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Administrative Proceedings Archive 1999

The list below provides links to notices and orders concerning the institution and/or settlement of administrative proceedings.

Fourth Quarter | Third Quarter | Second Quarter | First Quarter

Additional Archives

Release No. Date Respondents
Fourth Quarter
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.
33-7753 Oct. 13, 1999 Scott P. Flynn and Strategic Network Development, Inc.
Release Nos. 33-7753, 34-42000
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
Third Quarter
34-41966 Sep. 30, 1999 David E. Houge
34-41965 Sep. 30, 1999 Michael Paul Green
34-41964 Sep. 30, 1999 Jeffrey A. Parker
34-41963 Sep. 30, 1999 Legg Mason Wood Walker, Inc., Thomas M. Daly, and Joseph Sullivan
34-41962 Sep. 30, 1999 Jerald F. Albin
34-41960 Sep. 30, 1999 Howard Zalkin and Barry E. Adelson
34-41959 Sep. 30, 1999 Ralph W. LeBlanc
34-41958 Sep. 30, 1999 Frank Gaines
34-41957 Sep. 30, 1999 Briant C. Patterson, Inc. and Briant Patterson
34-41956 Sep. 30, 1999 Frank Grillo
34-41955 Sep. 30, 1999 Seasongood & Mayer and Richard D. Reis
34-41954 Sep. 30, 1999 William J. Bramble, Jr.
34-41953 Sep. 30, 1999 Amerivest Financial Group, Inc.
34-41952 Sep. 30, 1999 Michael Goldberg, CPA
34-41951 Sep. 30, 1999 Ronald A. Knittle and Gregory G. Vernon
34-41950 Sep. 30, 1999 Madlyn L. Ferro and Dwight H. Stephens
34-41949 Sep. 30, 1999 Jeno K. Koch
33-7749 Sep. 30, 1999 Derrick C. Johnson
33-7747 Sep. 30, 1999 Bobby L. Rodgers
IA-1841 Sep. 30, 1999 Marvin & Palmer Associates, Inc., David F. Marvin, MacThom Associates, Inc. and Thomas E. Dubis
IA-1840 Sep. 30, 1999 Jeffrey Brommer
IA-1839 Sep. 30, 1999 Rupay-Barrington Investment Advisory Services, Inc.
IA-1838 Sep. 30, 1999 J. Scott Eskind
34-41945 Sep. 29, 1999 John Picardi
34-41944 Sep. 29, 1999 Christine A. Beyer
34-41942 Sep. 29, 1999 Sterling Foster & Company, Inc. and Adam Lieberman
33-7746 Sep. 29, 1999 Paul Page, Jr. and The Page Group
34-41941 Sep. 29, 1999 Charles D. Ledford
34-41940 Sep. 29, 1999 Mario Iacoviello
IA-1837 Sep. 29, 1999 Robert J. Smith
34-41935 Sep. 28, 1999 Peter Madsen and Mark Rafferty
Release Nos. 34-41935
34-41934 Sep. 28, 1999 Paul Thomas Fink
Release Nos. 34-41934
34-41933 Sep. 28, 1999 Kenneth Schwartz and Joel Steinberg
Release Nos. 34-41933
34-41932 Sep. 28, 1999 Model Imperial, Inc.
34-41931 Sep. 28, 1999 Danny R. Auerbach, Michael L. Glaser, and James Montgomery, II
Release Nos. 34-41931
34-41930 Sep. 28, 1999 Material Sciences Corporation
Release Nos. 34-41930
34-41929 Sep. 28, 1999 Stephen J. Pace
Release Nos. 34-41929
34-41928 Sep. 28, 1999 Laura M. Drews
Release Nos. 34-41928
34-41927 Sep. 28, 1999 Joseph A. Mathes
34-41926 Sep. 28, 1999 Robert S. Chamberlain
34-41925 Sep. 28, 1999 Raintree Healthcare Corporation, formerly known as Unison HealthCare Corporation
34-41924 Sep. 28, 1999 Steven R. Zemaitis and Julie Freisinger
34-41923 Sep. 28, 1999 Ricky D. Barkley
Release Nos. 34-41923
34-41919 Sep. 27, 1999 Steven J. Erlsten, Jr., William H. Clark, Derek L. DuBois and Aaron Finkelstein
IA-1836 Sep. 27, 1999 Ellen Griggs
IA-1835 Sep. 27, 1999 William J. Lieberman
IA-1834 Sep. 27, 1999 Capital Markets Research Company and Paul Edward Holl
IA-1833 Sep. 27, 1999 Harry Michael Schwartz
34-41915 Sep. 27, 1999 Gary A. Rue
34-41914 Sep. 24, 1999 Bernard J. Krispinsky
Release Nos. 34-41914, IA-1832
34-41913 Sep. 24, 1999 Warren G. Trepp
34-41911 Sep. 24, 1999 Jerry W. Anderson and Robert M. Kerns
34-41909 Sep. 23, 1999 Marsh Block & Co., Inc, Alfred G. Block, Kenneth L. Marsh, and Jeffrey M. Miller
