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Administrative Proceedings Archive 2002
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 |
| 34-47107 |
Dec. 30, 2002 |
Laurie Jones Canady
|
| 34-47102 |
Dec. 27, 2002 |
Gemisys Corporation and Stephen A. Finn |
| 33-8172 |
Dec. 23, 2002 |
Robert A. Putnam
Release Nos. 34-47083; AAER-1696
|
| 34-47079 |
Dec. 23, 2002 |
Jeffrey M. Goldberg |
| IA-2095 |
Dec. 23, 2002 |
Gordon J. Rollert |
| 34-47074 |
Dec. 20, 2002 |
Kalman Renov |
| 34-47073 |
Dec. 20, 2002 |
Vito Capotorto |
| 34-47072 |
Dec. 20, 2002 |
Alan Stahler |
| 34-47071 |
Dec. 20, 2002 |
Kenton Wood |
| 34-47070 |
Dec. 20, 2002 |
D.H. Blair & Co., Inc. |
| 34-47064 |
Dec. 20, 2002 |
Luis Martinez
Release No.: IA-2094 |
| 34-47063 |
Dec. 20, 2002 |
Guillermo Wydler
Release No.: IA-2093 |
| 34-47058 |
Dec. 19, 2002 |
Alexis Stock Transfer and Gina Ann Zapara |
| 34-47051 |
Dec. 19, 2002 |
Erika D. Whitman
|
| 34-47050 |
Dec. 19, 2002 |
Stephen E. Sokoloff
|
| 34-47049 |
Dec. 19, 2002 |
John Tripp Sines, III
|
| 34-47048 |
Dec. 19, 2002 |
Christopher J. Richardson
|
| 34-47047 |
Dec. 19, 2002 |
Christopher D. Panza
|
| 34-47046 |
Dec. 19, 2002 |
Stacey Meyers
|
| 34-47045 |
Dec. 19, 2002 |
John J. Messina
|
| 34-47044 |
Dec. 19, 2002 |
Salvatore C. Marchiano
|
| 34-47043 |
Dec. 19, 2002 |
Stephen H. Kaplan
|
| 34-47042 |
Dec. 19, 2002 |
Vincent Caracciolo
|
| 33-8169 |
Dec. 19, 2002 |
A.S. Goldmen & Co., Inc., Anthony J. Marchiano, Stuart E. Winkler, John T. Diasabeyagunawardena (a.k.a. John Abbey), John P. Delcioppo, Christopher M. Delcioppo, Vincent J. Lia, Duane P. Taylor, and Charles Trento
Release No.: 34-47041 |
| 33-8168 |
Dec. 19, 2002 |
A.S. Goldmen & Co., Inc., Anthony J. Marchiano, Stuart E. Winkler, John T. Diasabeyagunawardena (a.k.a. John Abbey), John P. Delcioppo, Christopher M. Delcioppo, Vincent J. Lia, Duane P. Taylor, and Charles Trento
Release No.: 34-47040 |
| 33-8167 |
Dec. 19, 2002 |
A.S. Goldmen & Co., Inc., Anthony J. Marchiano, Stuart E. Winkler, John T. Diasabeyagunawardena (a.k.a. John Abbey), John P. Delcioppo, Christopher M. Delcioppo, Vincent J. Lia, Duane P. Taylor, and Charles Trento
Release No.: 34-47039 |
| 33-8166 |
Dec. 19, 2002 |
A.S. Goldmen & Co., Inc., Anthony J. Marchiano, Stuart E. Winkler, John T. Diasabeyagunawardena (a.k.a. John Abbey), John P. Delcioppo, Christopher M. Delcioppo, Vincent J. Lia, Duane P. Taylor, and Charles Trento
Release No.: 34-47038 |
| 33-8165 |
Dec. 19, 2002 |
A.S. Goldmen & Co., Inc., Anthony J. Marchiano, Stuart E. Winkler, John T. Diasabeyagunawardena (a.k.a. John Abbey), John P. Delcioppo, Christopher M. Delcioppo, Vincent J. Lia, Duane P. Taylor, and Charles Trento
Release No.: 34-47037 |
| 33-8163 |
Dec. 16, 2002 |
Ira A. Gerard and Karen S. Harris
Release No.: 34-47001, AAER-1692 |
| 34-47005 |
Dec. 16, 2002 |
e-Smart Technologies, Inc.
|
| 34-47004 |
Dec. 16, 2002 |
Hamilton Bancorp., Inc.
Release No.: AAER-1693 |
| 34-47002 |
Dec. 16, 2002 |
Allen E. Weintraub and Florida Stock Transfer, Inc.
|
| 34-47000 |
Dec. 16, 2002 |
Mercator Software, Inc.
Release No.: AAER-1691 |
| IA-2092 |
Dec. 13, 2002 |
Millenium Capital Advisors of Pennsylvania, Inc. and Louis J. Sozio
|
| 34-46993 |
Dec. 13, 2002 |
Strata Coal Company (f/k/a WesPac Technologies Corp.) and Terrence A. Tecco
|
| 34-46991 |
Dec. 13, 2002 |
Frank Thomas Devine
|
| 34-46988 |
Dec. 12, 2002 |
Susan Moore
Release No.: AAER-1689 |
| 33-8161 |
Dec. 11, 2002 |
Rodona Garst
Release No.: 34-46987 |
| 33-8159 |
Dec. 10, 2002 |
John Vailati
Release No.: 34-46978 |
| 34-46979 |
Dec. 10, 2002 |
Syncor International Corporation
Release No.: AAER-1687 |
| 34-46970 |
Dec. 9, 2002 |
Mark May
Release No.: IA-2090 |
| 34-46969 |
Dec. 9, 2002 |
Craig A. Herl
Release No.: IA-2089 |
| 33-8155 |
Dec. 6, 2002 |
Harvey M. Burstein and James D. Loeffelbein
Release No.: 34-46955 |
| 33-8158 |
Dec. 6, 2002 |
Betty L. Vinson, CPA
Release No.: 34-46964, AAER-1686 |
| 33-8157 |
Dec. 6, 2002 |
David F. Myers
Release Nos.: 34-46963, AAER-1685 |
| 33-8156 |
Dec. 6, 2002 |
Buford Yates, Jr.
