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Administrative Proceedings Archive 2000
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
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| Release No. |
Date |
Respondents |
| Fourth Quarter |
| 34-43772 |
Dec. 26, 2000 |
Claude Cossu |
| 33-7930 |
Dec. 21, 2000 |
Vincent Deuschel and Tucker Anthony, Inc. |
| 34-43764 |
Dec. 21, 2000 |
Jon F. Williams |
| 34-43761 |
Dec. 21, 2000 |
International Business Machines Corporation |
| 34-43760 |
Dec. 21, 2000 |
Vincent Deuschel and Tucker Anthony, Inc. |
| 34-43759 |
Dec. 21, 2000 |
H.J. Meyers & Co., Inc., James A. Villa and James C. Witzel |
| 34-43753 |
Dec. 20, 2000 |
SAF T LOK, INC. |
| 33-7929 |
Dec. 20, 2000 |
Marion Bass Securities Corp. and Gerald Chandik |
| 33-7928 |
Dec. 20, 2000 |
US Diagnostic Inc. and Jeffrey Goffman |
| IA-1915 |
Dec. 19, 2000 |
Christopher A. Lowry |
| 34-43725 |
Dec. 14, 2000 |
Antoinette A. Parsons and Stacy L. Hamm |
| 34-43724 |
Dec. 14, 2000 |
Microstrategy, Inc. |
| 34-43722 |
Dec. 13, 2000 |
Robin R. McEachin
Release Nos. IA-1914, 34-43722 |
| 34-43715 |
Dec. 13, 2000 |
Craig Consumer Electronics, Inc. |
| 33-7927 |
Dec. 13, 2000 |
Suzanne Pelosie |
| 34-43713 |
Dec. 12, 2000 |
Michael T. Fearnow d/b/a Financial Broker Relations, and Focus Tech Investments, Inc. |
| 34-43712 |
Dec. 12, 2000 |
James K. McKillop d/b/a BKL BrokerLink Capital Research and Communications |
| 34-43711 |
Dec. 12, 2000 |
Sidney J. Golub and Adar International, Inc. d/b/a The Adar Group |
| 34-43710 |
Dec. 12, 2000 |
John B. Longman and Longman & Associates, Inc. |
| 34-43709 |
Dec. 12, 2000 |
Kevin H. Kading, Kading Companies, S.A., Joning Corp. f/k/a Global Stock Exchange Corp., and John O. Jones, Jr. |
| 34-43708 |
Dec. 12, 2000 |
Jeffrey S. Honigman |
| 34-43703 |
Dec. 11, 2000 |
Vincent Poliseno |
| 34-43702 |
Dec. 11, 2000 |
Vincent Poliseno |
| 33-7926 |
Dec. 11, 2000 |
Lawrence M. Artz, Neurotech Development Corp. (f/k/a/ Neurotech Corp.), Enhance Resources, Inc. and Bruce W. Lynch |
| 34-43693 |
Dec. 8, 2000 |
David Blech |
| 34-43687 |
Dec. 7, 2000 |
United Stock Transfer, Inc. and John J. Donnelly |
| 34-43682 |
Dec. 6, 2000 |
Monarch Investment Properties Inc. and Anthony E. Gurino |
| 34-43681 |
Dec. 6, 2000 |
Brett S. Henderson |
| 34-43674 |
Dec. 5, 2000 |
John G. Wright, Jr. |
| 34-43673 |
Dec. 5, 2000 |
William J. Nordvik, Jon F. Williams and John G. Wright, Jr. |
| 34-43672 |
Dec. 5, 2000 |
William J. Nordvik, Jon F. Williams and John G. Wright, Jr. |
| 34-43670 |
Dec. 5, 2000 |
William J. Nordvik, Jon F. Williams and John G. Wright, Jr. |
| 33-7925 |
Dec. 5, 2000 |
Salvatore DiAmbrosio, Bearcat, Inc., D&D Securities, Inc., Peter Fineberg, Seth Diamond, Nicholas DiCicco and Dominic DiCicco
Release Nos. 33-7925, 34-43669 |
| 34-43663 |
Dec. 4, 2000 |
Krista Castleton Nielsen |
| 33-7924 |
Dec. 4, 2000 |
National Stock Transfer Inc., and Roger Lee Greer
Release Nos. 33-7924, 34-43662 |
| 34-43661 |
Dec. 4, 2000 |
David Coleman |
| 33-7923 |
Dec. 1, 2000 |
Steven Eugene Scott
Release Nos. 33-7923, 34-43656 |
| 34-43649 |
Dec. 1, 2000 |
Stanley Schulman |
| 33-7922 |
Dec. 1, 2000 |
Leslie E. Rossello
Release Nos. 33-7922, 34-43650 |
| 34-43644 |
Nov. 30, 2000 |
Joseph A. Monaco |
| 34-43633 |
Nov. 29, 2000 |
Pinnacle Business Management, Inc. |
| 34-43622 |
Nov. 27, 2000 |
H.J. Meyers & Co., Inc., James A. Villa, and James C. Witzel |
| 33-7921 |
Nov. 22, 2000 |
Detour Magazine, Inc.
