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Administrative Proceedings: October 8 – December 29, 1998
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| Release No. |
Date |
Respondents |
| 34-40859 |
Dec. 29, 1998 |
Steven M. Gross |
| 34-40860 |
Dec. 29, 1998 |
Michael W. Roberts, C.P.A. |
| 34-40855 |
Dec. 29, 1998 |
Cesar A. Montilla |
| 33-1779 |
Dec. 28, 1998 |
Meridian Investment Management Corporation, Michael J. Hart, and Craig T. Callahan |
| 33-7619 |
Dec. 23, 1998 |
Sean P. Brennan and Keith E. Walsh |
| 34-40831 |
Dec. 23, 1998 |
Wayne T. Drinkwine |
| 34-40827 |
Dec. 23, 1998 |
Teressa L. Cawley |
| 34-40819 |
Dec. 22, 1998 |
Jean-Paul Bolduc, Brian J. Smith, CPA, Richard N. Sukenik, CPA, Philip J. Ryan III, Constantine L. Hampers, A. Miles Nogelo, and Robert W. Armstrong III, CPA |
| 34-40818 |
Dec. 21, 1998 |
William C. Bethea |
| 34-40788 |
Dec. 14, 1998 |
Marisa Baridis |
| 34-40787 |
Dec. 14, 1998 |
Keith Youngswick |
| 34-40769 |
Dec. 10, 1998 |
Anthony J. Bruno and James A. Bruno |
33-7617,
34-40772,
IC-23595 |
Dec. 10, 1998 |
Michael P. Traba |
33-7616,
34-40770 |
Dec. 10, 1998 |
City of Moorhead, Mississippi |
| 34-40765 |
Dec. 9, 1998 |
FSC Securities Corporation |
33-7615,
34-40766 |
Dec. 9, 1998 |
Richard Hoffman and Kirk Montgomery |
33-7614,
34-40764
IA-1776 |
Dec. 9, 1998 |
Spectrum Administration, Inc., Ronald Kindschi and Michael A. Flanagan, Sr. |
| 34-40725 |
Nov. 30, 1998 |
Francis C. Decabia |
| 4-40724 |
Nov. 30, 1998 |
First Fidelity Securities Group |
| 40-1775 |
Nov. 25, 1998 |
Robert J. Smith |
| 613 |
Nov. 23, 1998 |
Stephens Inc. |
33-7612,
34-40699 |
Nov. 23, 1998 |
Stephens Inc. |
| 34-40697 |
Nov. 20, 1998 |
H. Thomas Fehn |
| 34-40691 |
Nov. 19, 1998 |
James R. Frith, Jr. |
| 34-40682 |
Nov. 16, 1998 |
Leandro Javier Obenauer and Brian Lynch |
| 34-40677 |
Nov. 13, 1998 |
Howe, Solomon and Hall and Christopher J. Hall |
| 33-7610 |
Nov. 12, 1998 |
Maynard Matt Smith |
| 34-40664 |
Nov. 12, 1998 |
William Sedkey Saydein |
| 34-40661 |
Nov. 12, 1998 |
Westcap Securities, L.P. |
| 34-40650 |
Nov. 9, 1998 |
Lawrence M. Knapp |
| 3440640 |
Nov. 4, 1998 |
Terry T. Steen |
| IA-1773 |
Nov. 2, 1998 |
Ira William Scott |
33-7594,
IA-1772 |
Oct. 27, 1998 |
O'Brien Partners, Inc. |
| 33-7605 |
Oct. 27, 1998 |
Global Information Services, Inc. d/b/a Investment Hotlines and James E. Grady |
| 33-7604 |
Oct. 27, 1998 |
IBJ Publications, Inc. |
| 33-7603 |
Oct. 27, 1998 |
Maynard Matt Smith |
| 33-7602 |
Oct. 27, 1998 |
TKO International, Inc. and Leonard A. Turano |
| 33-7601 |
Oct. 27, 1998 |
David A. Wood, Jr. and ICS Communications, Inc. |
| 33-7599 |
Oct. 27, 1998 |
Eugene B. Martineau |
| 33-7600 |
Oct. 27, 1998 |
National Investors Council and Skip Nordstrom |
| 33-7598 |
Oct. 27, 1998 |
Core Communications Group, Inc. and Joshua Z. Levine |
| 33-7597 |
Oct. 27, 1998 |
Donald A. Baillargeon, individually and d/b/a Emerging Company Report |
| 33-7596 |
Oct. 27, 1998 |
Russell Klein |
| 33-7595 |
Oct. 27, 1998 |
The High Growth Publishing Group and Everett Gust |
| 34-40601 |
Oct. 26, 1998 |
Daniel J. Bubalo |
| 34-40574 |
Oct.20, 1998 |
Atlantic - Pacific Capital, Inc., Comstock Partners, L.L.C., Constitution Securities, Inc., Elswick, Banks and Associates, Inc., McGlone & Co., Phoenix Financial Services Corp., Laguna Financial Corp., Gelber Securities, Inc.,
J.W. Barclay & Co., Inc., Multi Spectrum Investing Corp., Stonegate Securities, Inc.,
V.B.C. Securities, Alden Capital Markets, Inc., Bettinger & Leech Financial Corp.,
E.C. Capital, Ltd., J. Robbins Securities, L.L.C., and William Scott & Co.,
L.L.C.; |
| 34-40573 |
Oct. 20, 1998 |
Certain Broker-Dealers Who Failed To File All or Part of Form BD-Y2K |
33-7592,
34-40544,
IA-1770 |
Oct. 13, 1998 |
Thomas B. O'Connell |
| 34-40531 |
Oct. 8, 1998 |
Matthew Thomas Burgason |
http://www.sec.gov/litigation/admin/adm4q98.shtml
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