Release No.: 34-46962, AAER-1684 |
| 34-46954 |
Dec. 6, 2002 |
Elliot S. Fisher, Esq.
Release No.: AAER-1681 |
| 34-46953 |
Dec. 6, 2002 |
Bruce B. Edmondson, CPA
Release No.: AAER-1680 |
| 34-46952 |
Dec. 6, 2002 |
Birte Boock and Irwin Boock
|
| 34-46950 |
Dec. 5, 2002 |
Neoteric Group, Inc. formerly knowns as Voyager Group, Inc.
|
| 34-46945 |
Dec. 4, 2002 |
Thomas E. Hall |
| 34-46937 |
Dec. 3, 2002 |
Deutsche Bank Securities, Inc., Goldman, Sachs & Co., Morgan Stanley & Co. Incorporated, Salomon Smith Barney Inc., and U.S. Bancorp Piper Jaffray Inc. |
| IA-2087 |
Nov. 27, 2002 |
Financial Asset Management, Inc., James B. Rader and Debra L. Kennedy
Release Nos. 33-8153; 34-46928 |
| 33-8152 |
Nov. 27, 2002 |
William L. Bates
Release Nos. IC-25837; IA-2086 |
| 34-46910 |
Nov. 26, 2002 |
Yezhak Dov Knoll |
| 34-46909 |
Nov. 26, 2002 |
First Virtual Communications, Inc.
Release No. AAER-1677 |
| 34-46908 |
Nov. 26, 2002 |
Michael Sullivan, CPA
Release No. AAER-1676 |
| 34-46907 |
Nov. 26, 2002 |
Anicom, Inc.
Release No. AAER-1675 |
| 34-46900 |
Nov. 25, 2002 |
Nils O. Johannesson |
| 34-46899 |
Nov. 25, 2002 |
David C. Watt |
| 34-46897 |
Nov. 25, 2002 |
Raytheon Company and Franklyn A. Caine |
| 34-46896 |
Nov. 25, 2002 |
Siebel Systems, Inc. |
| 34-46895 |
Nov. 25, 2002 |
Secure Computing Corporation and John McNulty |
| 34-46880 |
Nov. 21, 2002 |
BDO International, Minas Ioannou, and Christakis Ioannou
Release No. AAER-1672 |
| 34-46873 |
Nov. 21, 2002 |
Arjun Sekhri
Release No. IA-2085 |
| 34-46871 |
Nov. 21, 2002 |
Sharad Kapoor
Release No. IA-2084 |
| 33-8149 |
Nov. 21, 2002 |
Schwendiman Partners, LLC
Release Nos. 34-46863; IA-2083 |
| 34-46870 |
Nov. 21, 2002 |
James A. Fitzhenry
Release No. AAER-1670 |
| 34-46867 |
Nov. 21, 2002 |
Peter C. Restivo |
| 34-46866 |
Nov. 21, 2002 |
Nicola A. Liantonio, Jr. |
| 34-46865 |
Nov. 21, 2002 |
Cesare J. Iori, Jr. |
| 34-46864 |
Nov. 21, 2002 |
Peter Restivo, Inc. d/b/a U.S. Funding |
| 34-46856 |
Nov. 20, 2002 |
Enrique E. Perusquia |
| 34-46854 |
Nov. 20, 2002 |
Rodolfo Luzardo |
| 34-46845 |
Nov. 18, 2002 |
Michael G. Horsey, CPA, Michael D. Watson, CPA, and Sallie D. Feldman, CPA
Release No.: AAER-1667 |
| 34-46842 |
Nov. 18, 2002 |
J. Charles Reives
Release No.: IA-2082 |
| 33-8148 |
Nov. 14, 2002 |
Jeffrey R. Patterson and Terrance Turman
Release Nos. 34-46838; IA-2081 |
| 34-46837 |
Nov. 14, 2002 |
David E. Morris |
| 34-46836 |
Nov. 14, 2002 |
James Silver |
| 33-8146 |
Nov. 13, 2002 |
Ernst & Young LLP
Release Nos. 34-46821, AAER-1661 |
| 34-46813 |
Nov. 12, 2002 |
Stephen R. Becker, C.P.A. |
| IA-2080 |
Nov. 8, 2002 |
Dennis S. Herula |
| IA-2079 |
Nov. 8, 2002 |
Gintel Asset Management, Inc., Gintel & Co. LLC, Robert M. Gintel, and Stephen G. Stavrides |
| IA-2078 |
Nov. 8, 2002 |
Robert C. Sears |
| 34-46791 |
Nov. 8, 2002 |
Robert F. Curley |
| 34-46777 |
Nov. 6, 2002 |
Frederick W. Kolling III, CPA
Release No. AAER-1659 |
| 34-46775 |
Nov. 5, 2002 |
Max C. Tanner, Esq. |
| 34-46773 |
Nov. 5, 2002 |
Salman Shariff
Release No. IA-2077 |
| 34-46770 |
Nov. 5, 2002 |
U.S. Bancorp Piper Jaffray Inc. |
| 33-8143 |
Nov. 4, 2002 |
William M. Stephens
Release Nos. 34-46766; IA-2076 |
| 34-46754 |
Oct. 31, 2002 |
Greater Northwest Research & Development Group, Inc. |
| 34-46749 |
Oct. 30, 2002 |
Sidney A. Johnson and Leslie H. Fleishman |
| 34-46748 |
Oct. 30, 2002 |
J. Charles Reives
Release No. IA-2073 |
| IA-2074 |
Oct. 30, 2002 |
John Raymond Linney Clain |
| IA-2072 |
Oct. 29, 2002 |
Craig P. Scanlon |
| 33-8141 |
Oct. 29, 2002 |
Kenneth D. Ough
Release No. 34-46736 |
| IA-2071 |
Oct. 25, 2002 |
Paul J. House and Brandon R. Moore |