Release Nos. 33-7921, 34-43610 |
| 33-7920 |
Nov. 22, 2000 |
Barry H. Peterson-Ross
Release Nos. 33-7920, 34-43609 |
| 34-43569 |
Nov. 16, 2000 |
W. David East, Jr. |
| 33-7918 |
Nov. 17, 2000 |
H.J. Meyers & Co., Inc., Robert Setteducati, Williams Masucci, Michael Vanechanos, and James A. Villa; and H.J. Meyers & Co., Inc., James A. Villa, and James C. Witzel
Release Nos. 33-7918, 34-43579 |
| 34-43578 |
Nov. 17, 2000 |
Stephen V. Burns |
| 33-7917 |
Nov. 16, 2000 |
James Steele Douglass
Release Nos. 33-7917, 34-43572 |
| 33-7916 |
Nov. 16, 2000 |
Glen Donald Lang
Release Nos. 33-7916, 34-43571 |
| 34-43570 |
Nov. 16, 2000 |
Per-Se Technologies, Inc., formerly known as Medaphis Corporation |
| 33-7915 |
Nov. 14, 2000 |
Waltzer and Associates, Lewis N. Waltzer, and Karney E. Waltzer
Release Nos. 33-7915, 34-43562, IA-1909, IC-24739 |
| 33-7914 |
Nov. 14, 2000 |
Waltzer and Associates, Lewis N. Waltzer, and Karney E. Waltzer
Release Nos. 33-7914,34-43561, IA-1908, IC-24738 |
| 34-43560 |
Nov. 14, 2000 |
Dean C. Turner |
| 34-43532 |
Nov. 8, 2000 |
Donald E. Studer |
| 34-43531 |
Nov. 8, 2000 |
Luis R. Hidalgo Jr., CPA |
| 34-43503 |
Nov. 1, 2000 |
Michael J. Markowski and Joseph F. Riccio |
| 34-43498 |
Oct. 31, 2000 |
Horton & Company and Edward C. Horton |
| 34-43497 |
Oct. 31, 2000 |
Pat A. Rossetti and Jeffrey M. Yonkers |
| 34-43486 |
Oct. 27, 2000 |
David W. Benner |
| 34-43478 |
Oct. 24, 2000 |
First Union Securities, Inc. |
| 34-43472 |
Oct. 23, 2000 |
Marc B. Nogid |
| 34-43466 |
Oct. 20, 2000 |
Edward R. Cox and Cox Securities, Inc. |
| 34-43450 |
Oct. 17, 2000 |
Asif Ameen and Bruce W. Bertsch |
| 34-43449 |
Oct. 17, 2000 |
Asif Ameen and Bruce W. Bertsch |
| 34-43446 |
Oct. 16, 2000 |
Robert G. Herndon |
| 34-43445 |
Oct. 16, 2000 |
Victor Douenias |
| 34-43434 |
Oct. 12, 2000 |
High Speed Net Solutions, Inc. |
| 34-43431 |
Oct. 11, 2000 |
All-Tech Direct, Inc., f/k/a All-Tech Investment Group, Inc., Harry Lefkowitz, Mark Shefts, Lisa Esposito, Ralph Zulferino, David Waldman, Adam Leeds, and Barry Parish |
| 33-7910 |
Oct. 10, 2000 |
Richard Langley, Jr. and Gerald Larder
Release Nos. 33-7910, 34-43428 |
| 34-43433 |
Oct. 11, 2000 |
Victor M. Wang |
| 34-43432 |
Oct. 11, 2000 |
Gregg A. Thaler |
| 33-7909 |
Oct. 10, 2000 |
Shamrock Partners Ltd., James T. Kelly, John R. Doyle, and Stephen J. Fischer
Release Nos. 33-7909, 34-43425 |
| 34-43423 |
Oct. 6, 2000 |
PalmWorks, Inc. |
| 34-43422 |
Oct. 6, 2000 |
Herbert M. Campbell II |
| 34-43416 |
Oct. 5, 2000 |
Engineering Animation, Inc. and Michael J. Jablo |
| Third Quarter |
| 34-43393 |
Sep. 29, 2000 |
First Springfield Securities, Inc., Donald E. Radle and Michael S. Dwyer |
| 34-43392 |
Sep. 29, 2000 |
Alexander Lushtak and Charles Seavey |
| 33-7908 |
Sep. 29, 2000 |
Larry H. Weltman
Release Nos. 33-7908, 34-43400 |
| 33-7907 |
Sep. 29, 2000 |
Hugh D. Cooper
Release Nos. 33-7907, 34-43399 |
| 33-7906 |
Sep. 29, 2000 |
Victor Caron
Release Nos. 33-7906, 34-43398 |
| 33-7905 |
Sep. 29, 2000 |
William J. Bosso
Release Nos. 33-7905, 34-43397 |
| 33-7904 |
Sep. 29, 2000 |
CGI Capital, Inc.
