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Administrative Proceedings Archive 2005
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 |
|
34-53042 |
Dec. 29, 2005 |
Putnam Investment Management LLC
|
|
34-53041 |
Dec. 29, 2005 |
Putnam Investment Management LLC
|
|
34-53035 |
Dec. 29, 2005 |
Huntington Bancshares, Inc.; Thomas E. Hoaglin, Michael J. McMennamin, and John Van Fleet, CPA
Note: See also
Proposed Distribution Plan
|
|
34-53033 |
Dec. 28, 2005 |
Philip D. Phillips
|
|
33-8650 |
Dec. 28, 2005 |
Schultz Investment Advisors, Inc. and Scott Schultz
Other Release Nos.: 34-53029, IA-2470
|
|
34-53028 |
Dec. 28, 2005 |
Air Packaging Technologies, Inc., Apparel Technologies, Inc., Chantal Pharmaceutical Corp., Crown Laboratories, Inc., DBS Industries, Inc., Dental Medical Diagnostic Systems, Inc. and iPrint Technologies, Inc.
|
|
34-53025 |
Dec. 27, 2005 |
Bear Wagner Specialists LLC,
File No. 3-11445
Fleet Specialist, Inc.,
File No. 3-11446
LaBranche & Co. LLC,
File No. 3-11447
Spear, Leeds & Kellogg Specialists LLC,
File No. 3-11448
Van der Moolen Specialists USA, LLC,
File No. 3-11449
Performance Specialist Group LLC,
File No. 3-11558
SIG Specialists, Inc.,
File No. 3-11559
Note: See also
Fund Administrator's Proposed Fair Fund Distribution Plan
Comments received
are available
for this proposal.
|
|
34-53023 |
Dec. 27, 2005 |
Bradford C. Bleidt
Other Release No.: IA-2468
|
|
33-8649 |
Dec. 27, 2005 |
J.P. Morgan Securities Inc.
|
|
33-8648 |
Dec. 23, 2005 |
International Equity Advisors, LLC and Richard Roger Lund
Other Release Nos.: 34-53019, IA-2467, IC-27198
|
|
34-53010 |
Dec. 22, 2005 |
Robert Breed
Note: See also
Order
|
|
33-8647 |
Dec. 22, 2005 |
Kenneth R. Lecrone, CPA
Other Release Nos.: 34-53012, AAER-2358
|
|
33-8646 |
Dec. 22, 2005 |
Veras Capital Master Fund, VEY Partners Master Fund, Veras Investment Partners, LLC, Kevin D. Larson, and James R.
McBride
Other Release Nos.: 34-53011, IA-2466, IC-27197
|
|
33-8645 |
Dec. 22, 2005 |
Michael S. deVegter
Other Release Nos.: 34-53009, IA-2465, IC-27196
|
|
34-52996 |
Dec. 21, 2005 |
E Trade Systems, Inc.
|
|
34-52988 |
Dec. 21, 2005 |
Oretech, Inc.
|
|
34-52973 |
Dec. 16, 2005 |
Nathan A. Chapman, Jr.
Other Release No.: IA-2464
|
|
34-52964 |
Dec. 16, 2005 |
Skifter Ajro
Other Release No.: IA-2463
Note: See also
Order
|
|
34-52963 |
Dec. 16, 2005 |
Martin J. Druffner
Other Release No.: IA-2462
Note: See also
Order
|
|
34-52962 |
Dec. 16, 2005 |
John S. Peffer
Other Release No.: IA-2461
|
|
34-52959 |
Dec. 15, 2005 |
Gilbert Bergsman, CPA, and Lee Levinson, CPA
Other Release No.: AAER-2354
|
|
34-52956 |
Dec. 15, 2005 |
Enamelon, Inc., et al.; Semiconductor Laser International Corp. |
|
34-52946 |
Dec. 13, 2005 |
MicroAge, Inc., Network Computing Devices, Inc., Pacific Systems Control Technology, Inc., Pharmaprint, Inc., Pinnacle Micro, Inc., Sunrise Technologies International, Inc., and Thehealthchannel.com, Inc. |
|
33-8643 |
Dec. 13, 2005 |
Freedom Financial, Inc., Freedom Track, Inc., Freedom Financial Group, Inc., Associated Investment Management, Inc., Jon Patrick Pierce, Gary L. Winn
Other Release Nos.: 34-52945; IA-2460
Note: See also
Proposed Plan of Disgorgement Distribution as to Respondent Associated Investment Management, Inc.