| IA-2070 |
Oct. 25, 2002 |
Back Bay Advisors, L.P. |
| IA-2069 |
Oct. 25, 2002 |
Edgar M. Reed |
| 34-46715 |
Oct. 24, 2002 |
Ambassador Eyewear Group, Inc. |
| 34-46694 |
Oct. 21, 2002 |
Aaron Chaitovsky and Robert Glass
Release No.: AAER-1652 |
| IA-2068 |
Oct. 21, 2002 |
Stevin R. Hoover and Hoover Capital Management, Inc. |
| 34-46687 |
Oct. 21, 2002 |
Joseph Randolph Belew |
| 34-46665 |
Oct. 16, 2002 |
Louis M. Lazorwitz
Release No.: IA-2067 |
| 34-46634 |
Oct. 10, 2002 |
J. Mark Samper, CPA
Release No.: AAER-1649 |
| 34-46627 |
Oct. 9, 2002 |
Jean-Paul Bolduc, Brian J. Smith, C.P.A., Richard N. Sukenik, C.P.A., Philip J. Ryan III,Constantine L. Hampers, A. Miles Nogelo, and Robert W. Armstrong III, C.P.A
Release No. AAER-1646 |
| 34-46626 |
Oct. 9, 2002 |
Las Vegas Entertainment Network, Inc. |
| 34-46623 |
Oct. 8, 2002 |
Joseph J. Shew, CPA
Release No. AAER-1645 |
| 34-46622 |
Oct. 8, 2002 |
John Giesecke Jr., CPA
Release No. AAER-1644 |
| 33-8137 |
Oct. 8, 2002 |
John Christopher McCamey and Sierra Equity Partners, LP.
Release No. 34-46621 |
| 34-46608 |
Oct. 7, 2002 |
Michael Nicolaou |
| 34-46584 |
Oct. 2, 2002 |
Michael Ploshnick
Release No.: IA-2066 |
| 33-8136 |
Oct. 2, 2002 |
The Thurlow Funds, Inc., Thurlow Capital Management, Inc. and Thomas F. Thurlow
Release Nos.: IA-2065; IC-25761 |
| IA-2064 |
Oct. 1, 2002 |
Renberg Capital Management, Inc. and Daniel H. Renberg |
| 34-46578 |
Oct. 1, 2002 |
Dean Witter Reynolds Inc., n/k/a Morgan Stanley DW, Inc., Mark Rodgers, and Paul Grande |
| Third Quarter |
| 34-46574 |
Sep. 30, 2002 |
Alfred M. Lemcke
Release No.: IA-2063 |
| 33-8135 |
Sep. 30, 2002 |
FLIR Systems, Inc.
Release Nos.: 34-46573; AAER-1637 |
| 34-46570 |
Sep. 30, 2002 |
Brett R. Mallory |
| 34-46565 |
Sep. 27, 2002 |
Bruce D. Le Duc
Release No.: IA-2062 |
| 34-46558 |
Sep. 26, 2002 |
Ambassador Eyewear Group, Inc. |
| 34-46550 |
Sep. 25, 2002 |
Gary Salter |
| 34-46538 |
Sep. 24, 2002 |
Basic Capital Management, Inc., Nevada Sea Investments, Inc., International Health Products, Inc., One Realco Corporation, TacCO Financial, Inc. and Gene E. Phillips |
| 34-46536 |
Sep. 24, 2002 |
Kfir Barzilay, Yan Dikshteyn, Boris Fidler, Lawrence Pross, and Eugene Beigelman |
| 33-8134 |
Sep. 24, 2002 |
Dynegy Inc. |
| 33-8133 |
Sep. 24, 2002 |
Martin P. Joswick |
| IA-2061 |
Sep. 23, 2002 |
Oxford Capital Management, Inc. and John G. Danz, Jr. |
| 33-8132 |
Sep. 23, 2002 |
Tyrone Killebrew |
| 34-46526 |
Sep. 20, 2002 |
Donald D. Lukens |
| 34-46516 |
Sep. 20, 2002 |
Joseph Orlando and Victor Samaha |
| 34-46510 |
Sep. 18, 2002 |
Robert F. Curley |
| 34-46504 |
Sep. 17, 2002 |
Louis M. Lazorwitz |
| IA-2057 |
Sep. 17, 2002 |
John Raymond Linney Clain |
| 34-46500 |
Sep. 16, 2002 |
Enrique E. Perusquia |
| 34-46499 |
Sep. 16, 2002 |
Richard Mann |
| 34-46497 |
Sep. 13, 2002 |
Adrien Arpel, Inc. |
| 33-8129 |
Sep. 12, 2002 |
Americorp Securities, Inc., and Drew Edgar Schaefer
Release No.: 34-46493 |
| 34-46478 |
Sep. 10, 2002 |
Shawn F. Hackman |
| 34-46470 |
Sep. 6, 2002 |
R&RX Group, Inc., f/k/a Neoteric Group, Inc. |
| 34-46465 |
Sep. 6, 2002 |
NetAir.com, Inc. |
| IA-2055 |
Sep. 4, 2002 |
Davis Selected Advisers-NY, Inc. |
| 34-46447 |
Sep. 3, 2002 |
John Cook |
| IA-2053 |
Sep. 3, 2002 |
Vanderbilt Capital Advisors LLC |
| 33-8127 |
Sep. 3, 2002 |
Leslie Arouh
Release No.: 34-46450 |
| 33-8126 |
Sep. 3, 2002 |
Harvey I. Rubinstein
Release No.: 34-46449 |
| 33-8125 |
Sep. 3, 2002 |
Keith J. Mauney
Release No.: 34-46448 |
| IA-2051 |
Aug. 30, 2002 |
Thomas M. Durkin |
| IA-2050 |
Aug. 30, 2002 |
John E. Orin, Jr. |
| 34-46445 |
Aug. 30, 2002 |
SCB Computer Technology, Inc.
