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Administrative Proceedings Archive 2003

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
34-49007 Dec. 29, 2003 Eric Stuerken
34-49006 Dec. 29, 2003 Edward Becker
34-49005 Dec. 29, 2003 Gregg Becker
IA-2207 Dec. 29, 2003 Paul Joseph Sheehan dba Paul J. Sheehan & Associates
34-48974 Dec. 23, 2003 Rocky Mountain Energy Corporation
34-48968 Dec. 22, 2003 Mark Gilbert Platt, John Wayne Ezell and Richard M. Ohlhaber
34-48962 Dec. 19, 2003 Genesco Inc.
Release No.: AAER-1930
34-48961 Dec. 19, 2003 Mary E. Crabtree
Release No.: AAER-1929
34-48951 Dec. 18, 2003

Hanover Compressor Company and William S. Goldberg,
Release No.: AAER-1927

34-48956 Dec. 18, 2003

Paul Wayne Mason (a/k/a Louis Ronnie Sarpy), Kristin Luck Emery, and Laurence Mark Anderson (a/k/a Ron Laurence)

IA-2205 Dec. 18, 2003 Alliance Capital Management, L.P.
Release No. IC-26312
(Note: See also amended Rel. No. IA-2205A)
IA-2203 Dec. 15, 2003 Wilfred Meckel and Robert T. Littell
34-48916 Dec. 12, 2003 Cornerstone Propane Partners, L.P.
34-48907 Dec. 11, 2003 Robert H. Pozner
34-48905 Dec. 11, 2003 Marco G. Fiore, Jr., Benjamin V. Salmonese, Jr., Thomas Deceglie, And David C. Lavender
34-48906 Dec. 11, 2003 Thomas D. Costello
Release No.: AAER-1921
33-8346 Dec. 11, 2003 Jon D. Hammes, Albert Gary Shilling, Allan H. Stefl, and Linda F. Stephenson
Release No.: IC-26290
(Note: See also Rel. No. 33-8346A,
Dissent of Commissioner Roel Campos)
IA-2201 Dec. 11, 2003 FT Interactive Data, f/k/a Interactive Data Corporation
Release No.: IC-26291
33-8342 Dec. 11, 2003 IMS/CPAs & Associates, Vernon T. Hall, Stanley E. Hargrave and Jerome B. Vernazza
Release Nos.: 34-48899; IA-2198
34-48901 Dec. 10, 2003 Peter F. Kuebler, CPA
Release No.: AAER-1920
34-48900 Dec. 10, 2003 John M. Youngdahl, Jr.
Release No.: IA-2199
34-48895 Dec. 9, 2003 E-Smart Technologies, Inc. F/K/A Plainview Laboratories, Inc.
34-48873 Dec. 4, 2003 Shane Ferras
34-48870 Dec. 3, 2003 Joseph F. Doody IV
Release No.: IA-2197
34-48862 Dec. 1, 2003 Valentin Fernandez, Juan Fernandez, Daniel J. Phillips, Matthew D. Stone and Haskell P. Stone
34-48856 Dec. 1, 2003 Professional Transportation Group Ltd.
33-8341 Nov. 26, 2003 Steven E. Muth, Richard J. Rouse and Bruce J. Bates
Release No. 34-48853
34-48852 Nov. 26, 2003 James Patrick Driver
34-48850 Nov. 26, 2003 Steven Wise and Vladlen "Larry" Vindman aka Larry Vindman
34-48849 Nov. 26, 2003 Schneider Securities, Inc.
34-48830 Nov. 24, 2003 George F. Fahey
Release No. IA-2196
34-48826 Nov. 24, 2003 Bruce Follick, Salvatore Tavolacci, Karl Donovan, Aaron Sandstrom, Derek Shapiro, and Donald Brooks
(Note: see corrected version)
34-48824 Nov. 24, 2003 Lawrence M. Barsi
Release No. IA-2195
IA-2194 Nov. 20, 2003 Kaufman, Bernstein, Oberman, Tivoli & Miller, LLC, and Howard M. Bernstein
IA-2193 Nov. 19, 2003 Sherman S. Smith
34-48794 Nov. 17, 2003 Thomas Gregory Cook
34-48793 Nov. 17, 2003 James H. Malbaff
34-48792 Nov. 17, 2003 Lytle E. Foglesong
34-48790 Nov. 17, 2003 David P. Melillo
33-8339 Nov. 17, 2003 Morgan Stanley DW Inc.
34-48783 Nov. 13, 2003 Axeda Systems Inc., Jason C. Liu and Stewart C. Adams
Release No.: AAER-1913
33-8338 Nov. 13, 2003 Gateway, Inc.
Release No.: AAER-1911
33-8337 Nov. 14, 2003 Marion Sherrill
Release No.: 34-48777
33-8336 Nov. 14, 2003 William Slone
Release No.: 34-48776
IA-2192 Nov. 13, 2003 Putnam Investment Management LLC
Release No.: IC-26255
34-48770 Nov. 12, 2003 Rita J. McConville and Kevin M. Harris
Release No.: AAER-1910
34-48753 Nov. 6, 2003 Wendell D. Belden
Release No.: IA-2191
34-48748 Nov. 5, 2003 Kirkpatrick, Pettis, Smith, Polian Inc., Peter N. Lahti and Gregory D. Adams
IA-2190 Nov. 5, 2003 Remmington Advisors, Inc., and Kenneth Randall Ward
34-48747 Nov. 4, 2003 Larry R. Crowder and John R. Powell
34-48741 Nov. 3, 2003 B. Roland Frasier, III
34-48739 Nov. 3, 2003 Andrew Doney
34-48732 Oct. 31, 2003 Michael A. Sylver
34-48725 Oct. 31, 2003 Jack Benjamin Grubman
Release No.: IA-2189
34-48724 Oct. 31, 2003 Henry M. Blodget
Release No.: IA-2188
34-48718 Oct. 30, 2003 Brut, LLC
34-48715 Oct. 29, 2003 Paul A. Barrios III And Dennis P. O'Connell, Jr.