Release Nos. 33-7904, 34-43387 |
| IA-1902 |
Sep. 29, 2000 |
Susan M. Gorski |
| IA-1901 |
Sep. 29, 2000 |
Timothy Charles Sweeney |
| 34-43391 |
Sep. 29, 2000 |
Donald C. Yount, CPA |
| 34-43390 |
Sep. 29, 2000 |
Theodore R. Hunter
Release Nos. 34-43390, IA-1903 |
| 34-43389 |
Sep. 29, 2000 |
Luis E. Gomez, CPA |
| 34-43388 |
Sep. 29, 2000 |
Drew Bergman |
| 34-43386 |
Sep. 29, 2000 |
David Barroso, Jr. |
| 34-43385 |
Sep. 29, 2000 |
Todd Hansen |
| 34-43382 |
Sep. 28, 2000 |
Alex Moore Co., Inc., Livetrade.com, Inc., and Michael Weissman |
| 34-43381 |
Sep. 28, 2000 |
Paul Nortman |
| 34-43379 |
Sep. 28, 2000 |
Stanley H. Van Etten |
| 34-43378 |
Sep. 28, 2000 |
Douglas R. Shisler |
| 34-43375 |
Sep. 28, 2000 |
Charles T. Bennett |
| 34-43374 |
Sep. 28, 2000 |
Dean H. Harris |
| IA-1899 |
Sep. 28, 2000 |
Mumtaz Saxena
Release Nos. IA-1899, IC-24668 |
| 34-43373 |
Sep. 28, 2000 |
Richard J. Fulcher, Thomas J. Dolan, Walter G. Lapp, and Lawrence E. Seppanen |
| 34-43372 |
Sep. 28, 2000 |
E.ON AG |
| 33-7903 |
Sep. 27, 2000 |
Isaac Hager
Release Nos. 33-7903, 34-43366 |
| 34-43362 |
Sep. 27, 2000 |
Craig Consumer Electronics, Inc. |
| 34-43361 |
Sep. 27, 2000 |
Bonnie K. Metz |
| 34-43360 |
Sep. 27, 2000 |
Countryland Wellness Resorts, Inc. |
| 34-43359 |
Sep. 27, 2000 |
YourBankOnline.com, Pakie Plastino and William L. Butcher |
| 33-7902 |
Sep. 27, 2000 |
Premier Laser Systems Inc.
Release Nos. 33-7902, 34-43358 |
| 34-43357 |
Sep. 27, 2000 |
Cylink Corporation |
| 33-7901 |
Sep. 26, 2000 |
Dale E. Frey and Roger A. Rawlings
Release Nos. 33-7901, 34-43356 |
| 33-7900 |
Sep. 26, 2000 |
William Lee Jeffers
Release Nos. 33-7900, 34-43355 |
| 34-43354 |
Sep. 26, 2000 |
D.E. Frey and Company, Inc. |
| 33-7899 |
Sep. 26, 2000 |
Douglas J. Hopwood
Release Nos. 33-7899, 34-43353 |
| 34-43352 |
Sep. 26, 2000 |
Prospera Financial Services, Inc. (f\k\a Addison Securities, Inc.) |
| 33-7898 |
Sep. 26, 2000 |
Cheryl A. Rodgers
Release Nos. 33-7898, 34-43351 |
| 34-43350 |
Sep. 26, 2000 |
Signal Securities Inc., Ivan Jerry Singleton,
and Richard E. Bennett |
| 34-43349 |
Sep. 26, 2000 |
First Colonial Securities Group, Inc., Michael E. Golden and Steven D. Schwartz |
| 33-7897 |
Sep. 26, 2000 |
Centennial Technologies, Inc.
Release Nos. 33-7897, 34-43345 |
| 34-43341 |
Sep. 26, 2000 |
Maritza Galle and Bertha Ayala |
| 34-43335 |
Sep. 25, 2000 |
Dale Van Wyk |
| 34-43334 |
Sep. 25, 2000 |
MainStreetIPO.com Inc. and Joseph M. Salvani |
| 33-7896 |
Sep. 25, 2000 |
Raymond A. Parkins, Jr
Release Nos. 33-7896, 43336 |
| 34-43327 |
Sep. 22, 2000 |
Edward Cheramy
Release Nos. 34-43327 |
| 34-43326 |
Sep. 22, 2000 |
Rudy Wann
Release Nos. 34-43326 |
| 33-7895 |
Sep. 22, 2000 |
Manohar Surana
Release Nos. 33-7895, 34-43325 |
| 34-43322 |
Sep. 21, 2000 |
Shirley A. McKinney, Darlan Gordon, Michael J. McEvoy, Francis A. Taylor, IV, Douglas Parks and John Brownson |
| 34-43321 |
Sep. 21, 2000 |
Paul Kucik
Release Nos. 34-43321 |
| 33-7894 |
Sep. 21, 2000 |
James W. Ogg
Release Nos. 33-7894, 34-43320 |
| 34-43317 |
Sep. 21, 2000 |
James A. Skalko |
| 34-43316 |
Sep. 21, 2000 |
Cincinnati Stock Exchange, Inc. |
| 33-7893 |
Sep. 21, 2000 |
E-Invest, Inc., formerly known as, Ashtin Kelly & Co., and William Jonathan Wride. |
| 33-7892A |
Sep. 21, 2000 |
E-Invest, Inc., formerly known as, Ashtin Kelly & Co. and William Jonathan Wride.