34-41908 Sep. 23, 1999 First Colonial Securities Group, Inc., Michael E. Golden, and Steven D. Schwartz
34-41906 Sep. 23, 1999 David Scott Heredia
34-41899 Sep. 22, 1999 Robin A. Heiney
34-41898 Sep. 22, 1999 Philip A. Lehman and Tower Equities, Inc.
Release Nos. 33-7742, 34-41898, IA-1831
IA-1830 Sep. 22, 1999 Gary L. Pittsford
34-41895 Sep. 22, 1999 William A. Moler and Strategic Resource Management, Inc.
34-41894 Sep. 22, 1999 Herbert Woll, C.P.A.
IA-1829 Sep. 22, 1999 Edward Arnold Patterson
34-41896 Sep. 22, 1999 City of Miami, Florida, Cesar Odio and Manohar Surana
34-41893 Sep. 22, 1999 Barry A. Bates
34-41888 Sep. 20, 1999 Brian D. O'Toole, Steven D. Pirrone, and Spectrum Securities Inc.
Release Nos. 34-41888, IA-1828
34-41887 Sep. 20, 1999 Dorthy A. Chikly
Release Nos. 34-41887, IA-1827
34-41885 Sep. 20, 1999 William McNamara
34-41878 Sep. 15, 1999 Madison Group Associates, Inc.
34-41876 Sep. 14, 1999 Kevin James Quinn
34-41873 Sep. 14, 1999 Dominic Scacci
34-41865 Sep. 13, 1999 Kevin C. Samson
IA-1825 Sep. 13, 1999 Engebretson Capital Management, Inc. and Lester W. Engebretson
34-41853 Sep. 10, 1999 Wayne J. Conners, Thomas A. Piechowicz, James M. Flynn, Sharon Bartock, Winfred Kipp and Christopher D. Conway
Release Nos. 33-7738, 34-41853
IA-1824 Sep. 9, 1999 Schield Management Company, Marshall L. Schield, and Troy Schield
IA-1823 Sep. 9, 1999 Michael J. Rothmeier, Clarke T. Blizzard, Rudolph Abel, Donald C. Berry, Christopher P. Roach, Craig Janutol, East West Institutional Services, Inc.
IA-1822 Sep. 9, 1999 Karen Michalski and Christopher D. Sargent
IA-1821   Fleet Investment Advisors Inc. (as successor to Shawmut Investment Advisers, Inc.)
34-41842 Sep. 8, 1999 Annable Turner & Co., Inc. ("ATCO") and Roger E. Turner
34-41841 Sep. 8, 1999 David A. Johnston
IA-1819 Sep. 8, 1999 Van Kampen Investment Advisory Corp. and Alan Sachtleben
34-41835 Sep. 3, 1999 Steven G. Barkus
34-41807 Aug. 30, 1999 Cery B. Perle
34-41806 Aug. 30, 1999 Jerald M. Banks
33-7729 Aug. 30, 1999 Fastlane Footwear, Inc. and John H. Lefere
34-41798 Aug. 26, 1999 Alpha Tech Stock Transfer Trust, Greenfield Fund, Inc., Manor Investment Funds, Inc., and United Stock Transfer, Inc.
34-41793 Aug. 26, 1999 Peachtree Stock Transfer and Robert J. Crain, Jr.
34-41792 Aug. 26, 1999 Bassett Furniture Industries, Inc. and Thermal Energy Storage, Inc.
IA-1818 Aug. 26, 1999 Calvin Douglas Brace
IA-1817 Aug. 26, 1999 Amervest Company, Inc. and KMI Realty Advisors, Inc.
IA-1816 Aug. 26, 1999 Huber Hogan Consulting, Inc. ("Huber Hogan"); Russon Financial Services, Inc. ("Russon"); and Robert C. Sears ("Sears")
34-41785 Aug. 24, 1999 Carl F. Ruzicka
34-41784 Aug. 24, 1999 Mamadou M. M'Bodj
34-41765 Aug. 19, 1999 Ronnie R. Neihart
34-41764 Aug. 19, 1999 Daniel L. Koehler
34-41761 Aug. 19, 1999 Michael P. Traba
Release Nos. 33-7727, 34-41761
34-41760 Aug. 19, 1999 Peachtree Partners
34-41759 Aug. 19, 1999 IG Holding, Inc.
34-41756 Aug. 18, 1999 Christian R. Higgins, Charles L. Powell, James P. Gallaher, Dale J. Engelhardt, and Trey L. Friedmann
34-41754 Aug. 18, 1999 John J. McGarry
Release Nos. 33-7726, 34-41754
34-41753 Aug. 18, 1999 Welco Securities, Inc., William S. Shapiro, and Kenneth S. Shapiro
34-41751 Aug. 17, 1999 Inamed Corporation
34-41750 Aug. 17, 1999 Steven Gale Trapp
34-41749 Aug. 17, 1999 Raymond R. Kripaitis
34-41745 Aug. 16, 1999 Meda Belle McKinney
34-41744 Aug. 16, 1999 Michael A. Usher and Gilbert Marshall & Co, Inc.
34-41741 Aug. 13, 1999 Michael William Ribant
34-41740 Aug. 13, 1999 Ronald Obsgarten
34-41739 Aug. 13, 1999 Craig Freeman, William Lashbrook, and Robert Sewell