IA-2186 Oct. 29, 2003 Lisa A. Thiesfield
IA-2185 Oct. 28, 2003 Putnam Investment Management LLC
Release No.: IC-26232
34-48705 Oct. 27, 2003 Steven Hanna, Angelo John Bosco, Thomas Fede, Scott Follett, Paul Karkenny, Robert Palumbo, Stephen Palumbo, Raymond Saulon, Brian Scanlon and Joseph Tuozzo
34-48704 Oct. 27, 2003 The Children's Beverage Group, Inc.
34-48703 Oct. 27, 2003 William A. Wilkerson and The Phoenix Group of Florida, Inc.
33-8311 Oct. 23, 2003 Energy & Engine Technology Corporation and ProActive Computer Services, Inc.
33-8310 Oct. 23, 2003 First Capital International, Inc., Alexander Genin and Edwin M. Koziol
33-8309 Oct. 23, 2003 Research Capital, LLC, Carl L. Smith, III, Richard Craig Hall, IR Specialists, Inc. and Wayne H. Jenkins
33-8308 Oct. 23, 2003 Lorsin, Inc., Loretta M. Lockhart, Craig K. Hjalmarson, Russell Management, Inc., George R. Siembida, Harold Engel, Jr., MicroCap Marketing, Inc., and Shane M. Nelson
33-8307 Oct. 23, 2003 OTC Live, Inc. and Mark A. Suleymanov
33-8306 Oct. 23, 2003 EquityAlert.com, Inc., Innotech Corporation, Bhupinder S. Mann, Harmel S. Rayat, T&G2, Inc. and Virilitec Industries, Inc.
33-8305 Oct. 23, 2003 SmallCap Solutions, Inc., Complete Financial and Operations, LLC, Tyler T. Fleming, Research Investment Group, Inc., and Scott H. Wilding
34-48682 Oct. 22, 2003 Victor Herman, CPA
Release No.: AAER-1906
34-48679 Oct. 22, 2003 Anne H. Long, CPA
Release No.: AAER-1905
34-48661 Oct. 20, 2003 Louis B. Lloyd
34-48655 Oct. 17, 2003 William G. Stayduhar, CPA
Release No.: AAER-1900
34-48654 Oct. 17, 2003 Peter C. Ferraro
Release No.: AAER-1899
34-48645 Oct. 16, 2003 Stephen A. White
Release No.: IA-2184
33-8304 Oct. 16, 2003 James Patrick Connelly Jr.
Release Nos.: 34-48643, IA-2183, IC-26209
34-48642 Oct. 16, 2003 Charles G. Dyer
Release No.: IA-2182
34-48638 Oct. 16, 2003 Arabian American Development Company and Hatem El-Khalidi
Release No.: AAER-1898
34-48635 Oct. 15, 2003 Mid-Ohio Securities Corp.
34-48633 Oct. 15, 2003 James Mulhearn
34-48629 Oct. 15, 2003 VantageMed Corporation
Release No.: AAER-1897
34-48628 Oct. 15, 2003 Joseph C. Kane, Jr.
34-48608 Oct. 9, 2003 NCI Building Systems, Inc.
Release No.: AAER-1892
33-8302 Oct. 8, 2003 J.P. Morgan Securities, Inc.
Release No.: 34-48602
33-8301 Oct. 8, 2003 J.P. Morgan Securities, Inc.
33-8300 Oct. 6, 2003 Jeffrey J. Schneider, CPA
Release Nos. 34-48594, AAER-1889
34-48593 Oct. 6, 2003 Adrian Balboa
33-8299 Oct. 2, 2003 Rubin Investment Group, Inc., et al.
Release No.: 34-48589
33-8298 Oct. 2, 2003 Steven B. Markovitz
Release Nos.: 34-48588, IA-2180, IC-26201
34-48580 Oct. 1, 2003 Laurence M. Simon, CPA
Release No.: AAER-1885
34-48578 Oct. 1, 2003 Richard Fiedelman, CPA
Release No.: AAER-1884
Third Quarter
33-8296 Sep. 30, 2003 Timothy McCool
Release Nos.: 34-48575, AAER-1882
34-48574 Sep. 30, 2003 Rodney L. Hinkle
34-48572 Sep. 30, 2003 Larry R. Crowder and John R. Powell
34-48427A Sep. 30, 2003 Scott Alexander Gryskiewicz
34-48571 Sep. 30, 2003 Scott Miller
Release No.: AAER-1881
34-48570 Sep. 30, 2003 Adam S. Richards
Release No.: AAER-1880
IA-2178 Sep. 30, 2003 Matthew P. Brady
34-48567 Sep. 30, 2003 Shane Ferras
34-48566 Sep. 30, 2003 The Chicago Stock Exchange
34-48562 Sep. 29, 2003 Nicole M. Shkedi
34-48561 Sep. 29, 2003 Brian P. Delaney
33-8295 Sep. 29, 2003 Loren D. Pfau
Release Nos.: 34-48559, AAER-1879
IA-2177 Sep. 26, 2003 Remmington Advisors, Inc. and Kenneth Randall Ward
33-8293 Sep. 26, 2003 Warren J. Soloski
Release No.: 34-48551
34-48549 Sep. 26, 2003 Analytical Surveys, Inc.