Release Nos. 33-7892A, 34-43315A |
| 34-43306 |
Sep. 20, 2000 |
Gregory M. Shephard |
| 34-43301 |
Sep. 20, 2000 |
Pier 1 Imports, Inc. |
| 33-7891 |
Sep. 20, 2000 |
Jonathan G. Lebed
Release Nos. 33-7891, 34-43307 |
| 34-43300 |
Sep. 18, 2000 |
George E. Mahfouz, Jr. |
| 34-43287 |
Sep. 13, 2000 |
Luis Bulas, Jr. |
| 33-7890 |
Sep. 13, 2000 |
Vincent W. Beale, Sr., Tyrone Killebrew and BNB Capital, Inc. (f/k/a BNB Securities, Inc.)
Release Nos. 33-7890, 34-43286 |
| 34-43278 |
Sep. 11, 2000 |
David S. Darling |
| 34-43272 |
Sep. 11, 2000 |
Otis Herring |
| 34-43271 |
Sep. 11, 2000 |
Marvin Moses |
| 34-43270 |
Sep. 11, 2000 |
Andrew Bressman, Roman Okin, Richard Acosta, Richard Simone, Burton Blank, Mark Goldman and Jack Wolynez |
| 34-43269 |
Sep. 11, 2000 |
Andrew Bressman, Roman Okin, Richard Acosta, Richard Simone, Burton Blank, Mark Goldman and Jack Wolynez |
| 34-43268 |
Sep. 11, 2000 |
Certain Activities of Options Exchanges |
| 34-43249 |
Sep. 6, 2000 |
Theodore Ursu III, CPA |
| IA-1895 |
Sep. 7, 2000 |
F.W. Thompson Company Ltd. and Frederick Thompson |
| 33-7889 |
Sep. 7, 2000 |
Philip A. Lehman and Tower Equities, Inc. |
| 33-7888 |
Sep. 7, 2000 |
Roland Acevedo |
| 33-7887 |
Sep. 6, 2000 |
Scott Eskew |
| 33-7886 |
Sep. 6, 2000 |
Platinum Equities, Inc., Blackheath & Kent Holdings, Inc., John J. Kenny, and Pasquale Forti |
| 33-7885 |
Sep. 6, 2000 |
John Black |
| 34-43246 |
Sep. 6, 2000 |
CancerOption.com, Inc. and Arnold C. Takemoto |
| 33-7884 |
Sep. 1, 2000 |
Richardt-Alyn & Co., Richard B. Feinberg, and Alan S. Feinberg |
| 34-43215 |
Aug. 28, 2000 |
Dean Witter Reynolds Inc. |
| 33-7882 |
Aug. 22, 2000 |
Andrew Bressman, Roman Okin, Richard Acosta, Richard Simone, Burton Blank, Mark Goldman and Jack Wolynez
Release Nos. 33-7882, 34-43188 |
| 34-43184 |
Aug. 21, 2000 |
Alpha Tech Stock Transfer Trust and James W. Farrell |
| 34-43189 |
Aug. 22, 2000 |
Andrew Bressman, Roman Okin, Richard Acosta, Richard Simone, Burton Blank, Mark Goldman and Jack Wolynez |
| 34-43183 |
Aug. 21, 2000 |
Boston Scientific Corporation |
| 34-43174 |
Aug. 18, 2000 |
Steven Ira Wertman, Robert Bruce Orkin, Edward Charles William Donner, III and Earl Seth David |
| 34-43173 |
Aug. 18, 2000 |
Steven Ira Wertman, Robert Bruce Orkin, Edward Charles William Donner, III and Earl Seth David |
| 34-43172 |
Aug. 18, 2000 |
Steven Ira Wertman, Robert Bruce Orkin, Edward Charles William Donner, III and Earl Seth David |
| 34-43171 |
Aug. 18, 2000 |
Steven Ira Wertman, Robert Bruce Orkin, Edward Charles William Donner, III and Earl Seth David |
| 34-43160 |
Aug. 16, 2000 |
William J. McClintock, C.A. |
| 34-43158 |
Aug. 16, 2000 |
Lambert D. Vander Tuig |
| 34-43136 |
Aug. 10, 2000 |
Herbert M. Campbell II |
| IA-1894 |
Aug. 10, 2000 |
F. Xavier Saavedra |
| IA-1893 |
Aug. 10, 2000 |
Brian W. O'Connor |
| 34-43135 |
Aug. 10, 2000 |
James Michael Cogley
Release Nos. 34-43135, IA-1892 |
| 34-43129 |
Aug. 8, 2000 |
Axel E. Friedberg and Rudolf J. Weissenberger |
| 33-7879 |
Aug. 8, 2000 |
Universalscience.com, Inc. and Rena Perez |
| 34-43123 |
Aug. 4, 2000 |
Steven Wolis |
| IA-1889 |
Aug. 3, 2000 |
Dawson-Samberg Capital Management, Inc., now known as Dawson-Giammalva Capital Management, Inc., and Judith A. Mack |
