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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
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| 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
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