Release No.: AAER-1875
33-8292 Sep. 25, 2003 Howard S. Singer
Release No.: 34-48548
34-48546 Sep. 25, 2003 Akorn, Inc.
Release No.: AAER-1873
34-48544 Sep. 25, 2003 Scott Simon Fraser
34-48543 Sep. 25, 2003 Thomas C. Trauger and Michael Mullen
Release No.: AAER-1872
34-48542 Sep. 25, 2003 Oliver Flanagan
Release No.: AAER-1871
34-48537 Sep. 25, 2003 Stephen Scott Lowber, CPA
Release No.: AAER-1870
34-48536 Sep. 24, 2003 Christine B. Hoberg
Release No.: AAER-1869
34-48535 Sep. 24, 2003 Charles Bayne a/k/a Charles Taylor
34-48523 Sep. 23, 2003 Cyrus Industries, Inc.
34-48517 Sep. 22, 2003 Jeffrey Carl Wigginton
Release No.: IA-2175
34-48516 Sep. 22, 2003 David Isaac Lapin
Release No.: IA-2174
33-8291 Sep. 22, 2003 Brian Wiegand
Release No.: 34-48513; AAER-1866
33-8290 Sep. 22, 2003 David Slayton
Release No.: 34-48512; AAER-1865
34-48499 Sep. 17, 2003 John DelPrince
33-8289 Sep. 17, 2003 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 No.: 34-48497
IA-2173 Sep. 17, 2003 Louis W. Ratfield
33-8288 Sep. 16, 2003 Theodore Charles Sihpol III
Release No.: 34-48493, IA-2172, IC-26179
34-48492 Sep. 16, 2003 Jeffrey A. Conway, CPA
Release No.: AAER-1863
IA-2171 Sep. 15, 2003 Michael Batterman and Randall B.
Batterman III
34-48489 Sep. 12, 2003 Paul A. Gianamore
Release No.: IA-2170
34-48487 Sep. 12, 2003 Thomas J. Connolly
34-48485 Sep. 11, 2003 Stephen D. Price
Release No.: AAER-1861
34-48483 Sep. 11, 2003 Robert F. Fox, Karim M. Lamarti, Charles S. Pipia, Charles J. Principato, Jr., James A. Sammartano, Mark Sanfilippo, Angelo M. Scifo, Jr., Shawn J. Smith, J. Vincent Tarantino, Clyde Anthony Williams
34-48480 Sep. 11, 2003 Nvidia Corporation
Release No.: AAER-1859
33-8286 Sep. 11, 2003 Salvatore Piazza et al.
Release Nos.: 34-48479
34-48477 Sep. 11, 2003 American International Group, Inc.
Release No.: AAER-1857
34-48476 Sep. 11, 2003 Louis Lucullo
Release No.: AAER-1856
34-48475 Sep. 11, 2003 Phillip Bounsall
Release No.: AAER-1855
33-8284 Sep. 11, 2003 Brightpoint, Inc.
Release Nos.: 34-48474, AAER-1854
34-48467 Sep. 10, 2003 Xaibe, Inc. and Lowell Nicholas
34-48461 Sep. 9, 2003 Schering-Plough Corporation and Richard J. Kogan
33-8283 Sep. 8, 2003 Charles C. Campbell
Release No.: 34-48458
33-8282 Sep. 8, 2003 Hunter Adams, Jason A. Cohen, Steven M. Cohen, David Hirsch, Jonathan D. Winston, John J. Gremmo, III, James L. Bila, Christian W. Blake, Louis R. Facchini, Jr., Roberto A. Mangiarano, Joseph P. Mannino, David M. Margules, James J. Pellizzi, David M. Pesso, Michael Pugliese, Christopher J. Russo, Howard I. Weinstein, and Robert J. Winston
Release No.: 34-48457
34-48455 Sep. 8, 2003 Darius L. Lee
Release No.: IA-2169
33-8281 Sep. 5, 2003 Steven Wise and Larry Vindman
Release No.: 34-48451
33-8280 Sep. 4, 2003 Freedom Financial, Inc., Freedom Track, Inc., Freedom Financial Group, Inc., Associated Investment Management, Inc., Jon Patrick Pierce, and Gary L. Winn
Release Nos.: 34-48446, IA-2168
34-48445 Sep. 4, 2003 Raymond C. Mohr
Release No.: IA-2167
34-48441 Sep. 4, 2003 Malik Firoze
34-48440 Sep. 4, 2003 William L. Franklin
IA-2165 Sep. 4, 2003 Massachusetts Financial Services Company
34-48439 Sep. 4, 2003 William H. Goren
Release No.: IA-2166
34-48436 Sep. 4, 2003 Goldman, Sachs & Co.
34-48432 Sep. 3, 2003 Rajan Moondra
34-48427 Sep. 2, 2003 Scott Alexander Gryskiewicz
34-48419 Aug. 29, 2003 Gregory P. Waldon
34-48418 Aug. 29, 2003 Robert I. Spruill
34-48415 Aug. 27, 2003 Larry T. Osaki and Van Y. Ichinotsubo
33-8275 Aug. 25, 2003 Mark Gilbert Platt, John Wayne Ezell, and Richard M. Ohlhaber
Release No.: 34-48408
34-48404 Aug. 25, 2003 Matthew J. Benedetto
34-48403 Aug. 25, 2003 Global Telemedia International, Inc.