| 34-43106 |
Aug. 2, 2000 |
Samuel G. Lederman |
| 34-43076 |
Jul. 27, 2000 |
Jonah Rosenblatt |
| 34-43071 |
Jul. 26, 2000 |
Leslie A. Danish, CPA |
| 33-7876 |
Jul. 24, 2000 |
L.T. Lawrence & Co., Inc., Todd E. Roberti, and Lawrence Principato |
| 34-43068 |
Jul. 24, 2000 |
Guilford Mills, Inc. |
| 34-43034 |
Jul. 20, 2000 |
Gerald Lee Pate
Release Nos. 34-43058, 34-43034 |
| 34-43054 |
Jul. 19, 2000 |
Fahnestock & Co., Inc. and Williams E. Bierlin, Jr. |
| 34-43053 |
Jul. 18, 2000 |
JWGenesis Financial, Inc., formerly known as JW Charles Financial Services, Inc. |
| 34-43050 |
Jul. 18, 2000 |
Janney Montgomery Scott LLC and Norman T. Wilde, Jr. |
| 34-43048 |
Jul. 18, 2000 |
Olawande A. Agunloye |
| 33-7874 |
Jul. 18, 2000 |
Vector Index Advisors, Inc. and Steven H. Adler
Release Nos. 33-7874, 34-43046, IA-1887 |
| 33-7873 |
Jul. 18, 2000 |
Clyde Wayne Gregory
Release Nos. 33-7873, 34-43045, IA-1886 |
| 34-43034 |
Jul. 13, 2000 |
Kevin T. Kearney, CPA |
| 34-43018 |
Jul. 10, 2000 |
Timothy J. Tyrrell |
| IA-1885 |
Jul. 10, 2000 |
Charles F. Parisi |
| 34-43015 |
Jul. 7, 2000 |
Jerry W. Anderson and Robert M. Kerns |
| 33-7871 |
Jul. 6, 2000 |
Dwight H. Stephens |
| Second Quarter |
| 34-42992 |
Jun. 30, 2000 |
Allegheny Health, Education and Research Foundation |
| 34-42987 |
Jun. 29, 2000 |
Ronald G. Davies |
| 33-7869 |
Jun. 28, 2000 |
Madlyn Lee Ferro and Dwight H. Stephens |
| 34-42981 |
Jun. 26, 2000 |
Gregory A. Alba, CPA |
| 34-42979 |
Jun. 23, 2000 |
Schnitzer & Kondub, P.C., Richard S. Kondub, CPA, and Ross J. Schnitzer, CPA |
| 34-42977 |
Jun. 23, 2000 |
Reuben D. Peters |
| 34-42976 |
Jun. 23, 2000 |
Albinas Kurkulis |
| 34-42972 |
Jun. 21, 2000 |
Malcolm McGuire III |
| 34-42968 |
Jun. 21, 2000 |
Waste Management, Inc. |
| IA-1882 |
Jun. 20, 2000 |
Timothy J. Lyons |
| IA-1881 |
Jun. 20, 2000 |
James L. Foster, Steven M. Bolla, Laurie F. Foster, and William E. Busacker, Jr.
Release Nos. IA-1881, 34-42963 |
| 34-42956 |
Jun. 19, 2000 |
Luis Bulas, Jr. |
| 34-42955 |
Jun. 19, 2000 |
Linda Ballou, Ronald Wackler and Bruce Harlan |
| IA-1880 |
Jun. 15, 2000 |
Owen-Joseph Asset Management Corp. and William O. Foster
Release Nos. 34-42945, IA-1880 |
| IA-1879 |
Jun. 15, 2000 |
Founders Asset Management LLC and Bjorn K. Borgen |
| 34-42936 |
Jun. 14, 2000 |
Mary Sattler Polverari, C.P.A. |
| 34-42935 |
Jun. 14, 2000 |
Steven Speaks, C.P.A. |
| 34-42934 |
Jun. 14, 2000 |
Paul Hiznay |
| 34-42933 |
Jun. 14, 2000 |
Cendant Corporation |
| 33-7866 |
Jun. 14, 2000 |
William M. Stephens
Release Nos. 33-7866, 34-42941, IA-1878 |
| 33-7865 |
Jun. 14, 2000 |
Allen Z. Wolfson, Michael T. Grecco, John M. Black, Jr., Spiro, Lazaretos, Robert Balsamo, Vladimir Carvallo, and Konstantinos Dino Sonitis
Release Nos. 33-7865, 34-42940 |
| 33-7864 |
Jun. 14, 2000 |
Salvatore Piazza, James S. Labate, William F. Palla, Emmanuel Gennusso, Cary F. Cimino, Todd M. Nejaime, Kevin P. Radigan, Robert Gallo, Robert J. Dacunto, Michael P. Dacunto, Joseph P. Meduri, Vincent A. Padulo, Jr., Vito G. Padulo, John Bruzzese, Salvatore F. Ruggiero, Patrick Giglio, Irving Stitsky, Paul L. Burton, Marc I. Burton, Kenneth J. Fuina, Marc L. Weissman, Anthony P. Dinota, Jr., Facundo Ponce, Chester L. Chicosky, Lawrence M. Choiniere, William P. Burke, Michael Caso, John Catalano, Jr., George Bisnoff, Damien Douglas, Craig P. McGuinn, II, and Mark Danieli