|
|
34-52944 |
Dec. 12, 2005 |
Robert J. Dentice |
|
34-52943 |
Dec. 12, 2005 |
Peter J. Crowley |
|
34-52942 |
Dec. 12, 2005 |
CIBC World Markets Corporation |
|
34-52941 |
Dec. 12, 2005 |
Paul D. Rogers |
|
34-52933 |
Dec. 9, 2005 |
MicroAge, Inc., Network Computing Devices, Inc., Pacific Systems Control Technology, Inc., Pharmaprint, Inc., Pinnacle Micro, Inc., Sunrise Technologies International, Inc., and Thehealthchannel.com, Inc.
|
|
IA-2458 |
Dec. 7, 2005 |
Pilgrim Baxter & Associates, Ltd.
Other Release No.: IC-27181
|
|
34-52884 |
Dec. 5, 2005 |
Huntington Bancshares, Inc., Thomas E. Hoaglin, Michael J. McMennamin, and John Van Fleet
|
|
34-52880 |
Dec. 2, 2005 |
Gerson Asset Management, Inc. and Seth Gerson
Other Release No.: IA-2457, IC-27176
|
|
34-52879 |
Dec. 2, 2005 |
Federated Investment Management Company, Federated Securities Corp. and Federated Shareholder Services Company
Other Release No.: IA-2456; IC-27175
|
|
34-52878 |
Dec. 2, 2005 |
Joseph T. Boyle, CPA
Other Release No.: AAER-2350
|
|
34-52877 |
Dec. 2, 2005 |
Finantra Capital, Inc., Hayes Corp., Hollywood Trenz, Inc., and Visionamerica, Inc.
|
|
33-8640 |
Dec. 1, 2005 |
Maxwell Investments, LLC, Gary J. Maxwell, and Bart D. Coon
Other Release Nos.: 34-52873, IA-2455
|
|
IA-2454 |
Dec. 1, 2005 |
Renn Capital Group, Inc.
Other Release No.: IC-27174
|
|
34-52865 |
Dec. 1, 2005 |
Peter Goodfellow and Stamatis Molaris
|
|
34-52864 |
Dec. 1, 2005 |
James P. Brown
Other Release No.: AAER-2348
|
|
33-8639 |
Dec. 1, 2005 |
Millennium Partners, L.P., Millennium Management, L.L.C., Millennium International Management, L.L.C., Israel Englander, Terence Feeney, Fred Stone, and Kovan Pillai
Other Release Nos.: 34-52863, IA-2453, IC- 27172
|
|
33-8638 |
Dec. 1, 2005 |
American Express Financial Advisors Inc. (now known as Ameriprise Financial Services, Inc.)
Other Release No.: 34-52862
|
|
33-8637 |
Dec. 1, 2005 |
American Express Financial Advisors Inc. (now known as Ameriprise Financial Services, Inc.)
Other Release No.: 34-52861
|
|
IA-2452 |
Dec. 1, 2005 |
American Express Financial Corporation (now known as Ameriprise
Financial, Inc.)
Other Release No.: IC-27171
|
|
IA-2451 |
Dec. 1, 2005 |
American Express Financial Corporation (now known as Ameriprise
Financial, Inc.)
Other Release No.: IC-27170
|
|
IA-2450 |
Nov. 29, 2005 |
Joseph W. Daniel
|
|
34-52847 |
Nov. 29, 2005 |
James A. Franklin, Jr.