IA-1814 Aug. 12, 1999 Bing Sung
34-41734 Aug. 12, 1999 Jeffrey Feld
34-41729 Aug. 11, 1999 Owen D. Taranta, CPA
33-7722 Aug. 11, 1999 Americorp Securities, Inc., and Drew Edgar Schaefer
34-41720 Aug. 10, 1999 Michael J. Marrie and Brian L. Berry
34-41713 Aug. 6, 1999 Laurie Jones Canady
34-41710 Aug. 5, 1999 Jennifer D'Antoni
34-41696 Aug. 3, 1999 Jon Mark Stewart
IA-1813   Bell Capital Management, Inc., Ronnie H. Bell, Thomas C. Comsudes, and Mark S. Palmer
34-41708 Aug. 5, 1999 Richard Harriton
Release Nos. 33-7719, 34-41708
34-41707 Aug. 5, 1999 Bear, Stearns Securities Corporation
Release Nos. 33-7718, 34-41707
34-41697 Aug. 3, 1999 DeWayne R. VonFeldt
34-41695 Aug. 2, 1999 Del Mar Financial Services, Inc. and Private Brokers Corporation and Others
Release Nos. 33-7717, 34-41695
34-41694 Aug. 2, 1999 Morton B. Lempel
Release Nos. 33-7716, 34-41694
34-41693 Aug. 2, 1999 Nicholas Catalano
Release Nos. 33-7715, 34-41693
34-41692 Aug. 2, 1999 Jeffery W. Berns
Release Nos. 33-7714, 34-41692
34-41691 Aug. 2, 1999 G. Bradley Taylor
Release Nos. 33-7713, 34-41691
34-41690 Aug. 2, 1999 RichMark Capital Corporation and Doyle Mark White
Release Nos. 33-7712, 34-41690
34-41689 Aug. 2, 1999 Jethro J. Barlow, CPA, Alan K. Burton, J. Edwards Cox, Robert G. Weeks, David A. Hesterman and Kenneth L. Weeks
Release Nos. 33-7711, 34-41689
34-41688 Aug. 2, 1999 Dynamic American Corporation
34-41687 Aug. 2, 1999 National Stock Transfer, Inc., Krista Castleton Nielsen, and Roger Lee Greer
Release Nos. 33-7709, 34-41687
34-41686 Aug. 2, 1999 John J. Kenna
34-41685 Aug. 2, 1999 Michael R. Reilly
34-41681 Aug. 2, 1999 American Telephone + Data, Inc.
34-41680 Aug. 2, 1999 Gerald R. Hinshaw
34-41679 Aug. 2, 1999 Steven J. Cook
Release Nos. 33-7708, 34-41679
33-7710 Aug. 2, 1999 Fastlane Footwear, Inc. and John H. Lefere
IA-1811 Aug. 2, 1999 Energy Equities Inc. and David G. Snow
34-41676 Jul. 30, 1999 Richard I. Brewer, CPA
34-41667 Jul. 28, 1999 Great White Marine & Recreation, Inc.
34-41665 Jul. 28, 1999 Micro Warehouse, Inc.
34-41656 Jul. 27, 1999 Hartley T. Bernstein
33-7706 Jul. 26, 1999 Robert J. Stahl
33-7705 Jul. 26, 1999 Elizabeth A. Boyd
34-41639 Jul. 22, 1999 Sean P. Brennan and Keith E. Walsh
Release Nos. 33-7704, 34-41639, IA-1810
34-41632 Jul. 21, 1999 Web Works Marketing.com, Inc. and Trace D. Cornell
Release Nos. 33-7703, 34-41632
34-41631 Jul. 21, 1999 Joe Loofbourrow
Release Nos. 33-7700, 34-41631
33-7702 Jul. 21, 1999 WowAuction.com Inc. and Steven Michael Gaddis, Sr.
33-7701 Jul. 21, 1999 Theodore Sotirakis
34-41616 Jul. 13, 1999 Peter W. Zent and Michael A. Cornblum
33-7697 Jul. 7, 1999 Gary J. Pierce and C.S.I. Ag.
34-41601 Jul. 7, 1999 A.S. Goldmen & Co., Inc.
34-41587 Jul. 1, 1999 James T. Staples
33-7696 Jul. 1, 1999 City of Anaheim, City of Irvine, Irvine Unified School District, and Orange County Board of Education
Second Quarter
33-7695 Jun. 30, 1999 Joseph B. Septimus and Suzanne Pelosi
Release No.: 34-41585
34-41584 Jun. 30, 1999 Dougherty Summit Securities LLC, Successor to Dougherty Dawkins, Inc., Thomas M. Strand, Ralph L. Mcginley, and Daniel G. Eitrheim
34-41581 Jun. 30, 1999 Thomas J. Scanlon, C.P.A.
34-41580 Jun. 30, 1999 Eugene F. Gaughan, C.P.A.
33-7694 Jun. 30, 1999 H.J. Meyers & Co., Inc., and Tobin J. Senefeld
Release No.: 34-41579
34-41578 Jun. 30, 1999 W.R. Grace & Co.;
34-41574 Jun. 29, 1999 New York Stock Exchange, Inc.
33-7693 Jun. 28, 1999 Thomas J. Dalton
Release No.: 34-41566
33-7692 Jun. 28, 1999 LT Lawrence & Co., Inc., Todd E. Roberti, and Lawrence Principato
Release No. 34-41565