Release Nos. 33-7864,34-42939 |
| 34-42927 |
Jun. 13, 2000 |
Donald G. Brooks
Release Nos. 34-42927, IA-1877 |
| 34-42923 |
Jun. 13, 2000 |
Lambert D. Vander Tuig |
| 33-7863 |
Jun. 13, 2000 |
Edward Williamson
Release Nos. 33-7863, 34-42924 |
| IA-1876 |
Jun. 12, 2000 |
MPI Investment Management, David Pequet and Ashok Shende |
| 34-42919 |
Jun. 12, 2000 |
City Investment Group, LLC, John Barris, and Tigran Papazian |
| 33-7862 |
Jun. 12, 2000 |
Al Avasso and Robert Schulman |
| 33-7861 |
Jun. 9, 2000 |
John S. Reger II and Business & Financial Advisors, Inc. |
| 34-42810 |
Jun. 8, 2000 |
Scott E. Edwards, CPA |
| 34-42909 |
Jun. 8, 2000 |
Firstmark Corp. |
| IA-1874 |
Jun. 7, 2000 |
Brian T. Lenihan |
| 34-42901 |
Jun. 6, 2000 |
Eric P. Furman, CPA |
| 34-42882 |
Jun. 1, 2000 |
James D. Montgomery, II, Danny R. Auerbach, and Michael L. Glaser |
| 34-42881 |
Jun. 1, 2000 |
James D. Montgomery, II, Danny R. Auerbach, and Michael L. Glaser |
| 34-42880 |
Jun. 1, 2000 |
Peter G. Mintz |
| 34-42879 |
Jun. 1, 2000 |
Samuel L. White |
| 34-42878 |
Jun. 1, 2000 |
David E. Trotter |
| 34-42877 |
Jun. 1, 2000 |
Joseph A. Monaco |
| 34-42867 |
May 31, 2000 |
Rafi M. Khan |
| IA-1872 |
May 31, 2000 |
Schield Management Company, Marshall L. Schield, and Troy M. Schield |
| IA-1871 |
May 31, 2000 |
Schield Management Company, Marshall L. Schield, and Troy M. Schield |
| 34-42856 |
May 30, 2000 |
Brian Walfish |
| 33-7859 |
May 25, 2000 |
Paul Y. Okuda, Stephen A. Thorpe, and David J. Chester
Release Nos. 33-7859, 34-42827 |
| 34-42828 |
May 25, 2000 |
R. Gordon Jones and Mark F. Jensen |
| 34-42826 |
May 25, 2000 |
Joseph P. Galluzzi |
| 34-42813 |
May 23, 2000 |
Intile Designs, Inc. |
| 34-42809 |
May 23, 2000 |
Arnold Zousmer |
| 34-42788 |
May 16, 2000 |
Sandra L. Reeder |
| 34-42781 |
May 15, 2000 |
America Online, Inc. |
| 33-7857 |
May 10, 2000 |
The Dreyfus Corporation and Michael L. Schonberg
Release Nos. 33-7857, IA-1870, ic-24450 |
| 34-42766 |
May 8, 2000 |
All-Tech Direct, Inc. f/k/a All-Tech Investment Group, Inc., Harry Lefkowitz, Mark Shefts, Lisa Esposito, Ralph Zulferino, David Waldman, Adam Leeds, and Barry Parish |
| 34-42765 |
May 8, 2000 |
All-Tech Direct, Inc. f/k/a All-Tech Investment Group, Inc., Harry Lefkowitz, Mark Shefts, Lisa Esposito, Ralph Zulferino, David Waldman, Adam Leeds, and Barry Parish |
| 34-42753 |
May 3, 2000 |
Cynthia Pfaltzgraff, CMA |
| 34-42743 |
May 2, 2000 |
Albert Adamczak, CPA |
| 34-42742 |
May 2, 2000 |
Stephen H. Spargo |
| 34-42739 |
May 1, 2000 |
Millenia Hope, Inc., c/o Irving Rothstein, Esq., Heller, Horowitz & Feit, P.C. |
| 34-42738 |
May 1, 2000 |
Intelispan, Inc. |
| 34-42737 |
May 1, 2000 |
Genesis Trading and Robert Garganese |
| 34-42731 |
Apr. 28, 2000 |
Steven G. Barkus |
| 34-42719 |
Apr. 25, 2000 |
Gerald M. Wetzler |
| 34-42718 |
Apr. 25, 2000 |
Louis G. Karabochos |
| 33-7854 |
Apr. 21, 2000 |
Charles E. Wessman
Release Nos. 33-7854, 34-72709 |
| 33-7853 |
Apr. 20, 2000 |