Other Release No.: IA-2449
|
|
34-52841 |
Nov. 28, 2005 |
Thomas Steinbach, Ashley Sosner, Tim Rice, Howard Kerbel, Barry Berman, Vincent Barone, and Bruce Biddick |
|
34-52839 |
Nov. 28, 2005 |
Federated Investment Management Company, Federated Securities Corp. and Federated Shareholder Services Company
Other Release Nos.: IA-2448, IC-27167 |
|
IA-2447 |
Nov. 25, 2005 |
Joseph A. Ferona, Jr.
Note: See also the
Order in this matter
|
|
34-52833 |
Nov. 23, 2005 |
Robert Henricks
|
|
34-52829 |
Nov. 23, 2005 |
Steven Mastrosimone
Note: See also the
Order in this matter
|
|
34-52828 |
Nov. 23, 2005 |
Neil Formisano
Note: See also the
Order in this matter
|
|
34-52819 |
Nov. 22, 2005 |
Thomas Steinbach, Ashley Sosner, Tim Rice, Howard Kerbel, Barry Berman,Vincent Barone, and Bruce Biddick
|
|
34-52813 |
Nov. 21, 2005 |
Donald C. Yount, Jr., CPA
Other Release No.: AAER-2347
|
|
34-52793 |
Nov. 18, 2005 |
Neil D. Silver and Robert Kenneth Davis
|
|
34-52792 |
Nov. 18, 2005 |
John D. Parson, CPA and Brendon P. McDonald, CPA
Other Release No.: AAER-2346
|
|
34-52791 |
Nov. 18, 2005 |
American Plastics & Chemicals, Inc., First Scientific, Inc., Migratec, Inc., Tristar Corp., and Vianet Technologies, Inc.
|
|
34-52788 |
Nov. 17, 2005 |
Michael Garbo
|
|
34-52778 |
Nov. 16, 2005 |
Enamelon, Inc., Paracelsian, Inc., Semiconductor Laser International Corp., Socrates Technologies Corp., Star Technologies, Inc., Telemonde, Inc., and VDC Communications, Inc.
|
|
34-52776 |
Nov. 16, 2005 |
American Machine, Inc., Asia4sale.Com, Inc., Pacific Vision Group, Inc., Preferred Investments, Inc., Deerwood, Inc., Nascent Technology, Inc., Profits Emporium, Inc., Ring Of Fire Marketing, Ltd., Seminar Strategies & Marketing, Inc., Social Engagements International, Inc., Passover Management International, Ltd., Endeavors, Inc., Idoleyez Corporation, Sun Asset Holdings, Inc., Sino Pharmaceuticals Corp., Premium Financial Services & Leasing, Inc., Arcadia Investments Corp., Easy Living Investments, Inc., Vinex Wines, Inc., and Western Financial Corporation
|
|
34-52773 |
Nov. 14, 2005 |
Danbury Financial, Inc.
|
|
34-52771 |
Nov. 14, 2005 |
American Group, Inc.
|
|
34-52763 |
Nov. 10, 2005 |
Salvatore Censoprano, CPA
Other Release No.: AAER-2344
|
|
34-52762 |
Nov. 10, 2005 |
Ralph D. Casbarro
|
|
34-52759 |
Nov. 10, 2005 |
Enamelon, Inc., Paracelsian, Inc., Semiconductor Laser International Corp., Socrates Technologies Corp., Star Technologies, Inc., Telemonde, Inc., and VDC Communications, Inc.
|
|
34-52751 |
Nov. 8, 2005 |
Air Packaging Technologies, Inc., Apparel Technologies, Inc., Chantal Pharmaceutical Corp., Crown Laboratories, Inc., DBS Industries, Inc., Dental Medical Diagnostic Systems, Inc., Hybrid Networks, Inc., and iPrint Technologies, Inc., Microage, Inc., Network Computing Devices, Inc., Pacific Systems Control Technology, Inc., Pharmaprint, Inc., Pinnacle Micro, Inc., Sunrise Technologies International, Inc., and thehealthchannel.com, inc.
See also:
Chart
(Air Packaging Technologies, Inc., et al.)
See also:
Chart
(Microage, Inc., et al.)
Note: See also the
Order in this matter
(Air Packaging Technologies, Inc., et al.)