33-8272 Aug. 22, 2003 John F. Smart
34-48381 Aug. 20, 2003 James Hicks
33-8270 Aug. 20, 2003 Michael B. Rawdin, Hard Asset Management, Inc. and David Cohen
Release No.: 34-48380
34-48377 Aug. 20, 2003 Robert F. Broege, Jr.
34-48376 Aug. 20, 2003 Steven B. Rodd
34-48375 Aug. 20, 2003 Ihor A. "Gary" Humesky
34-48371 Aug. 20, 2003 UBS PaineWebber, Inc.
34-48370 Aug. 20, 2003 Castle Securities Corp. and Michael T. Studer
34-48369 Aug. 20, 2003 Investco, Inc.
34-48364 Aug. 19, 2003 Eknowledge Group, Inc. and Gary S. Saunders
34-48362 Aug. 19, 2003 RGW Acquisition Corporation I, RGW Acquisition Corporation II, RGW Acquisition Corporation III, RGW Acquisition Corporation IV, RGW Acquisition Corporation V, RGW Acquisition Corporation VI, RGW Acquisition Corporation VII, RGW Acquisition Corporation VIII, RGW Acquisition Corporation IX, RGW Acquisition Corporation X
IA-2160 Aug. 19, 2003 Deutsche Asset Management, Inc.
34-48224A Aug. 18, 2003 John J. Canepa, CPA
Release No.: AAER-1819A
34-48359 Aug. 18, 2003 Xaibe, Inc., Lowell Nicholas
IA-2159 Aug. 18, 2003 Louis W. Ratfield
33-8266 Aug. 15, 2003 Brian R. Cassidy
Release Nos.: 34-48354, IA-2158, IC-26150
34-48350 Aug. 15, 2003 John DelPrince
34-48349 Aug. 14, 2003 Jeffrey D. Chandler
34-48348 Aug. 14, 2003 Cyrus Industries, Inc.
34-48346 Aug. 14, 2003 Randall Jordan
34-48341 Aug. 14, 2003 Gary L. Atnip C.P.A.
Release No.: AAER-1843
34-48338 Aug. 14, 2003 Andover Brokerage, LLC, Michael Picozzi, III, Elias Schechter, and David Daily
34-48337 Aug. 14, 2003 Peter Bromberg, C.P.A.
Release No.: AAER-1842
34-48336 Aug. 14, 2003 Lehman Brothers, Inc.
34-48335 Aug. 14, 2003 SG Cowen Securities Corporation
34-48331 Aug. 13, 2003 Kevin Kirkpatrick
34-48330 Aug. 13, 2003 Steven L. Hunt, Esq.
Release No.: AAER-1840
34-48329 Aug. 13, 2003 Wendell D. Belden
Release No.: IA-2157
34-48328 Aug. 13, 2003 Richard P. Scalzo, C.P.A.
Release No.: AAER-1839
34-48326 Aug. 12, 2003 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-1838
34-48325 Aug. 12, 2003 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-1837
34-48311 Aug. 8, 2003 Warren Martin, CPA
Release No.: AAER-1835
34-48302 Aug. 8, 2003 Darius L. Lee
Release No.: IA-2156
34-48300 Aug. 7, 2003 Edward A. Durante
34-48296 Aug. 7, 2003 Cutter & Buck Inc.
Release No.: AAER-1832
IA-2155 Aug. 6, 2003 Ryan J. Fontaine
34-48288 Aug. 5, 2003 Richard P. Callipari and Thomas J. Connolly
34-48282 Aug. 5, 2003 SRI/Surgical Express, Inc., Wayne R. Peterson, and James T. Boosales
Release No.: AAER-1829
34-48270 Aug. 1, 2003 Stephen H. Thomas
34-48269 Aug. 1, 2003 Robert Douglas Williams
34-48268 Aug. 1, 2003 Tiji Thomas
34-48261 Jul. 31, 2003 Dwarka P. Rathi and Charles H. Pennington
34-48260 Jul. 31, 2003 Rajan Moondra
33-8261 Jul. 31, 2003 Nevis Capital Management, LLC, David R. Wilmerding, III and Jon C. Baker
Release No. 34-48262, IA-2154, IC-26144
33-8260 Jul. 31, 2003 The Massachusetts Turnpike Authority and James J. Kerasitotes
IA-2153 Jul. 30, 2003 John McStay Investment Counsel L.P.
34-48257 Jul. 30, 2003 David S. Pearl, Esq.
Release No. AAER-1827
34-48248 Jul. 29, 2003 Jay P. Gilbertson, C.P.A.
Release No. AAER-1825
33-8259 Jul. 29, 2003 Philip L. Pascale, C.P.A.
Release Nos. 34-48247, AAER-1824
34-48230 Jul. 28, 2003 Citigroup, Inc.
Release No. AAER-1821
34-48224 Jul. 24, 2003 John J. Canepa, CPA
Release No. AAER-1819
34-48214 Jul. 23, 2003 RSA Security, Inc.
34-48213 Jul. 23, 2003 Keith G. Greenberg
34-48199 Jul. 21, 2003 Spear, Leeds & Kellogg, L.P.
34-48189 Jul. 17, 2003 Liberty National Securities, Inc., Robert J. Guyer, and Sonia Howe Radencovici
34-48192 Jul. 17, 2003 Arsin Corporation and Danis Yadegar-Mooshiabadi
Release No.: AAER-1815
34-48188 Jul. 17, 2003 Ascend Capital, LLC, Malcolm P. Fairbairn and Emily Wang Fairbairn
Release No.: IA-2150
33-8253 Jul. 16, 2003 Arthur Ritchie
Release No.: 34-48186
IA-2149 Jul. 16, 2003 Jeffrey L. Goldberg
IA-2148 Jul. 16, 2003 Timothy B. Gamwell
34-48184 Jul. 16, 2003 Children's Beverage Group, Inc.