Richard Harriton
Release Nos. 33-7853, 34-42707 |
| 34-42695 |
Apr. 17, 2000 |
Francis T. Phalen, CPA
Release Nos. 34-42684 |
| 33-7852 |
Apr. 17, 2000 |
Mark Savage, George Panagiotou, Jr., and Dean Verrigni |
| 34-42684 |
Apr. 13, 2000 |
Rita L. Schwartz |
| 34-42674 |
Apr. 13, 2000 |
Kenneth R. Starnes |
| 34-42673 |
Apr. 13, 2000 |
Peritus Software Services, Inc. |
| 34-42670 |
Apr. 12, 2000 |
Phelps M. Wood |
| IA-1868 |
Apr. 14, 2000 |
Gold Asset Management, Inc. and Marc L. Gold |
| IA-1867 |
Apr. 13, 2000 |
Michael J. Rothmeier, Clark T. Blizzard, Rudolph Abel, Donald C. Berry, Christopher P. Roach, Craig Janutol, and East West Institutional Services, Inc. |
| IA-1866 |
Apr. 13, 2000 |
Michael J. Rothmeier, Clark T. Blizzard, Rudolph Abel, Donald C. Berry, Christopher P. Roach, Craig Janutol, and East West Institutional Services, Inc. |
| IA-1865 |
Apr. 13, 2000 |
Michael J. Rothmeier, Clark T. Blizzard, Rudolph Abel, Donald C. Berry, Christopher P. Roach, Craig Janutol, and East West Institutional Services, Inc. |
| 33-7851 |
Apr. 14, 2000 |
Cesar Odio |
| 33-7850 |
Apr. 13, 2000 |
Jerry C. Berman |
| 33-7849 |
Apr. 10, 2000 |
Nova Communications Ltd., formerly known as First Colonial Ventures Ltd. and Murray W. Goldenberg
Release Nos. 33-7849, 34-42656 |
| 33-7848 |
Apr. 7, 2000 |
Aaron Finkelstein |
| 33-7847 |
Apr. 7, 2000 |
William H. Clark |
| 33-7844 |
Apr. 6, 2000 |
Rauscher Pierce Refsnes, Inc., Dain Rauscher Incorporated, and James R. Feltham
Release Nos. 33-7844, 34-42644, IA-1863 |
| 33-7841 |
Apr. 6, 2000 |
Morgan Stanley & Co. Incorporated
Release Nos. 33-7841, 34-42642 |
| 33-7838 |
Apr. 6, 2000 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Release Nos. 33-7838, 34-42640 |
| 33-7835 |
Apr. 6, 2000 |
Lehman Brothers Inc.
Release Nos. 33-7835,34-42638 |
| 33-7832 |
Apr. 6, 2000 |
Goldman, Sachs & Co.
Release Nos. 33-7832, 34-42636 |
| 33-7829 |
Apr. 6, 2000 |
Salomon Smith Barney Inc. |
| 33-7826 |
Apr. 6, 2000 |
William R. Hough & Co. |
| 33-7823 |
Apr. 6, 2000 |
Painewebber Incorporated |
| 33-7820 |
Apr. 6, 2000 |
Warburg Dillion Read LLC |
| 33-7817 |
Apr. 6, 2000 |
Prudential Securities Incorporated |
| 34-42625 |
Apr. 6, 2000 |
Shan Michael Hefley |
| 34-42616 |
Apr. 4, 2000 |
Systems of Excellence, Inc. |
| First Quarter |
| 34-42602 |
Mar. 31, 2000 |
Brad Haddy and Ronald D. Spencer |
| 34-42588 |
Mar. 29, 2000 |
Seth P. Joseph |
| 34-42587 |
Mar. 29, 2000 |
Beth A. Morris and Steven H. Grant |
| 34-42586 |
Mar. 29, 2000 |
Nanette Miller, CPA |
| 34-42569 |
Mar. 23, 2000 |
Jill Pitts and Janet Hanson |
| 34-42556 |
Mar. 21, 2000 |
Tuschner & Company, Inc. |
| 34-42549 |
Mar. 20, 2000 |
Laser Technology, Inc. |
| 34-42548 |
Mar. 20, 2000 |
Jeremy G. Dunne |
| 34-42547 |
Mar. 20, 2000 |
H. DeWorth Williams |
| 33-7814 |
Mar. 17, 2000 |
Vincent E. Serhan
Release Nos. 33-7814, 34-42541 |
| 33-7813 |
Mar. 17, 2000 |
David C. Erickson
Release Nos. 33-7813, 34-42540 |
| 33-7812 |
Mar. 15, 2000 |
Jethro J. Barlow, CPA, Alan K. Burton, J. Edwards Cox,Robert G. Weeks, David A. Hesterman, and Kenneth L. Weeks |
| 33-7811 |
Mar. 15, 2000 |
Joseph J. Laferty |
| 33-7810 |
Mar. 15, 2000 |
Paul A. Barrios
Release Nos. 33-7810, 34-42531 |
