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Administrative Proceedings: October 4 – December 27, 1999

Release No. Date Respondents
34-42278 Dec. 27, 1999 Robert A. Schatz
34-42277 Dec. 27, 1999 Brad Haddy and Ronald D. Spencer
34-42276 Dec. 27, 1999 John F. LaSala
34-42275 Dec. 27, 1999 Ronald A. Martini
IA-1849 Dec. 22, 1999 Michael T. Sullivan, III
IA-1848 Dec. 22, 1999 Scudder Kemper Investments, Inc. and Gary Paul Johnson
34-42262 Dec. 21, 1999 Peachtree Stock Transfer and Robert J. Crain, Jr.
34-42261 Dec. 21, 1999 Taft Womack and Frank Gaines
34-42245 Dec. 17, 1999 Robert J. Strauss
34-42244 Dec. 17, 1999 John H. Kim
Release Nos. 33-7786, 34-42244
34-42243 Dec. 17, 1999 Alan B. Schlussel
Release Nos. 33-7785, 34-42243
34-42237 Dec. 15, 1999 Brian D. O'Toole, d/b/a O'Toole Capital Management, Spectrum Securities Inc., and Steven D. Pirrone
34-42234 Dec. 14, 1999 William A. Fain, Jr.
34-42229 Dec. 14, 1999 Jose E. Rivera, CPA
33-7784 Dec. 10, 1999 Michael L. Pitts
33-7783 Dec. 10, 1999 Richard J. Michael
34-42211 Dec. 9, 1999 Ronald A. Knittle and Gregory G. Vernon
34-42206 Dec. 7, 1999 Scott A. Rude
34-42204 Dec. 6, 1999 Paschal Gene Allen
34-42199 Dec. 3, 1999 Paul Thomas Fink, C.P.A.
Release Nos. 33-7782, 34-42199
34-42197 Dec. 2, 1999 Virginia Horler
34-42196 Dec. 2, 1999 Thomas Gaeton Scalzo, Jr.
34-42182 Nov. 29, 1999 Eugene K. Laff
34-42181 Nov. 29, 1999 Lawrence Caito
34-42172 Nov. 23, 1999 Rodger Evans Rees
33-7781 Nov. 23, 1999 Americorp Securities, Inc. and Drew Edgar Schaefer
33-7780 Nov. 22, 1999 Windswept Environmental Group, Inc.
34-42158 Nov. 19, 1999 Kenneth R. Starnes
34-42157 Nov. 19, 1999 Michael J. Hooper, CPA
33-7779 Nov. 18, 1999 Minotaur Capital, Inc. and David J. Feingold
33-7778 Nov. 17, 1999 BT Alex. Brown Incorporated
33-7777 Nov. 17, 1999 HDI, Inc. and. Dennis E. Thiemann
33-7776 Nov. 17, 1999 JMS Associates, Inc. and John M. Seidman
34-42140 Nov. 16, 1999 City of Anaheim, City of Irvine, Irvine Unified School District, North Orange County Community College District, and Orange County Board of Education
34-42139 Nov. 15, 1999 The Cronos Group
34-42125 Nov. 10, 1999 Joseph Salamon
34-42124 Nov. 10, 1999 Jimmy L. Duckworth, CPA
34-42109 Nov. 5, 1999 Jethro J. Barlow, CPA, Alan K. Burton, J. Edwards Cox, Robert G. Weeks, David A. Hesterman, and Kenneth L. Weeks
34-42107 Nov. 4, 1999 Jerry C. Berman
34-42106 Nov. 4, 1999 Lawrence J. Penna, Herman Epstein and Douglas J. Mangan
34-42105 Nov. 4, 1999 Andrew Bressman, Roman Okin, Richard Acosta, Richard Simone, Burton Blank, Mark Goldman and Jack Wolynez
34-42104 Nov. 4, 1999 Andrew Bressman, Roman Okin, Richard Acosta, Richard Simone, Burton Blank, Mark Goldman and Jack Wolynez
34-42103 Nov. 4, 1999 Andrew Bressman, Roman Okin, Richard Acosta, Richard Simone, Burton Blank, Mark Goldman and Jack Wolynez
34-42097 Nov. 4, 1999 Michael W. Rehtorik
34-42096 Nov. 4, 1999 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
34-42085 Nov. 1, 1999 Jamie T. Tsutsui
34-42084 Nov. 1, 1999 Lawrence A. Petersen
IA-1844 Nov. 1, 1999 Apodaca Investment Group, Inc., Brower Financial Services, Inc., Ethical Investments, Inc., Ronald Allan McDow, Van Cleef Asset Management, Inc. and WWW Advisors, Inc
34-42083 Nov. 1, 1999 Robert J. Carucci and R.M. Carucci Corp.
34-42082 Nov. 1, 1999 Jeffrey L. Harfst,William R. Hebel and Joseph E. Muehl
34-42080 Nov. 1, 1999 Jeffrey L. Harfst,William R. Hebel and Joseph E. Muehl
34-42079 Nov. 1, 1999 Jeffrey L. Harfst,William R. Hebel and Joseph E. Muehl
34-41069 Oct. 28, 1999 Cery B. Perle
34-42066 Oct. 28, 1999 Vincent J. Iovine
34-42065 Oct. 27, 1999 Geoffrey A. Newman
34-42064 Oct. 27, 1999 Aubrey O'Connor, Rick Pierson, James Winter, Gregory Bowen, and Kenneth Ward
34-42063 Oct. 27, 1999 Aubrey O'Connor, Rick Pierson, James Winter, Gregory Bowen, and Kenneth Ward
34-42062 Oct. 27, 1999 Aubrey O'Connor, Rick Pierson, James Winter, Gregory Bowen, and Kenneth Ward
34-42059 Oct. 26, 1999 Joseph J. Barbato, Neal C. Harper and Frederick J. Krause
34-42047 Oct. 21, 1999 Stephen J.Kesh, CPA
34-42046 Oct. 21, 1999 Rick W. Gossett, CPA
34-42045 Oct. 21, 1999 Lee R. Fontaine, CPA
33-7758 Oct. 20, 1999 Louis Sitaras
33-7757 Oct. 20, 1999 John R. Hoff
33-7756 Oct. 20, 1999 Richard L. Davis
34-42031 Oct. 19, 1999 David E. Stevenson
34-42030 Oct. 19, 1999 Albert Glenn Yesner, CPA
34-42022 Oct. 18, 1999 Jerry M. Walker, CPA
34-42021 Oct. 18, 1999 Thor Industries, Inc.
34-41976 Oct. 5, 1999 Peter W. Zent and Michael A. Cornblum
IA-1843 Oct. 4, 1999 Gordon Richard Taubenheim
IA-1842 Oct. 4, 1999 James William Fuller

http://www.sec.gov/litigation/admin/adm4q99.shtml


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