34-48183 Jul. 16, 2003 RGW Acquisition Corporations I through X
34-48182 Jul. 16, 2003 Xaibe, Inc. and Lowell Nicholas
Release No.: AAER-1814
34-48181 Jul. 16, 2003 Global Telemedia International, Inc.
33-8252 Jul. 15, 2003 IFG Network Securities, Inc., William I. Kissinger, Kissinger Advisory, Inc., David Ledbetter, Bert E. Miller, and Glenn F. Wilkinson
Release No. 34-48178, IA-2147
See also: Order Amending, Release No. 34-50008
33-8250 Jul. 14, 2003 Americorp Securities, Inc. and Drew Edgar Schaefer
Release No.: 34-48171
IA-2145 Jul. 14, 2003 Justin S. Mazzon d/b/a/
American Blue Chip Investment Management
34-48170 Jul. 14, 2003 Carnegie International Corporation
34-48168 Jul. 11, 2003 Daniel M. Coyle
33-8248 Jul. 10, 2003 Robert Ostrowski and Rees Harris
Release No. 34-48150
34-48149 Jul. 10, 2003 Prudential Securities Incorporated
33-8247 Jul. 10, 2003 Prudential Securities Incorporated
34-48147 Jul. 9, 2003 Thomas J. Donahue
34-48139 Jul. 8, 2003 Robert B. Kessler
34-48134 Jul. 7, 2003 Barry D. Romeril and Gregory B. Tayler
Release No.: AAER-1812
IA-2142 Jul. 3, 2003 Peter W. Chabot
34-48114 Jul. 1, 2003 Roger M. Detrano
34-48109 Jul. 1, 2003 Liberty National Securities, Inc., Robert J. Guyer, and Sonia Howe Radencovici
Second Quarter
33-8246 Jun. 26, 2003 Pryor, McClendon, Counts & Co., Inc.; Raymond J. McClendon; Allen W. Counts; and Theresa A. Stanford
Release No.: 34-48096
34-48095 Jun. 26, 2003 Pryor, McClendon, Counts & Co., Inc., Raymond J. McClendon, Allen W. Counts, and Theresa A. Stanford
33-8245 Jun. 26, 2003 Pryor, McClendon, Counts & Co., Inc.; Raymond J. McClendon; Allen W. Counts; and Theresa A. Stanford
Release No.: 34-48094
34-48090 Jun. 26, 2003 Michael T. Mulligan
Release No.: IA-2140
IA-2139 Jun. 26, 2003 Anthony W. Blissett
34-48085 Jun. 25, 2003 Robert C. Cloyd
IA-2138 Jun. 25, 2003 Oxford Capital Management, Inc. and John G. Danz, Jr.
34-48082 Jun. 24, 2003 Iosif Pak, a/k/a Joseph Pak, and Roman Sakharovich, a/k/a Roman Sakh
34-48077 Jun. 24, 2003 Michael J. Wright
34-48071 Jun. 20, 2003 Lloyd Benton Sharp
34-48069 Jun. 20, 2003 Paul E. Brodhagen
33-8242 Jun. 18, 2003 Mark Gilbert Platt, John Wayne Ezell and Richard M. Ohlhaber
Release No.: 34-48054
34-48051 Jun. 17, 2003 Jason Hunkler
34-48048 Jun. 17, 2003 Vivian Emily Hagen
34-48050 Jun. 17, 2003 Lillian M. Vinci
34-48049 Jun. 17, 2003 Ann Marie Noel
34-47999 Jun. 6, 2003 Bloomberg L.P.
34-47997 Jun. 6, 2003 Debra D. Valice
Release No.: AAER-1798
34-47994 Jun. 6, 2003 Main Street AC, Inc. and Chester Billingsley
Release No.: IC-26069
34-47989 Jun. 5, 2003 Jon Geibel
34-47988 Jun. 5, 2003 Peter L. Cohen
34-47987 Jun. 5, 2003 Seth J. Glaser
34-47981 Jun. 4, 2003 Kenneth Wilchfort, CPA
Release No.: AAER-1795
34-47979 Jun. 4, 2003 Marc Rabinowitz, CPA
Release No.: AAER-1794
33-8237 Jun. 4, 2003 IntellectExchange.com, Inc.
34-47976 Jun. 4, 2003 Edward Gurin
34-47973 Jun. 4, 2003 Douglas Faneuil
Release No.: IA-2135
34-47968 Jun. 3, 2003 Matthew J. Benedetto
34-47967 Jun. 3, 2003 Monty R. Myler
34-47966 Jun. 3, 2003 Dunyasha M. Yetts
34-47963 Jun. 2, 2003 Gregory L. Fears
Release No.: IA-2134
34-47962 Jun. 2, 2003 Kenneth P. Kasarjian
34-47952 May 30, 2003 Dean J. Jupiter
34-47947 May 30, 2003 Umesh Malhotra
Release No.: AAER-1790
IA-2133A May 29, 2003 Yehuda Shiv
IA-2133 May 29, 2003 Yehuda Shiv
34-47934 May 28, 2003 Keith G. Greenberg
34-47931 May 27, 2003 R. Christopher Hanna
34-47920 May 23, 2003 Benefit Concepts Group, Inc. and James D. Cannon
Release No.: IA-2132
34-47915 May 23, 2003 Liberty National Securities, Inc., Robert J. Guyer, and Sonia Howe Radencovici
34-47908 May 22, 2003 Jerome E. Rosen
34-47907 May 22, 2003 David R. Behanna, CPA
Release No.: AAER-1789
34-47901 May 22, 2003 Philip G. Hirsch, CPA
Release No.: AAER-1788
34-47900 May 22, 2003 PricewaterhouseCoopers LLP
Release No.: AAER-1787
34-47894 May 21, 2003 Minuteman International, Inc., Gregory J. Rau, Thomas J. Nolan, and David L. Markison
Release No.: AAER-1786
IA-2131 May 20, 2003 David M. Mobley, Sr.
