 | Pinnacle Micro, Inc., Scott A. Blum, and Lilia Craig |
http://www.sec.gov/litigation/admin/adm4q97.shtml
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