| 34-42513 |
Mar. 9, 2000 |
David Scott Heredia |
| 34-42530 |
Mar. 15, 2000 |
Steven P.Erlich |
| IA-1861 |
Mar. 14, 2000 |
Brian T. Lenihan |
| IA-1860 |
Mar. 9, 2000 |
WWW Advisors, Inc. |
| 33-7806 |
Mar. 2, 2000 |
Terence Michael Coxon, Alan Michael Sergy, and World Money Managers |
| IA-1858 |
Mar. 2, 2000 |
Huber Hogan Consulting, Inc., Russon Financial Services, Inc. and Robert C. Sears |
| IA-1799A |
Mar. 2, 2000 |
Asset Timing Corp. |
| 34-42483 |
Mar. 2, 2000 |
Kenneth Terrell, Jason Wyckoff, Adam Altman, and Joanne Colt |
| 33-7805 |
Feb. 29, 2000 |
Robert J. Meledandri, Jr. |
| 33-7804 |
Feb. 28, 2000 |
Joseph E. Stephenson, individually and doing business as Stephenson Investment Opportunities |
| 34-42448 |
Feb. 22, 2000 |
Michael L. Kinney |
| 34-42447 |
Feb. 22, 2000 |
Investment Street Company, Dynamic Trading of Miami, Inc., Emilio Sardi and Javier Saenz |
| 34-42446 |
Feb. 22, 2000 |
All-Tech Direct, Inc., f/k/a All-Tech Investment Group, Inc., Harry Lefkowitz, Mark Shefts, Lisa Esposito, Ralph Zulferino, David Waldman, Adam Leeds, and Barry Parish |
| 34-42445 |
Feb. 22, 2000 |
Orlando Super Card, Inc.
Release Nos. 33-7802, 34-42445 |
| 34-42438 |
Feb. 18, 2000 |
Alex. P. de Soto |
| 34-42432 |
Feb. 16, 2000 |
James D. Montgomery II |
| 34-42422 |
Feb. 14, 2000 |
Donald J. Martineau |
| 34-42425 |
Feb. 11, 2000 |
Larry J. Bagwell and Connie L. Bally |
| 34-42421 |
Feb. 14, 2000 |
Del Mar Financial Services, Inc., Kevin C. Dills, Private Brokers Corporation, Robert A. Roberts, Matthew R. Jennings, Philip S. Brandon, and Jai Chaudhuri |
| 34-42420 |
Feb. 14, 2000 |
Jethro J. Barlow, CPA, Alan K. Burton, J. Edwards Cox, Robert G. Weeks, David A. Hesterman, and Kenneth L. Weeks |
| 34-42416 |
Feb. 11, 2000 |
Frank J. Cannata |
| 34-42412 |
Feb. 10, 2000 |
Joseph E. Williams
Release Nos. 33-7798, 34-42412 |
| 34-42410 |
Feb. 10, 2000 |
Joseph M. Morris, CPA |
| 34-42399 |
Feb. 7, 2000 |
Robert L. Norton
Release Nos. 33-7797, 34-42399 |
| 34-42395 |
Feb. 7, 2000 |
Waltzer and Associates, Lewis N. Waltzer, and Karney E. Waltzer
Release Nos. IA-1854, 33-7796, 34-42395 |
| 34-42394 |
Feb. 7, 2000 |
H.J. Meyers & Co., Inc. |
| 34-42393 |
Feb. 7, 2000 |
H.J. Meyers & Co., Inc., Robert Setteducati, William Masucci, Michael Vanechanos, and James A. Villa
Release Nos. 33-7795, 34-42393 |
| 34-42392 |
Feb. 7, 2000 |
William L. Clancy |
| 34-42391 |
Feb. 7, 2000 |
Roy E. Matlock |
| 34-42387 |
Feb. 4, 2000 |
PricewaterhouseCoopers LLP |
| 34-42380 |
Feb. 2, 2000 |
Kevin James Quinn |
| 34-42375 |
Feb. 2, 2000 |
Thomas J. Parker and Jack C. Herndon, Jr.
Release Nos.34-42375, IA-1853 |
| IA-1852 |
Feb. 2, 2000 |
J. Scott Eskind |
| 34-42358 |
Jan. 27, 2000 |
S. Jay Goldinger |
| 34-42355 |
Jan. 24, 2000 |
Edward Welch |
| 34-42339 |
Jan. 13, 2000 |
Paul Y. Okuda, Stephen A. Thorpe, and David J. Chester
Release Nos. 33-7792, 34-42339 |
| 34-42326 |
Jan. 11, 2000 |
Informix Corporation
Release Nos. 33-7788, 34-42326 |
| 34-42316 |
Jan. 5, 2000 |
Model Imperial, Inc. |
| 34-42305 |
Jan. 3, 2000 |
Kevin J. Kirkbride |
http://www.sec.gov/litigation/admin/adminarchive/adminarc2000.shtml
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