34-47887 May 19, 2003 Gordon K. Allen, Jr.
34-47886 May 19, 2003 Chad L. Connor
Release No.: IA-2130
IA-2129 May 15, 2003 Jamison, Eaton & Wood, Inc.
33-8235 May 15, 2003 Paul Tetu
34-47861 May 14, 2003 Zimmerman Sign Company
34-47860 May 14, 2003 Zimmerman Sign Company and Jeffrey P. Johnson, CPA
Release Nos.: AAER-1782
34-47855 May 14, 2003 Gary Guirand
34-47854 May 14, 2003 Torin Greenspan
34-47853 May 14, 2003 Joseph Romeo
34-47852 May 14, 2003 Todd Peterson
34-47851 May 14, 2003 Anthony Lopresti
34-47850 May 14, 2003 Patrick Boyce
34-47848 May 14, 2003 Vadim "Steven" Shapiro
34-47846 May 14, 2003 Justin Marvul
34-47845 May 14, 2003 James "Gennedy" Gaberkorn
34-47844 May 14, 2003 Michael Danilovich
34-47835 May 12, 2003 Karyn Miller
34-47834 May 12, 2003 Donald E. Rhoades
34-47833 May 12, 2003 Frederick J. Shapiro
34-47832 May 12, 2003 Kip Marsique
34-47831 May 12, 2003 Jean B. Leclercq
33-8233 May 12, 2003 Jeffrey R. Patterson and Terrance Turman
Release Nos.: 34-47829, IA-2127
33-8232 May 12, 2003 Reliant Resources, Inc. and Reliant Energy, Inc.
Release Nos.: 34-47828, AAER-1780
33-8231 May 12, 2003 Jeffrey R. Patterson and Terrance Turman
Release Nos.: 34-47827, IA-2126
34-47808 May 7, 2003 Nesco, Inc.
Release No.: AAER-1775
34-47807 May 7, 2003 Stansbury Holdings Corporation
34-47804 May 6, 2003 Michael R. Drogin, CPA
Release No.: AAER-1774
34-47803 May 6, 2003 Andrx Corporation and Scott Lodin
Release No.: AAER-1773
34-47802 May 6, 2003 Timothy E. Nolan
Release No.: AAER-1772
34-47797 May 5, 2003 Robin Breitner, John Dibella, Raymond Hernandez, Richard Molinsky, Richard Smith, and Richard Gaydos
34-47790 May 2, 2003 Iosif Pak, a/k/a Joseph Pak, and Roman Sakharovich, a/k/a Roman Sakh
34-47789 May 2, 2003 Aron O. Bronstein
34-47788 May 2, 2003 Tomer M. Yuzary
34-47777 May 1, 2003 David Edwards, James Edwards, Kevin Lynds, and Gerald J. Stock
34-47776 Apr. 30, 2003 Jeffrey M. Goldberg
33-8228 Apr. 30, 2003 Candie's, Inc.
Release No.: 34-47772, AAER-1770
33-8227 Apr. 30, 2003 David M. Golden
Release No.: 34-47771, AAER-1769
33-8226 Apr. 30, 2003 Maryann Brown
Release Nos.: 34-47770, AAER-1768
34-47769 Apr. 30, 2003 Neil R. Cole
Release No.: AAER-1767
34-47751 Apr. 29, 2003 Baron Capital, Inc., Ronald S. Baron, David Schneider, and Susan Blenke
34-47747 Apr. 25, 2003 Richard I. Balber
34-47744 Apr. 25, 2003 Alfredo Susi
34-47736 Apr. 25, 2003 Kevin M. Devoto
34-47732 Apr. 24, 2003 Michael Marchese
Release No.: AAER-1764
34-47731 Apr. 24, 2003 David Decker, CPA and Theodore Fricke, CPA
Release No.: AAER-1762
34-47727 Apr. 23, 2003 MaxWorldwide, Inc., f.k.a. L90, Inc.
Release No.: AAER-1760
34-47716 Apr. 22, 2003 Hexagon Consolidated Companies of America, Inc.
34-47700 Apr. 18, 2003 Martin W. Smith and World Securities, Inc.