Release No.: AAER-1622 |
| 34-46442 |
Aug. 30, 2002 |
James Murphy, C.P.A.
Release No.: AAER-1620 |
| 34-46431 |
Aug. 29, 2002 |
Monica Lynn Coleman
Release No.: IA-2049 |
| IA-2048 |
Aug. 28, 2002 |
Market Timing Systems, Inc., Gregory L. Meadors, and Mark F. Shinnick |
| IA-2047 |
Aug. 28, 2002 |
Market Timing Systems, Inc., Gregory L. Meadors, and Mark F. Shinnick |
| 34-46426 |
Aug. 28, 2002 |
Joseph Randolph Belew |
| 34-46424 |
Aug. 28, 2002 |
Chimneyville Investments Group, Inc. |
| 34-46423 |
Aug. 28, 2002 |
Michael J. Christie |
| 34-46420 |
Aug. 27, 2002 |
Ives Health Company, Inc. |
| 34-46408 |
Aug. 23, 2002 |
William M. Ucherek |
| 34-46388 |
Aug. 21, 2002 |
NorthStar Network, Inc. |
| 34-46387 |
Aug. 20, 2002 |
Gregory A. Hinkson |
| 33-8122 |
Aug. 16, 2002 |
Kurt D. Saliger, CPA
Release No.: AAER-1615 |
| 34-46359 |
Aug. 15, 2002 |
Roger Fan |
| 34-46358 |
Aug. 15, 2002 |
Joseph Orlando and Victor Samaha |
| 34-46342 |
Aug. 13, 2002 |
Mark A. Taylor, Sr., and Kevin J. Ruggiero |
| 33-8121 |
Aug. 13, 2002 |
RBC Dain Rauscher Incorporated, as successor to Rauscher Pierce Refsnes, Inc.
Release No.: 34-46346 |
| 34-46336 |
Aug. 12, 2002 |
Joao P. Santos |
| IA-2046 |
Aug. 12, 2002 |
Michael L. Smirlock |
| 33-8120 |
Aug. 9, 2002 |
Arthur Lee Kunes |
| 34-46322 |
Aug. 8, 2002 |
Edward T. Creevy
Release No.: AAER-1612 |
| 34-46317 |
Aug. 6, 2002 |
James A. Nies |
| 33-8118 |
Aug. 2, 2002 |
Gas and Oil Technologies, Inc., Ingrid Aliet-Gass and Glen Morinaka, CPA
Release No.: 34-46302; AAER-1608 |
| 34-46291 |
Aug. 1, 2002 |
Richard P. Bellinger, Jack P. Bates, and Stephen S. Winslett
Release No.: AAER-1604 |
| 34-46290 |
Aug. 1, 2002 |
David Friend, CPA
Release No.: AAER-1603 |
| 34-46286 |
Jul. 31, 2002 |
NetAir.com Inc. |
| 34-46285 |
Jul. 31, 2002 |
AremisSoft Corporation |
| 33-8117 |
Jul. 30, 2002 |
Consortium Investments, Ltd., P. Chad Castle, and James David Groce
Release No.: 34-46281; IA-2045 |
| 34-46283 |
Jul. 30, 2002 |
NewCom, Inc. |
| 34-46279 |
Jul. 29, 2002 |
Johann M. Smith |
| 34-46278 |
Jul. 29, 2002 |
John J. Savarese |
| 34-46277 |
Jul. 29, 2002 |
Mark R. Savarese |
| 34-46276 |
Jul. 29, 2002 |
Michael D. Richmond |
| 34-46273 |
Jul. 29, 2002 |
Eric C. Brown
Release No.: AAER-1602 |
| 34-46271 |
Jul. 26, 2002 |
Tradamax Group, Inc.
Release No.: |
| 33-8115 |
Jul. 26, 2002 |
Fonecash, Inc. |
| 34-46254 |
Jul. 25, 2002 |
Oxford Health Plans, Inc., Andrew B. Cassidy, and Brendan R. Shanahan
Release No.: AAER-1600 |
| 33-8113 |
Jul. 24, 2002 |
Rodona Garst
Release No.: 34-46246 |
34-46247 |
Jul. 24, 2002 |
Richard Mann |
| 34-46242 |
Jul. 22, 2002 |
George Lafauci |
| 34-46241 |
Jul. 22, 2002 |
Alan S. Lipstein |
| 34-46240 |
Jul. 22, 2002 |
George Carapella |
| 34-46230 |
Jul. 19, 2002 |
Hightec, Inc. |
| 34-46226 |
Jul. 18, 2002 |
Knight Securities, L.P. |
| 33-8112 |
Jul. 18, 2002 |
PNC Financial Services Group, Inc. |
| 34-46217 |
Jul. 17, 2002 |
Ronald K. Mahabir |
| 34-46216 |
Jul. 17, 2002 |
PricewaterhouseCoopers LLP, and PricewaterhouseCoopers Securities LLC |
| 34-46215 |
Jul. 17, 2002 |
Avon Products, Inc. |
| 34-46206 |
Jul. 15, 2002 |
Jean-Paul Bolduc, Brian J. Smith, C.P.A., Richard N. Sukenik, C.P.A., Philip J. Ryan III, Constantine L. Hampers, A. Miles Nogelo, and Robert W. Armstrong III, C.P.A.