IA-1807 Jun. 28, 1999 MPI Investment Management, David Pequet and Ashok Shende
34-41559 Jun. 25, 1999 Gerard Burns
34-41554 Jun. 24, 1999 Medisys Technologies, Inc.
34-41537 Jun. 18, 1999 Certain market making activities on NASDAQ
IA-1801 Jun. 10, 1999 Boston Investment Counsel, Inc. and Robert E. Campanella
34-41505 Jun. 10, 1999 British Biotech PLC, Keith McCullagh, Peter Lewis and James Noble
34-41485 Jun. 7, 1999 Raul N. Rodriguez
34-41484 Jun. 7, 1999 Greenway Capital Corporation and Joseph M. Guccione
34-41458 May 27, 1999 Jerome Edward Stockdale
33-7686 May 25, 1999 MGSI Securities, Inc., Bradford A. Orosey, Larry J. Bagwell, Connie L. Bally, Joseph O. Fallin, and James W. Ogg
33-7687 May 25, 1999 Michael A. Perozzi
34-41428 May 20, 1999 William E. Willoughby
33-7688 May 25, 1999 Michael D. Young
34-41448 May 25, 1999 H. Michael Richardson
34-41447 May 25, 1999 Derrick P. Dumont
34-41443 May 25, 1999 William A. Fain, Jr.
34-41434 May 21, 1999 Fred F. Liebau, Jr.
34-41433 May 21, 1999 Asif Ameen and Bruce W. Bertsch
34-41429 May 20, 1999 Kedar Gupta, Alvan Chorney, and Herbert Moskowitz
34-41426 May 19, 1999 Dennis M. Gaito, CPA
34-41425 May 19, 1999 Moore Stephens, P.C., Linda F. O'Donnell, CPA, and Angelo J. Coppolino, CPA
34-41424 May 19, 1999 Charles E. Falk, CPA
34-41417 May 18, 1999 Datek Online Brokerage Services Corp. and Moishe Zelcer
34-41416 May 18, 1999 John F. Walsh, III
34-41409 May 17, 1999 Insignia Solutions PLC
34-41405 May 14, 1999 Gilbert A. Zwetsch
33-7683 May 13, 1999 Dominion Capital Corporation, Douglas Woodrow Powell, Charles Dewey Elliott, and William Carl Berry
33-7682 May 13, 1999 Robert G. Bettiga
33-7681 May 11, 1999 Lawrence M. Artz, Neurotech Corp., Enhance Resources, Inc. and Bruce W. Lynch
33-7680 May 11, 1999 Robert J. Stahl, Elizabeth A. Boyd, and Bobby L. Rodgers
33-7679 May 11, 1999 David V. Francis, II
33-7678 May 11, 1999 Lila Keith
Release No.: 34-41388
33-7677 May 11, 1999 Derrick C. Johnson
33-7676 May 11, 1999 Gary J. Pierce and C.S.I. Ag.
IA-1800 May 4, 1999 Apodaca Investment Group, Inc., Brower Financial Services, Inc., Ethical Investments, Inc., Ronald Allan McDow, Van Cleef Asset Management, Inc., and WWW Advisors, Inc.
IA-1799 May 4, 1999 BSN Gestion De Patrimonios SA SGC, and Asset Timing Corp.
33-7674 May 4, 1999 Market America, Inc. and Richard D. Hall, Jr.
Release No.: 34-41363
3441352 Apr. 30, 1999 "Report on Administrative Proceedings for October 1, 1998 through Mar. 31, 1999"- Rule 900 of the Commission's Rules of Practice (17 CFR 201.900) requires the Commission's Office of the Secretary to publish in the SEC Docket each October and Apr. a status report on the Commission's administrative proceedings caseload.
(Apr. 30, 1999. File name: 3441352.txt [explanatory material only]; apst99-1.pdf [report, in Adobe Acrobat(r) format])
34-41349 Apr. 30, 1999 Rodd Buckle
34-41345 Apr. 29, 1999 Pryor, McClendon, Counts & Company, Inc., Raymond J. McClendon, Allen W. Counts, and Theresa A. Stanford;
33-7672 Apr. 28, 1999 Joseph P. Tufo
34-41332 Apr. 26, 1999 Peter Joseph Cammarano
34-41321 Apr. 22, 1999 Paul J. Argy, C.P.A.
IA-1798 Apr. 22, 1999 Wren Harold Hart Co. LLC;
33-7671 Apr. 21, 1999 Lazard Freres Co. LLC;
33-7670 Apr. 21, 1999 Lazard Freres & Co. LLC
34-41316 Apr. 21, 1999 Jeff Bergman
34-41313 Apr. 20, 1999 Larry L. Skaff and John F. Liechty
34-41312 Apr. 20, 1999 Terex Corporation, KCS Industries, L.P., f/k/a KCS Industries, Inc. and Randolph W. Lenz
34-41309 Apr. 19, 1999 Robert Grady
34-41308 Apr. 19, 1999 William Lowe
34-41295 Apr. 15, 1999 Danny Lee Coomer
34-41284 Apr. 14, 1999