Note: See also the
Order in this matter
(Microage, Inc., et al.)
|
|
34-52744 |
Nov. 7, 2005 |
Van D. Greenfield and Blue River Capital LLC
|
|
34-52742 |
Nov. 7, 2005 |
NexPub, Inc.
|
|
34-52737 |
Nov. 4, 2005 |
Team Communications Group, Inc.
|
|
34-52734 |
Nov. 4, 2005 |
T. Gene Gilman
Other Release No.: IA-2446
|
|
33-8634 |
Nov. 4, 2005 |
Morgan Stanley DW, Inc.
Other Release No.: 34-52735
|
|
34-52728 |
Nov. 3, 2005 |
Kraig L. Kibble
|
|
34-52726 |
Nov. 3, 2005 |
Eric Tyra, CPA
Other Release No.: AAER-2343
|
|
34-52704 |
Oct. 31, 2005 |
Robert Henricks
Note: See also the
Order in this matter
|
|
34-52703 |
Oct. 31, 2005 |
Bill Laron Stapleton
|
|
34-52702 |
Oct. 31, 2005 |
Advanced Media, Inc., American Film Technologies, Inc., Ameriquest Technologies, Inc., BPI Packaging Technologies Inc., CML Group, Inc., Compositech, Ltd., Dispatch Management Services Corp., and eGlobe, Inc.
|
|
34-52687 |
Oct. 27, 2005 |
Advanced Media, Inc., American Film Technologies, Inc., Ameriquest Technologies, Inc., BPI Packaging Technologies Inc., CML Group, Inc., Compositech, Ltd., Dispatch Management Services Corp., and eGlobe, Inc.
|
|
34-52678 |
Oct. 26, 2005 |
Charles W. Crouse and Norman R. Hess
|
|
IA-2445 |
Oct. 26, 2005 |
Susana P. Longo
|
|
33-8632 |
Oct. 26, 2005 |
Edward D. Jones & Co., L.P.
Other Release No.: 34-52677
|
|
33-8631 |
Oct. 26, 2005 |
Edward D. Jones & Co., L.P.
|
|
33-8630 |
Oct. 25, 2005 |
Hunter Adams, et al.
Other Release No.: 34-52662
|
|
34-52661 |
Oct. 25, 2005 |
Western United Holding Company
|
|
33-8629 |
Oct. 20, 2005 |
Axess Media Group, Ltd., and Michael Dale Grandon
|
|
34-52644 |
Oct. 20, 2005 |
American Machine, Inc., et al.
|
|
34-52641 |
Oct. 19, 2005 |
Intercallnet, Inc.
Note: See also the
Order in this matter
|
|
34-52636 |
Oct. 19, 2005 |
Frank J. Furino
|
|
34-52627 |
Oct. 18, 2005 |
American Machine, Inc., et al.
|
|
34-52626 |
Oct. 18, 2005 |
Barry Alan Bingham
Other Release No.: IA-2444
|
|
34-52623 |
Oct. 18, 2005 |
Instinet, LLC and INET ATS, Inc. |
|
34-52622 |
Oct. 18, 2005 |
Brandmakers, Inc.
|
|
34-52617 |
Oct. 17, 2005 |
Kermit Silva
|
|
34-52616 |
Oct. 17, 2005 |
Russ R. Luciano
Other Release No.: IA-2443
|
|
33-8627 |
Oct. 14, 2005 |
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
Other Release No.: 34-52610
|
|
33-8626 |
Oct. 14, 2005 |
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
Other Release No.: 34-52609
|
|
33-8625 |
Oct. 14, 2005 |
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
Other Release No.: 34-52608
|
|
34-52599 |
Oct. 13, 2005 |
Transmedia Asia Pacific, Inc.
|
|
34-52597 |
Oct. 13, 2005 |
Thomas Hauke, CPA
Other Release No.: AAER-2335
|
|
IA-2442 |
Oct. 12, 2005 |
Robert Radano
Note: See also the
Order in this matter
|
|
34-52595 |
Oct. 12, 2005 |
Louis Montaino
|
|
34-52594 |
Oct. 12, 2005 |
Michael Eisemann
|
|
IA-2441 |
Oct. 12, 2005 |
Angelo Haligiannis
|
|
33-8624 |
Oct. 12, 2005 |
Theodore Charles Sihpol III
Other Release Nos.: 34-52591, IA-2440, IC-27113
|
|
34-52590 |
Oct. 12, 2005 |
Financial Systems Group, Inc.