Release No.: AAER-1594 |
| 34-46205 |
Jul. 15, 2002 |
Jean-Paul Bolduc, Brian J. Smith, C.P.A., Richard N. Sukenik, C.P.A., Philip J. Ryan III, Constantine L. Hampers, A. Miles Nogelo, and Robert W. Armstrong III, C.P.A.
Release No.: AAER-1593 |
| 34-46204 |
Jul. 15, 2002 |
Thomas Cavallino and Oakwood Securities, Inc. |
| 34-46203 |
Jul. 15, 2002 |
Edward J. Mueger |
| 34-46202 |
Jul. 15, 2002 |
Thomas Bock |
| 34-46201 |
Jul. 15, 2002 |
William S. Killeen |
| 34-46200 |
Jul. 15, 2002 |
James A. Nies |
| 34-46199 |
Jul. 15, 2002 |
John Adams, Jr., et al. |
| 33-8111 |
Jul. 11, 2002 |
Schwendiman Partners, LLC,
Gary Schwendiman, and
Todd G. Schwendiman
Release No.: 34-46184; IA-2043 |
| IA-2042 |
Jul. 10, 2002 |
Edward F. Gobora |
| 33-8110 |
Jul. 9, 2002 |
Gerald Cohn |
| 34-46177 |
Jul. 10, 2002 |
Steven C. Veen, CPA
Release No.: AAER 1591 |
| 34-46175 |
Jul. 9, 2002 |
Glen P. Duffy, CPA
Release No.: AAER-1590 |
| 34-46174 |
Jul. 9, 2002 |
Gregory D. Norton
Release No.: AAER-1589 |
| 34-46173 |
Jul. 9, 2002 |
Raphael "Ray" Levy, |
| 34-46172 |
Jul. 9, 2002 |
Thomas F. Wraback, CPA |
| 34-46171 |
Jul. 9, 2002 |
Joseph E. Erwin |
| 34-46158 |
Jul. 2, 2002 |
David Rubinov |
| 34-46157 |
Jul. 2, 2002 |
Peter D. Stewart, C.A., John L. Harbor, C.A., and David Chopping, C.A.
Release No.: AAER-1587 |
| 34-46156 |
Jul. 2, 2002 |
Scott Schoenbauer |
| 34-46151 |
Jul. 1, 2002 |
Charles Edward Dickerson |
| 34-46150 |
Jul. 1, 2002 |
Terrance Michael O'Donohue
Release No.: IA-2041 |
| Second Quarter |
| 34-46142 |
Jun. 28, 2002 |
Andrew P. Bodnar |
| 34-46130 |
Jun. 27, 2002 |
Moret Ernst & Young Accountants, n/k/a Ernst & Young Accountants
Release No.: AAER-1584 |
| 34-46121 |
Jun. 26, 2002 |
Donna N. Morehead |
| IA-2040 |
Jun. 26, 2002 |
William F. Branston |
| 34-46118 |
Jun. 25, 2002 |
Steven Shane Nichols |
| 34-46109 |
Jun. 25, 2002 |
John Adams, Jr., et al. |
| 34-46108 |
Jun. 25, 2002 |
Benjamin C. Snyder |
| 34-46107 |
Jun. 24, 2002 |
Michael Anthony Lester |
| 34-46105 |
Jun. 24, 2002 |
The S.I.N.C.L.A.R.E. Group, Inc. |
| 33-8108 |
Jun. 24, 2002 |
Investment Technology, Inc. |
| 34-46100 |
Jun. 21, 2002 |
Timothy J. Noonan
Release No.: AAER-1580 |
| 34-46099 |
Jun. 21, 2002 |
Rite Aid Corporation
Release No.: AAER-1579 |
| IA-2038 |
Jun. 20, 2002 |
Portfolio Advisory Services, LLC, and Cedd L. Moses |
| 34-46094 |
Jun. 20, 2002 |
Peter P. Tarangelo
Release No.: IA-2037 |
| 34-46089 |
Jun. 18, 2002 |
Seth Miller |
| 34-46088 |
Jun. 18, 2002 |
Fifth Third Securities, Inc. |
| 34-46087 |
Jun. 18, 2002 |
Fifth Third Securities, Inc. |
| 34-46083 |
Jun. 17, 2002 |
James W. Spratt III |
| 34-46081 |
Jun. 17, 2002 |
Performance Analytics, Inc., and Leslie I. Golembo
Release Nos.: IA-2036; IC-25615
|
| 34-46080 |
Jun. 17, 2002 |
Jeffrey Dene Leader |
| 34-46074 |
Jun. 12, 2002 |
Sara Gomez de Ferro |
| 34-46068 |
Jun. 12, 2002 |
Douglas C. Brandon, Esq. |
| 34-46063 |
Jun. 12, 2002 |
John Adams, Jr., et al. |
| IA-2035 |
Jun. 12, 2002 |
Deprince, Race & Zollo, Inc., and John D. Race |
| 34-46052 |
Jun. 10, 2002 |
Ashford.com, Inc., Kenneth E. Kurtzman, Brian E. Bergeron andAmazon.com, Inc. |
| 34-46051 |
Jun. 10, 2002 |