Michael, Adest & Blumenkrantz, P.C., David Michael, CPA, and Paul Adest, CPA;

34-41283 Apr. 14, 1999 Kevin E. Orton, CPA, and Orton & Company;
34-41267 Apr. 9, 1999 Craig Freeman, William Lashbrook, and Robert Sewell
34-41279 Apr. 13, 1999 SpaceDev, Inc. and James William Benson
34-41265 Apr. 8, 1999 Peter C. Bucchieri
34-41264 Apr. 8, 1999 David S. Weil
34-41269 Apr. 9, 1999 Frank J. Greulich and John R. Rodeman
34-41268 Apr. 9, 1999 Clyde Morgan, Ross Blevins, and Doug Cuthbert
34-41266 Apr. 9, 1999 Howe, Solomon and Hall and Christopher J. Hall Research, Inc.;
34-41258 Apr. 6, 1999 Marshall E. Melton and Asset Management & Research, Inc.
34-41255 Apr. 5, 1999 Frederick R. Grant, CPA
34-41241 Apr. 1, 1999 Former Auditors of Sky Scientific, Inc.
34-41240 Apr. 1, 1999 KPMG Audit Partner
34-41239 Apr. 1, 1999 Charles E. Wessman
First Quarter
33-7663 Mar. 31, 1999 John E. Thorn, Jr. and Thorn Welch & Co., Inc., formally known as Thorn, Alvis, Welch, Inc.
33-7662 Mar. 31, 1999 Eugene J. Yelverton, Jr.
34-41228 Mar. 30, 1999 Robert Mitchell and Gary Mitchell
34-41227 Mar. 30, 1999 Theodore Heitzman
34-41225 Mar. 30, 1999 Peter W. Zent and Michael A. Cornblum
34-41224 Mar. 30, 1999 Kidder, Peabody & Co.. Inc.; 
34-41221 Mar. 29, 1999 Golf Ventures, Inc.
34-41205 Mar. 23, 1999 Lawrence M. Knapp
34-41202 Mar. 23, 1999 Roger Rees, Former President of Buckhead Financial Corporation
34-41198 Mar. 22, 1999 Gerard Burns
34-41197 Mar. 22, 1999 Miron Leshem
34-41190 Mar. 19, 1999 Ernest J. Olde, Stanley A. Snider and Daniel D. Katzman
34-41183 Mar. 18, 1999 Eugene K. Laff, Stanley Aslanian, Jr., and Lawrence Caito
34-41182 Mar. 18, 1999