|
|
34-52589 |
Oct. 12, 2005 |
Homes For America Holdings, Inc.
|
|
34-52588 |
Oct. 12, 2005 |
Ingenuus Corp.
|
|
34-52587 |
Oct. 12, 2005 |
Mineral Energy and Technology Corporation
|
|
34-52586 |
Oct. 12, 2005 |
Realigent, Inc.
|
|
34-52585 |
Oct. 12, 2005 |
BrandAid Marketing Corporation
|
|
34-52584 |
Oct. 12, 2005 |
Diagnostic International, Inc.
|
|
34-52583 |
Oct. 11, 2005 |
Spectrum Brands Corp.
|
|
34-52582 |
Oct. 11, 2005 |
John Houldsworth, CA
Other Release No.: AAER-2334
|
|
34-52570 |
Oct. 7, 2005 |
Frank Persico
|
|
34-52564 |
Oct. 5, 2005 |
Alanar, Inc., Vaughn A. Reeves, Sr., Vaughn A. Reeves, Jr., Jonathan Christopher Reeves And Joshua Craig Reeves
|
|
34-52560 |
Oct. 4, 2005 |
Finantra Capital, Inc., Hayes Corp., Hollywood Trenz, Inc., Visionamerica, Inc., American Plastics & Chemicals, Inc., First Scientific, Inc., MigraTEC, Inc., Tristar Corp., and Vianet Technologies, Inc.
Note: See also the
Order in this matter
(Finantra Capital, Inc., Hayes Corp., Hollywood Trenz, Inc., and Visionamerica, Inc.,)
Note: See also the
Appendix in this matter
(Finantra Capital, Inc., Hayes Corp., Hollywood Trenz, Inc., and Visionamerica, Inc.,)
Note: See also the
Order in this matter
(American Plastics & Chemicals, Inc., First Scientific, Inc., MigraTEC, Inc., Tristar Corp., and Vianet Technologies, Inc.,)
Note: See also the
Appendix in this matter
(American Plastics & Chemicals, Inc., First Scientific, Inc., MigraTEC, Inc., Tristar Corp., and Vianet Technologies, Inc.,)
|
|
34-52554 |
Oct. 3, 2005 |
Duane Kimble, CPA and Carene Kunkler
Other Release No.: AAER-2329
|
| Third Quarter |
|
33-8621 |
Sep. 30, 2005 |
International Equity Advisors, LLC and Richard Roger Lund
Other Release Nos.: 34-52545, IA-2437, IC-27108
|
|
34-52541 |
Sep. 30, 2005 |
American Machine, Inc., et al.
|
|
33-8620 |
Sep. 30, 2005 |
Morgan Stanley DW, Inc.
Other Release No.: 34-52540
|
|
IA-2436 |
Sep. 30, 2005 |
Applied Financial and Dennis Holcombe
|
|
34-52539 |
Sep. 30, 2005 |
Ronald Lee Hoyt, CPA,
Other Release No.: AAER-2327
|
|
34-52538 |
Sep. 30, 2005 |
William E. Caswell, CPA
Other Release No.: AAER-2326
|
|
34-52537 |
Sep. 30, 2005 |
Gregory M. Dearlove, CPA
Other Release No.: AAER-2325
Note: See also the
Order in this matter
|
|
34-52536 |
Sep. 30, 2005 |
AirCharter Express, Inc., E Trade Systems, Inc. and Danbury Financial, Inc.
Note: See also the
Order in this matter
(AirCharter Express, Inc.)
Note: See also the
Order in this matter
(E Trade Systems, Inc.)