Edward Neel Cox, Joseph Lee Covington, Billy Wayne Sparkman, Stephen T. Hoyle, Charles F. Johnson, Randy J. Post, Danny R. Mayfield, and Benny Armond Sides |
| 33-8105 |
Jun. 7, 2002 |
Gerald S. Papazian
Release No.: 34-46048; AAER-1572 |
| 33-8104 |
Jun. 7, 2002 |
Korea Data Systems USA, Inc., Lap Shun (John) Hui, and Bun (Ben) Wong
Release No.: 34-46047; AAER-1571 |
| 34-46039 |
Jun. 6, 2002 |
Josephthal & Co., Inc. |
| 34-46035 |
Jun. 5, 2002 |
John K. Bradley
Release No.: AAER-1568 |
| 33-8103 |
Jun. 5, 2002 |
James E. Slayton, CPA
Release No.: 34-46034, AAER-1567 |
| 34-46033 |
Jun. 5, 2002 |
James E. Slayton, CPA
Release No.: AAER-1566 |
| 34-46031 |
Jun. 5, 2002 |
Katrina Krug, CPA
Release No.: AAER-1565 |
| 34-46030 |
Jun. 5, 2002 |
Advanced Technical Products, Inc., James S. Carter, and Garrett L. Dominy
Release No.: AAER-1564 |
| 34-46017 |
Jun. 3, 2002 |
Microsoft Corporation
Release No.: AAER-1563 |
| IA-2034 |
May 30, 2002 |
Alexis A. Arlett |
| 34-45964 |
May 20, 2002 |
Ernst & Young |
| 34-45962 |
May 20, 2002 |
Legato Systems, Inc. and Stephen Wise |
| 34-45961 |
May 20, 2002 |
Kfir Barzilay, Yan Dikshteyn, Boris Fidler, Lawrence Pross, and Eugene Beigelman |
| 34-45941 |
May 16, 2002 |
Dennis M. Gaito, CPA |
| 33-8100 |
May 15, 2002 |
Bruce E. Straughn |
| 34-45940 |
May 15, 2002 |
Joseph E. Erwin |
| 34-45925 |
May 14, 2002 |
Edison Schools, Inc. |
| 34-45917 |
May 13, 2002 |
John Adams, JR., et al. |
| 34-45888 |
May 7, 2002 |
Steven S. Goldberg |
| 34-45880 |
May 6, 2002 |
Anicom, Inc. |
| 34-45878 |
May 3, 2002 |
Erich A. Kline
Release No.: IA-2033 |
| 34-45874 |
May 3, 2002 |
Gemisys Corporation |
| 34-45870 |
May 3, 2002 |
Lone Star Transfer, Inc. and Stanley P. Eisenberg |
| 34-45856 |
May 1, 2002 |
Christina Skousen |
| 34-45853 |
May 1, 2002 |
Michael A. Kolberg and Dale E. Huizenga |
| 34-45852 |
May 1, 2002 |
Serologicals Corporation, Inc. |
| 33-8096 |
Apr. 29, 2002 |
Andrew P. Bodnar |
| 34-45841 |
Apr. 29, 2002 |
John Adams, Jr., et al. |
| 34-45826 |
Apr. 26, 2002 |
Surety Capital Corporation |
| 34-45822 |
Apr. 25, 2002 |
Hightec, Inc. |
| 34-45821 |
Apr. 25, 2002 |
S.I.N.C.L.A.R.E. Group, Inc. |
| 34-45820 |
Apr. 25, 2002 |
William L. Haynes |
| 33-8094 |
Apr. 24, 2002 |
J.W. Barclay & Co., Inc., et al.
Release No.: 34-45815 |
| 34-45814 |
Apr. 24, 2002 |
Kenneth W. Haver, CPA |
| 34-45806 |
Apr. 24, 2002 |
Hugo Salvador Villa Manzo
Release No.: IA-2031 |
| 34-45802 |
Apr. 23, 2002 |
John Adams, Jr., et al. |
| 34-45797 |
Apr. 22, 2002 |
Michael R. Drogin, CPA |
| 33-8093 |
Apr. 22, 2002 |
Teltran International Group, Ltd.
Release No.: 34-45796 |
| 33-8092 |
Apr. 22, 2002 |
Investment Technology, Inc. |
| 34-45785 |
Apr. 19, 2002 |
Laurie Jones Canady |
| IA-2029 |
Apr. 18, 2002 |
James Oh |
| 34-45776 |
Apr. 18, 2002 |
H. Dalton Davlin |
| 34-45767 |
Apr. 17, 2002 |
John Adams, Jr., et al. |
| 34-45743 |
Apr. 12, 2002 |
ND Money Management, Inc., RansonCapital Corporation, Robert E. Walstad and Monte L. Avery |
| 34-45735 |
Apr. 11, 2002 |
Mark W. Lancaster |
| 33-8086 |
Apr. 11, 2002 |
Delores Easthom |
| 33-8085 |
Apr. 11, 2002 |
Wayne Miller
Release No.: 34-45738 |
| 33-8084 |
Apr. 10, 2002 |
Ronald Nelson Weems
Release No.: 34-45724 |
| 33-8083 |
Apr. 10, 2002 |
Darrell Flanders and South West Trading Diversities, Inc.