Jeffrey L. Streich

34-41181 Mar. 18, 1999

Robert S. Barton, CPA

34-41179 Mar. 17, 1999

Brian E. Farley

34-41178 Mar. 17, 1999

Daniel L. Koehler

34-41156 Mar. 11, 1999

Interstate Transfer Co. and Janis A. Patterson

34-41166 Mar. 12, 1999

Larry E. Muller

34-41165 Mar. 12, 1999

Joel L. Hurst

34-41155 Mar. 11, 1999

Charles Stember

34-41154 Mar. 11, 1999

Gerard W. King

34-41146 Mar. 8, 1999

Jeffrey L. Harfst, CPA, William R. Hebel and Joseph E. Muehl

IA-1793 Mar. 10, 1999

Robert J. Smith

34-41145 Mar. 8, 1999

Dean Witter Reynolds Inc., Henry L. Auwinger, and Dennis W. Peterson

34-41144 Mar. 5, 1999

Andrew L. O'Connell

34-41129 Mar. 3, 1999

R. Scot Rubel

33-7652 Mar. 5, 1999

Eugene Bilotti

34-41134 Mar. 3, 1999

Rodney W. Helm

34-41133 Mar. 3, 1999

Randal Y. Stevens

34-41132 Mar. 3, 1999

Robert D. Sichta

34-41131 Mar. 3, 1999

Robin Heiney

34-41125 Mar. 1, 1999

Robert Cedrone

34-41097 Feb. 24, 1999

Sharon Longview, Christie Rockwood, Vicki Kranawetter, and Luther Dale Robinson

34-41096 Feb. 24, 1999

Sunrise Medical Inc.