Release No.: IA-2124
34-47699 Apr. 18, 2003 Gregory L. Fears
Release No.: IA-2123
34-47682 Apr. 15, 2003 David Edwards, James Edwards, Kevin Lynds, and Gerald J. Stock
34-47674 Apr. 14, 2003 Liberty National Securities, Inc., Robert J. Guyer, and Sonia Howe Radencovici
34-47666 Apr. 11, 2003 Douglas W. Powell, Charles D. Elliott, III, and Russell S. Tarbett
Release Nos.: IA-2122, IC-26004
34-47665 Apr. 11, 2003 Anita Mills-Barry
34-47656 Apr. 10, 2003 William E. Kraemer
34-47655 Apr. 10, 2003 John Abresch
34-47641 Apr. 7, 2003 Harrison Securities, Inc., Frederick C. Blumer and Nebrissa Song
Release No.: AAER-1754
34-47640 Apr. 7, 2003 Daniel L. Springate
34-47636 Apr. 7, 2003 Freedom Golf Corporation
34-47633 Apr. 4, 2003 Christopher F. Crawford, CPA
Release No.: AAER 1751
34-47632 Apr. 3, 2003 Laurie Jones Canady
34-47625 Apr. 3, 2003 Eduardo Villar
33-8219 Apr. 2, 2003 Harvey M. Burstein and James D. Loeffelbein
Release No.: 34-47620
34-47619 Apr. 2, 2003 Robert C. Ingardia
33-8218 Apr. 1, 2003 J.W. Barclay & Co., Inc., John A. Bruno, Michael J. Wills, Edgar B. Alacan, Emmanuel P. Cube, Mayer Dallal, Danoo Noor, Sr., Emanuele A. Scarso, and Michael B. Scott
Release No.: 34-47611
33-8218 Apr. 1, 2003 J.W. Barclay & Co., Inc., John A. Bruno, Michael J. Wills, Edgar B. Alacan, Emmanuel P. Cube, Mayer Dallal, Danoo Noor, Sr., Emanuele A. Scarso, and Michael B. Scott
Release No.: 34-47611
First Quarter
34-47601 Mar. 31, 2003 Niko G. Efstathiou
34-47597 Mar. 28, 2003 J.P. 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-1746
34-47589 Mar. 28, 2003 Robert L. Bentley
Release No.: IA-2120
34-47585 Mar. 27, 2003 First Fidelity Securities
33-8215 Mar. 27, 2003 J.W. Barclay & Co., Inc., John A. Bruno, Michael J. Wills, Edgar B. Alcan, Emmanuel P. Cube, Mayer Dallal, Danoo Noor, Sr., Emanuele A. Scarso, Michael B. Scott
Release No.: 34-47581
34-47580 Mar. 27, 2003 Timothy J. Pinchin
34-47579 Mar. 27, 2003 Daniel C. Sanders
34-47574 Mar. 26, 2003 James Reuben Burton, Jr.
Release No.: IA-2118
33-8211 Mar. 20, 2003 J.W. Barclay & Co., Inc., John A. Bruno, Michael J. Wills, Edgar B. Alacan, Emmanuel P. Cube, Mayer Dallal, Danoo Noor, Sr., Emanuele A. Scarso, and Michael B. Scott
34-47528 Mar. 18, 2003 Household International, Inc.
34-47524 Mar. 18, 2003 BGI Inc.
34-47520 Mar. 18, 2003 Sharad Kapoor
34-47519 Mar. 18, 2003 Discovery Capital Group, Inc. and Erik Walsh
34-47518 Mar. 18, 2003 John Abresch
33-8209 Mar. 18, 2003 Jason T. Frazee
Release No. 34-47522
33-8208 Mar. 18, 2003 Leonard Sheehan
Release No. 34-47521
34-47512 Mar. 17, 2003 Nano World Projects Corporation
33-8204 Mar. 17, 2003 Michael Earl Hill
Release No. 34-47509
34-47495 Mar. 13, 2003 Nicholas J. Julian, Jr.
33-8203 Mar. 13, 2003 J.W. Barclay & Co., Inc., John A. Bruno, Michael J. Wills, Edgar B. Alacan, Emmanuel P. Cube, Mayer Dallal, Danoo Noor, Sr., Emanuele A. Scarso, and Michael B. Scott
Release No. 34-47506
33-8202 Mar. 13, 2003 J.W. Barclay & Co., Inc., John A. Bruno, Michael J. Wills, Edgar B. Alacan, Emmanuel P. Cube, Mayer Dallal, Danoo Noor, Sr., Emanuele A. Scarso, and Michael B. Scott
Release No. 34-47498
33-8201 Mar. 13, 2003 J.W. Barclay & Co., Inc., John A. Bruno, Michael J. Wills, Edgar B. Alacan, Emmanuel P. Cube, Mayer Dallal, Danoo Noor, Sr., Emanuele A. Scarso, and Michael B. Scott
Release No. 34-47497
33-8200 Mar. 13, 2003 J.W. Barclay & Co., Inc., John A. Bruno, Michael J. Wills, Edgar B. Alacan, Emmanuel P. Cube, Mayer Dallal, Danoo Noor, Sr., Emanuele A. Scarso, and Michael B. Scott
Release No. 34-47496
34-47490 Mar. 12, 2003 Pattinson Hayton
Release No.: AAER-1740
34-47487 Mar. 12, 2003 Peter Matus
34-47486 Mar. 12, 2003 Peter Meyer Kolben
34-47475 Mar. 10, 2003 Hexagon Consolidated Companies of America, Inc.
34-47474 Mar. 7, 2003 Barbara L. Berry, CPA
34-47473 Mar. 7, 2003 W. Dale McGhie, CPA
34-47462 Mar. 7, 2003 Andrew L. Pope
34-47454 Mar. 6, 2003 Acrodyne Communications, Inc.
34-47442 Mar. 4, 2003 Lernout & Hauspie Speech Products, N.V.
34-47440 Mar. 4, 2003 Kerry Kirby
34-47439 Mar. 4, 2003 Truserv Corporation
34-47438 Mar. 4, 2003 W.J. Nolan & Co., Inc.
33-8199 Mar. 4, 2003 Judy M. Rupay and Dixon R. Holman
Release No. IA-2113
33-8198 Feb. 28, 2003 Jason LeDay
Release No. 34-47426
34-47427 Feb. 28, 2003 Jeffrey M. Kalina, CPA
34-47416 Feb. 27, 2003 J.P. 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 1724
33-8197 Feb. 27, 2003 A.S. Goldmen 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. 34-47411
IA-2112 Feb. 26, 2003 Stevin R. Hoover and Hoover Capital Management, Inc.