Release No.: 34-45723 |
| 34-45722 |
Apr. 10, 2002 |
Lee E. Gahr |
| 33-8082 |
Apr. 9, 2002 |
Harvey M. Burstein and James D. Loeffelbein
Release No.: 34-45716 |
| 33-8081 |
Apr. 9, 2002 |
Harvey M. Burstein and James D. Loeffelbein
Release No.: 34-45715 |
| 33-8080 |
Apr. 8, 2002 |
Roundhill Securities, Inc., Robert J. Holub, Robert S. Minka, Sunil F. De Silva and Braxton G. Grizzard
Release No.: 34-45705 |
| 33-8079 |
Apr. 8, 2002 |
FoneCash, Inc. |
| 34-45697 |
Apr. 5, 2002 |
Rajiv Vohra |
| 34-45690 |
Apr. 4, 2002 |
Joao P. Santos |
| 34-45689 |
Apr. 4, 2002 |
John Adams, Jr., Ronald Bongo, Samuel Del Presto, Sean Hart, Curtis Marchand, III, Michael McDermott, Palmer Myers, David Nelson, Daniel Petronelli, Gary Smolokoff, Malik Tawil, Lawrence Weil, and Neil White |
| 34-45683 |
Apr. 2, 2002 |
David A. Thatcher |
| IA-2026 |
Apr. 1, 2002 |
Thomas J. Kearns |
| First Quarter |
| 34-45669 |
Mar. 28, 2002 |
Edward Thomas Jung and E. Thomas Jung Partners, Ltd., also d/b/a ETJ Partners, Ltd.
Release No.: IA-2025 |
| 34-45666 |
Mar. 28, 2002 |
David T. Dodge |
| 34-45665 |
Mar. 28, 2002 |
PictureTel Corp. and Les B. Strauss |
| 34-45655 |
Mar. 27, 2002 |
Signal Technology Corporation |
| 33-8077 |
Mar. 25, 2002 |
Robert A. Papariella, Harvest Financial Corporation and Frank D. Ruscetti
Release No.: 34-45637 |
| 34-45653 |
Mar. 27, 2002 |
Kimberly-Clark Corporation and John W. Donehower |
| 34-45646 |
Mar. 26, 2002 |
Edward J. Muller |
| 33-8076 |
Mar. 26, 2002 |
Douglas E. Costa
Release No.: 34-45636 |
| 33-8075 |
Mar. 25, 2002 |
First Florida Communications, Inc.
Release No.: 34-45635 |
| IA-2023 |
Mar. 22, 2002 |
Stan D. Kiefer & Associates and Stanley D. Kiefer |
| 34-45615 |
Mar. 21, 2002 |
Uri Evan, Joseph S. Cohen, and Frederick J. Horowitz |
| 34-45614 |
Mar. 21, 2002 |
Daniel Parker |
| 34-45613 |
Mar. 21, 2002 |
Harlan Schier |
| 34-45612 |
Mar. 21, 2002 |
Frank Valdez |
| 34-45611 |
Mar. 21, 2002 |
Keith Spero |
| 34-45610 |
Mar. 21, 2002 |
Oleg Feldman |
| 33-8073 |
Mar. 21, 2002 |
Financial Asset Management, Inc., James B. Rader and Debra L. Kennedy
Release Nos.: 34-45608, IA-2022 |
| 34-45600 |
Mar. 20, 2002 |
Jeremiah J. Hegarty and Michael P. Hegarty
Release No.: IA-2020 |
| 34-45599 |
Mar. 20, 2002 |
David E. Fitzgerald |
| 34-45596 |
Mar. 20, 2002 |
Lisa M. Beuche, CPA |
| IA-2019 |
Mar. 19, 2002 |
Henry Weingarten |
| 34-45588 |
Mar. 18, 2002 |
Elaine A. Decker, CPA |
| 34-45587 |
Mar. 18, 2002 |
David Held, CPA |
| 34-45586 |
Mar. 18, 2002 |
Timothy S. Heyerdahl |
| 34-45583 |
Mar. 18, 2002 |
Frank J. Fasano and Arthur Bruce Bahlav |
| 34-45582 |
Mar. 18, 2002 |
Frank J. Fasano and Arthur Bruce Bahlav |
| 34-45565 |
Mar. 15, 2002 |
Ronald N. Pellett and Penny A. Sperry |
| 34-45564 |
Mar. 15, 2002 |
Mark E. Rice |
| 34-45555 |
Mar. 13, 2002 |
Bruce E. Straughn |
| 34-45553 |
Mar. 12, 2002 |
IGI, Inc. |
| 34-45552 |
Mar. 12, 2002 |
Donald J. MacPhee |
| 34-45551 |
Mar. 12, 2002 |
William A. Dickson and Stephen P. Collins |
| 34-45550 |
Mar. 12, 2002 |
Frederick W. Kolling, III, CPA |
| 34-45549 |
Mar. 12, 2002 |
Victor R. Grauaug |
| 33-8069 |
Mar. 8, 2002 |
Platinum Equities, Inc., Blackheath & Kent Holdings, Inc., John J. Kenny, and Pasquale Forti
Release No.: 34-45520 |
| 33-8068 |
Mar. 7, 2002 |
Facundo Ponce
Release No.: 34-45512 |
| 34-45510 |
Mar. 6, 2002 |
John W. Cruickshank, Jr. |
| 33-8067 |
Mar. 6, 2002 |
James E. Slayton, CPA
Release No.: 34-45509 |
| 34-45507 |
Mar. 5, 2002 |
Telxon Corporation, Gary L. Grand, and James G. Cleveland |
| 34-45502 |
Mar. 5, 2002 |
Kevin R. Andersen |
| 34-45498 |
Mar. 4, 2002 |
Ellsworth Wayne McLaws and Alan Clagg |
| 34-45491 |
Mar. 1, 2002 |
Robert E. Duke |
| 34-45486 |
Feb. 28, 2002 |
Christopher P. Roach and East West Institutional Services, Inc.