33-7650 Feb. 26, 1999

TKO International, Inc. and Leonard A. Turano

34-41102 Feb. 24, 1999

Scott P. Flynn and Strategic Network Development, Inc.

34-41101 Feb. 24, 1999

RCG Capital Markets Group, Inc. and Arthur Max Ramras

33-7643 Feb. 24, 1999

Hastings Communications

34-41065 Feb. 17, 1999

James V. Pannone

34-41061 Feb. 17, 1999

Barrett R. Rochman

34-41043 Feb. 11, 1999

Micro Component Technology, Inc., DuaneAug. Wille, CPA, Steven David Turner, Jeff Allen Stewart, and Daniel James Hill

34-41042 Feb. 11, 1999

Stephen J. McErlain

34-41040 Feb. 10, 1999

Comstock Partners, L.L.C., Gelber Securities, Inc., and Bettinger & Leech Financial Corp.

34-41039 Feb. 10, 1999

Madison Group, Inc.

34-41038 Feb. 10, 1999

Miguel A. Cabrera, Jr. and M.A. Cabrera & Co., P.A.

34-41037 Feb. 10, 1999

Anthony J. Gentile

34-41036 Feb. 10, 1999

Republic New York Securities Corporation and James Edward Sweeney

34-41035 Feb. 10, 1999

Joseph W. Pellechia

34-41031 Feb. 9, 1999

Randy Depoister

34-41024 Feb. 8, 1999

Marsh Block & Co., Inc., Alfred G. Block, Kenneth L. Marsh, and Jeffrey M. Miller

34-41020 Feb. 3,1999

Laguna Financial Corporation, McGlone & Co., Phoenix Financial Services Corp., Multi Spectrum Investing Corporation, and E.C. Capital Ltd.;

34-41012 Feb. 2, 1999

Donnkenny, Inc.

34-40987 Jan. 28, 1999

James Bogner, CPA

34-40986 Jan. 28, 1999

James C. Morris

34-40984 Jan. 27, 1999

Randall W. Nelson

34-40977 Jan. 26, 1999

Steven R. Schaefer and AMPG, Inc.

34-40966 Jan. 22, 1999

RichardMar.ese

34-40965 Jan. 22, 1999

William Masucci

34-40964 Jan. 22, 1999

Eric Monchecourt

34-40958 Jan. 21, 1999

Tony Fiorino

33-7632 Jan. 21, 1999

Global Information Services, Inc., d/b/a Investment Hotlines and James E. Grady

40952 Jan. 15, 1999

Frank E. Stephan, C.P.A.

7630 Jan. 14, 1999

Leifer Capital, Inc., Jeffrey Leifer, and David Leifer

34-40948 Jan. 14, 1999

Allegheny Financial Programs, Inc., and Atlantic-Pacific Capital, Inc.

40945 Jan. 14, 1999

PricewaterhouseCoopers LLP

34-40939 Jan. 13, 1999

Gordon C. Eckstein

34-40938 Jan. 13, 1999

Christopher Mark Craib

34-40937 Jan. 13, 1999

Livent Inc.

33-7626 Jan. 11, 1999

John E. Backlund, John H. Hankins, Howard L. Peterson, and John G. Guffey

33-7625 Jan. 11, 1999

Craig S. Vanucci and Brian K. Andrew

34-40930 Jan. 11, 1999

William P. Heenan

34-40929 Jan. 11, 1999

Warburg Dillon Read LLC, Michael R. Antolini, Stephen D. Murphy, David S. Rothman and Joel I. Zweig

34-40928 Jan. 11, 1999

Tucker Anthony Inc.

34-40927 Jan. 11, 1999

Spear Leeds & Kellogg, L.P., Michael J. Ling, James P. Morris, John J. Quigley, and Eric J. Scherzer;

34-40926 Jan. 11, 1999

Sherwood Securities Corp., Brian J. Deegan, Richard M. Marino, Edward G. Schmitz, and David M. Zitman

34-40925 Jan. 11, 1999

Salomon Smith Barney Inc., Glenn Y. Blitzer, Barry J. Dusti, and George C. Ross, Jr.