33-8196 Feb. 26, 2003 Glen Andrew Folck
Release No. 34-47404; AAER 1721
34-47405 Feb. 26, 2003 Enterasys Networks, Inc. and Aprisma Management Technologies, Inc.
Release No. AAER 1722
34-47403 Feb. 25, 2003 Kyle G. Kennedy
34-47401 Feb. 25, 2003 Eduardo Villar
34-47399 Feb. 25, 2003 Eric Pereman
34-47398 Feb. 25, 2003 Igor Fleyshmakher a/k/a Isaac Flash a/k/a Isaac Marks
33-8195 Feb. 21, 2003 Mathew A. Matz
33-8194 Feb. 21, 2003 Robert E. Glazewski
34-47362 Feb. 13, 2003 First Fidelity Securities Group
33-8192 Feb. 13, 2003 Gas & Oil Technologies, Inc. and Ingrid Aliet-Gass
Release No.: AAER-1717
33-8191 Feb. 13, 2003 Glen Morinaka, CPA
Release No.: AAER-1716
34-47343 Feb. 11, 2003 Raylen Parra
34-47341 Feb. 10, 2003 Harry P. Adler
34-47340 Feb. 10, 2003 Richard C. Tyrer
34-47339 Feb. 10, 2003 Donald F. Marcus
34-47334 Feb. 10, 2003 William E. Kraemer
IA-2108 Feb. 6, 2002 Paul J. House and Brandon R. Moore
34-47329 Feb. 6, 2003 Albert Terranova
34-47327 Feb. 6, 2003 Aaron Elbogen
34-47326 Feb. 6, 2003 Heartland Securities Corporation
34-47325 Feb. 6, 2003 Michael McCarty
34-47324 Feb. 6, 2003 Moishe Zelcer
34-47323 Feb. 6, 2003 Jeffrey A. Citron
34-47322 Feb. 6, 2003 Erik Maschler
34-47321 Feb. 6, 2003 Sheldon Maschler
34-47313 Feb. 5, 2003 Peter C. Lybrand
33-8189 Feb. 3, 2003 John L. Milling, Esq.
34-47303 Jan. 31, 2003 Bryan R. Brush
34-47299 Jan. 31, 2003 Arjun Sekhri
Release No. IA-2105
34-47292 Jan. 31, 2003 Continental Stock Transfer and Trust Company, and Michael Nelson
34-47291 Jan. 31, 2003 Ives Health Company, Inc.
34-47286 Jan. 30, 2003 American Rice, Inc., Joseph A. Schwartz, Jr., Joel R. Malebranche and Allen W. Sturdivant
Release No. AAER 1710
33-8187 Jan. 29, 2003 Stanslav Kaminsky
Release No. 34-47284
33-8184 Jan. 29, 2003 Harvey M. Burstein and James D. Loeffelbein
Release No. 34-47272
34-47270 Jan. 28, 2003 Lyndell F. Parks
34-47269 Jan. 28, 2003 Wayne F. Gorsek
34-47266 Jan. 28, 2003 Dennis S. Herula
34-47261 Jan. 27, 2003 Phillip E. Harlow, CPA
Release No.: AAER-1706
34-47260 Jan. 27, 2003 Robert J. Gluck
Release No.: AAER-1705
34-47256 Jan. 27, 2003 Glenn R. Ohlhauser, C.A.
Release No.: AAER-1703
33-8181 Jan. 24, 2003 Robert A. Papariella
Release No.: 34-47254
34-47255 Jan. 24, 2003 Harvest Financial Corporation and Frank D. Ruscetti
34-47247 Jan. 24, 2003 Eric Peremen
34-47246 Jan. 24, 2003 Igor Fleyshmakher a.k.a. Isaac Flash a.k.a. Isaac Marks
34-47242 Jan. 24, 2003 Monica Lynn Coleman
Release No. IA-2102
33-8179 Jan. 23, 2003 Steven W. Bingaman and Ira James Blackey
Release No.: 34-47238
33-8178 Jan. 23, 2003 Steven W. Bingaman and Ira James Blackey
Release No.: 34-47237
IA-2101 Jan. 22, 2003 Fred Albert Schluep
34-47228 Jan. 22, 2003 Andover Brokerage, LLC, Michael Picozzi, III, Elias Schechter, and David Daily
34-47222 Jan. 21, 2003 James F. Glaza
33-8175 Jan. 15, 2003 Kevin H. Goldstein
Release No.: 34-47187
34-47192 Jan. 15, 2003 John W. Duffell III
34-47183 Jan. 14, 2003 Jean B. Leclercq, Frederick J. Shapiro, and Kip Marsique
34-47173 Jan. 13, 2003 J. Patrick Kisor
Release No.: IA-2100
34-47168 Jan. 13, 2003 John J. Canepa
34-47167 Jan. 13, 2003 Anika Therapeutics, Inc., J. Melville Engle and Sean F. Moran
IA-2099 Jan. 13, 2003 Robert C. Sears
34-47154 Jan. 10, 2003 Mark Schultz
IA-2098 Jan. 10, 2003 Gordon J. Rollert
34-47145 Jan. 9, 2003 Salman Shariff
Release No.: IA-2096
34-47144 Jan. 9, 2003 Robertson Stephens, Inc.
34-47121 Jan. 3, 2003 David Edwards, James Edwards, Kevin Lynds and Gerald J. Stock

http://www.sec.gov/litigation/admin/adminarchive/adminarc2003.shtml


Modified: 10/16/2014