Release No.: IA-2016 |
| 34-45485 |
Feb. 28, 2002 |
Frank Lee Harris III |
| 34-45474 |
Feb. 25, 2002 |
David B. Gosse |
| IA-2015 |
Feb. 22, 2002 |
Eugene B. Deveney |
| 34-45465 |
Feb. 21, 2002 |
Delta Equity Services Corporation and Raymond L. Grenier, Jr. |
| 34-45473 |
Feb. 25, 2002 |
Edward Alexander |
| 34-45463 |
Feb. 20, 2002 |
Nigel A. Ramsay |
| 34-45461 |
Feb. 20, 2002 |
Mark McDermott |
| 34-45460 |
Feb. 20, 2002 |
Norwest Investment Services, Inc., now known as Wells Fargo Brokerage Services, LLC, successor by merger |
| 34-45459 |
Feb. 20, 2002 |
Russell C. Turek |
| 34-45458 |
Feb. 20, 2002 |
JDN Realty Corporation |
| 34-45455 |
Feb. 15, 2002 |
John Adams, Jr., Ronald Bongo, Samuel Del Presto, Sean Hart, Curtis Marchand, III, Michael Mcdermott, Palmer Myers, David Nelson, Daniel Petronelli, Gary Smolokoff, Malik Tawil, Lawrence Weil, and Neil White |
| 34-45446 |
Feb. 14, 2002 |
Robert Shane Jones |
| 34-45445 |
Feb. 14, 2002 |
Craig Wiginton |
| 34-45441 |
Feb. 13, 2002 |
William H. Warner and Robert J. Quigley
Release No.: AAER-1505 |
| IA-2014 |
Feb. 13, 2002 |
Craig P. Scanlon |
| 34-45409 |
Feb. 6, 2002 |
Edward Bracken and Douglas Diggins |
| 34-45408 |
Feb. 6, 2002 |
Alefheim Prodani |
| 34-45407 |
Feb. 6, 2002 |
Richard Silverman |
| 33-8062 |
Feb. 6, 2002 |
Pryor, McClendon, Counts & Co., Inc., n/k/a Pryor, Counts & Co., Inc., Raymond J. McClendon, Allen W. Counts, and Theresa A. Stanford,
Release No.: 34-45402 |
| 34-45393 |
Feb. 5, 2002 |
Critical Path, Inc. |
| 34-45381 |
Feb. 1, 2002 |
Garri Zhigun |
| 34-45380 |
Feb. 1 2002 |
Bernadette Stevens, aka Bernadette Stevens Bell |
| 34-45372 |
Jan. 31, 2002 |
Thomas A. Carrey and Frank Marsella |
| 34-45362 |
Jan. 30, 2002 |
Cyberguard Corporation, William D. Murray, Tommy D. Steele |
| IA-2012 |
Jan. 30, 2002 |
Rupay-Barrington Capital Management, Inc. |
| 34-45356 |
Jan. 29, 2002 |
Thomas A. Carey and Frank Marsella |
| IA-2011 |
Jan. 24, 2002 |
United Custodial Corporation |
| 33-8060 |
Jan. 24, 2002 |
Gregory F. Mazzeo
Release No.: 34-45329 |
| 33-8059 |
Jan. 24, 2002 |
iCapital Markets LLC
Release No.: 34-45328 |
| 33-8058 |
Jan. 24, 2002 |
Eric V. Schultz
Release Nos.: 34-45327, IC-25400 |
| 33-8057 |
Jan. 23, 2002 |
BNB Capital, Inc. and Vincent W. Beale, Sr.
Release No.: 34-45324 |
| 33-8055 |
Jan. 18, 2002 |
Raymond A. Parkins, Jr.
Release Nos.: 34-45314, IA-2010 |
| 34-45298 |
Jan. 17, 2002 |
Daniel Patrick O'Connell |
| 34-45296 |
Jan. 16, 2002 |
Jerry Lynn Ruyle |
| 34-45294 |
Jan. 16, 2002 |
Woody Keith Lowe |
| 34-45293 |
Jan. 16, 2002 |
Kurtis Keith Lowe |
| 34-45292 |
Jan. 16, 2002 |
Robert Alen Blackburn |
| 34-45287 |
Jan. 16, 2002 |
Trump Hotels & Casino Resorts, Inc. |
| 34-45280 |
Jan. 15, 2002 |
Nelson Barber, CPA |
| 34-45279 |
Jan. 15, 2002 |
BellSouth Corporation |
| 33-8054 |
Jan. 14, 2002 |
Art H. Beroff |
| 34-45272 |
Jan. 14, 2002 |
KPMG LLP
Release No.: IC-25360 |
| 34-45245 |
Jan. 7, 2002 |
James E. Slayton |
| 34-45243 |
Jan. 7, 2002 |
Carol Conway Dewees |
| 33-8053 |
Jan. 7, 2002 |
California Software Corporation
Release No.: 34-45242 |
| IC-25356 |
Jan. 4, 2002 |
Merrimac Advisors Company and Fredric J. French
Release No.: IA-2009 |
| 33-8052 |
Jan. 3, 2002 |
Financial Asset Management, Inc., James B. Rader and Debra L. Kennedy
Release Nos.: 34-45224, IA-2007 |
| IA-2006 |
Jan. 2, 2002 |
Reed E. Slatkin |
| 33-8051 |
Jan. 2, 2002 |
Thomas J. Palazzolo
Release No.: 34-45228 |
http://www.sec.gov/litigation/admin/adminarchive/adminarc2002.shtml
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