Note: See also the
Order in this matter
(Danbury Financial, Inc.)
|
|
34-52535 |
Sep. 30, 2005 |
NextCard, Inc.
|
|
34-52531 |
Sep. 29, 2005 |
Thomas Steinbach, Ashley Sosner, Tim Rice, Howard Kerbel, Barry Berman,Vincent Barone, and Bruce Biddick
|
|
34-52530 |
Sep. 29, 2005 |
Thomas Steinbach, Ashley Sosner, Tim Rice, Howard Kerbel, Barry Berman,Vincent Barone, and Bruce Biddick
|
|
34-52529 |
Sep. 29, 2005 |
Thomas Steinbach, Ashley Sosner, Tim Rice, Howard Kerbel, Barry Berman, Vincent Barone, and Bruce Biddick
|
|
34-52528 |
Sep. 29, 2005 |
Thomas Steinbach, Ashley Sosner, Tim Rice, Howard Kerbel, Barry Berman, Vincent Barone, and Bruce Biddick
|
|
34-52525 |
Sep. 29, 2005 |
International Biofuel and Biochemical Corporation f/k/a J-Bird Music Group Ltd. |
|
34-52507 |
Sep. 26, 2005 |
Divedepot.Com, Inc., GS Telecom Ltd., Rocky Mountain Financial
Enterprises, Inc., Studio City Holding Corp., and US Data Authority, Inc. |
|
IA-2435 |
Sep. 23, 2005 |
State Street Research & Management Company
|
|
34-52498 |
Sep. 23, 2005 |
Victor Lessinger
|
|
33-8616 |
Sep. 22, 2005 |
Bio One Corporation
Other Release Nos.: 34-52490, AAER-2317
|
|
34-52487 |
Sep. 22, 2005 |
John B. Zankowski, Esq.
|
|
34-52481 |
Sep. 21, 2005 |
David J. Cammarata, CPA
Other Release No.: AAER-2316 |
|
33-8615 |
Sep. 21, 2005 |
Morgan Stanley DW, Inc. |
|
33-8614 |
Sep. 21, 2005 |
Allen Z. Wolfson, Michael T. Grecco, John M. Black, Jr., Spiro Lazaretos, Robert Balsamo, Vladimir Carvallo, and Konstantinos Dino Sonitis |
|
IA-2434 |
Sep. 21, 2005 |
Springer Investment Management, Inc. and Keith W. Springer |
|
34-52478 |
Sep. 21, 2005 |
Legg Mason Wood Walker, Incorporated
Other Release No.: IC-27071
Note: See also the
Order in this matter
|
|
IA-2433 |
Sep. 21, 2005 |
William J. Lennon |
|
IA-2432 |
Sep. 21, 2005 |
Anthony P. Postiglione, Jr. |
|
34-52461 |
Sep. 16, 2005 |
Scott L. Kelly |
|
34-52457 |
Sep. 16, 2005 |
Christiano K. Hashimoto, Jr. |
|
34-52456 |
Sep. 16, 2005 |
Eric J. Laucius
|
|
34-52455 |
Sep. 16, 2005 |
Michael Kogan |
|
34-52454 |
Sep. 16, 2005 |
F. Thomas Eck, III |
|
34-52453 |
Sep. 16, 2005 |
John C. Kawas, Jr. |
|
34-52452 |
Sep. 15, 2005 |
Herbert A. Getz
Other Release No.: AAER-2313
|
|
34-52447 |
Sep. 15, 2005 |
NetCurrents Information Services, Inc.
|
|
IA-2430 |
Sep. 15, 2005 |
CMS Fund Advisers, Inc.
|
|
IA-2429 |
Sep. 15, 2005 |
Joseph W. Lutes
|
|
34-52443 |
Sep. 15, 2005 |
Bear Wagner Specialists LLC |
|
34-52442 |
Sep. 15, 2005 |
Fleet Specialist, Inc. |
|
34-52441 |
Sep. 15, 2005 |
LaBranche & Co. LLC |
|
34-52440 |
Sep. 15, 2005 |
Performance Specialist Group LLC |
|
34-52439 |
Sep. 15, 2005 |
Spear, Leeds & Kellogg Specialists LLC |
|
34-52438 |
Sep. 15, 2005 |
SIG Specialists, Inc. |
|
34-52437 |
Sep. 15, 2005 |
Van der Moolen Specialists, USA, LLC |
|
IA-2428 |
Sep. 14, 2005 |
Marvin I. Friedman
|
|
34-52420 |
Sep. 14, 2005 |
Oppenheimerfunds, Inc. and Oppenheimerfunds Distributor, Inc.