34-40924 Jan. 11, 1999

Salomon Smith Barney Inc.

34-40923 Jan. 11, 1999

Robinson-Humphrey Company, LLC

34-40922 Jan. 11, 1999

Raymond James & Associates, Inc., Thomas J. Dudenhoefer, Timothy J. Kane

34-40921 Jan. 11, 1999

Prudential Securities Inc., Michael T. Burke, Jr., Joseph G. Candela, Robert D. Sprotte

34-40920 Jan. 11, 1999

Piper Jaffray Inc., and Stacey R. Rickert

34-40919 Jan. 11, 1999

Richard A. Bruno, Peter F. Comas, Robert D. Coppola, Gerard Kane, Joseph J. Palma, Arthur A. Raiola, Joseph H. Raiola, and Reuben G. Taub

34-40918 Jan. 11, 1999

CIBC Oppenheimer Corp., and William G. Clark, Jr.

34-40917 Jan. 11, 1999

Olde Discount Corp., Jack G. Monopoli, Frank W. Schwarz, III, and John F. Watson, Jr.

34-40916 Jan. 11, 1999

Morgan Stanley & Co., Inc., Peter W. Ferriso, Jr. and Robert S. Ranzman;

34-40915 Jan. 11, 1999

Merrill Lynch, Pierce, Fenner & Smith Inc.;

34-40914 Jan. 11, 1999

Mayer & Schweitzer, Inc., Robert Burns, and Christopher D. Colgan;

34-40913 Jan. 11, 1999

Lehman Brothers Inc.

34-40912 Jan. 11, 1999

Legg Mason Wood Walker, Inc.

34-40911 Jan. 11, 1999

Jefferies & Company, Inc.;

34-40910 Jan. 11, 1999

J.P. Morgan Securities, Inc., Donald A. Dunworth, Mark A. Gallagher and David J. Mottes

34-40909 Jan. 11, 1999

Herzog, Heine, Geduld, Inc., Ronald F. Cullen, Jr. and Bradley Zipper

34-40908 Jan. 11, 1999 Hambrecht & Quist LLC and Edward L. Albert
34-40907 Jan. 11, 1999

Gruntal & Co., L.L.C.;

34-40906 Jan. 11, 1999

Donaldson, Lufkin & Jenrette Securities Corporation, Lawrence H. Kurtz;

34-40905 Jan. 11, 1999

Dean Witter Reynolds, Inc.

34-40904 Jan. 11, 1999

Credit Suisse First Boston Corporation

34-40903 Jan. 11, 1999

SG Cowen Securities Corporation, Kennedy M. Buckley, David D. Dube, Peter M. Gilfillan, John P. Mottes, and Richard S. Striefler

34-40902 Jan. 11, 1999

Cantor Fitzgerald & Co.;

34-40901 Jan. 11, 1999

Bear, Stearns & Co., Inc. and Philip D. Zeifer;

34-40900 Jan. 11, 1999

Nasdaq Market Makers

34-40891 Jan. 7, 1999

Euro-Atlantic Securities, Inc., John T. Madden, Brian A. Schmidt, Darlan E. Gordon, John T. Madden, William Avent, and John Aristotle Dilworth

34-40899 Jan. 7, 1999

Alpha Tech Stock Transfer Trust, Greenfield Fund, Inc., Manor Investment Funds, Inc. and United Stock Transfer, Inc.

34-40895 Jan. 7, 1999

Corporate Planners, Inc., CSJ Limited Liability Company, Davidson Trust Co., Ivy Mackenzie Services Corp., and National Stock Transfer and Accounting, Inc.

34-40892 Jan. 7, 1999

H.J. Meyers & Co., Inc. and Tobin J. Senefeld;

34-40890 Jan. 7, 1999

Joel Pensley

33-7621 Jan. 6, 1999

Jean Costanza

http://www.sec.gov/litigation/admin/adminarchive/adminarc1999.shtml


Modified: 10/16/2014