Other Release Nos.: IA-2427, IC-27065
|
|
34-52411 |
Sep. 13, 2005 |
Vincent Steckler
Other Release No.: AAER-2311
|
|
34-52409 |
Sep. 13, 2005 |
NCO Group, Inc.
Other Release No.: AAER-2309
|
|
33-8610 |
Sep. 12, 2005 |
Apollo Publication Corporation
Note: See also the
Order in this matter
Note: See also the
Statement in this matter
|
|
34-52406 |
Sep. 12, 2005 |
American Machine, Inc., et al.
|
|
33-8609 |
Sep. 12, 2005 |
GLM Technologies, LLC and Timothy Lee Bogle
|
|
IA-2425 |
Sep. 12, 2005 |
Putnam Investment Management, LLC
Other Release No.: IC-27062
|
|
34-52400 |
Sep. 9, 2005 |
Divedepot.com, Inc., GS Telecom, Ltd., Rocky Mountain Financial Enterprises, Inc., Studio City Holding Corp., and US Data Authority, Inc.
|
|
34-52395 |
Sep. 8, 2005 |
Steven J. Allan
Other Release No.: AAER-2308
|
|
34-52392 |
Sep. 8, 2005 |
Joseph Ferragamo
|
|
34-52384 |
Sep. 7, 2005 |
Advanced Media, Inc., American Film Technologies, Inc., AmeriQuest Technologies, Inc., BPI Packaging Technologies, Inc., CML Group, Inc., Compositech, Ltd., Dispatch Management Services Corp., and eGlobe, Inc., Enamelon, Inc., Paracelsian, Inc., Semiconductor Laser International Corp., Socrates Technologies Corp., Star Technologies, Inc., Telemonde, Inc., and VDC Communications, Inc., and Transmedia Asia Pacific, Inc.
Note: See also:
|
|
IC-27057 |
Sep. 2, 2005 |
U.S. Bank National Association
|
|
IA-2423 |
Sep. 1, 2005 |
Susana P. Longo
Note: See also the
Order in this matter
|
|
34-52370 |
Aug. 31, 2005 |
Premier Financial Bancorp, Inc.
Other Release No.: AAER-2306
|
|
34-52369 |
Aug. 31, 2005 |
John R. Behrmann, CPA
Other Release No.: AAER-2305
|
|
34-52368 |
Aug. 31, 2005 |
Won Sok Lee and Yung Bae Kim
Other Release No.: IA-2422
Note: See also the
Order in this matter
|
|
34-52365 |
Aug. 31, 2005 |
William D. Wiseman, CPA
Other Release No.: AAER-2304
|
|
34-52359 |
Aug. 30, 2005 |
Douglas J. Ely
Other Release No.: AAER-2302
|
|
34-52358 |
Aug. 30, 2005 |
Barry S. Berlin
Other Release No.: AAER-2301
|
|
34-52357 |
Aug. 30, 2005 |
David P. Levine
Other Release No.: AAER-2300
|
|
34-52356 |
Aug. 30, 2005 |
Michael W. Spake
Other Release No.: AAER-2299
|
|
IA-2421 |
Aug. 30, 2005 |
J. Robert Dobbins
|
|
34-52354 |
Aug. 29, 2005 |
T. Gene Gilman
Other Release No.: IA-2420
Note: See also the
Order in this matter
|
|
34-52353 |
Aug. 29, 2005 |
Alanar, Inc., Vaughn A. Reeves, Sr., Vaughn A. Reeves, Jr., Jonathan Christopher Reeves, and Joshua Craig Reeves
Note: See also the
Order in this matter
|
|
33-8606 |
Aug. 24, 2005 |
Axess Media Group, Ltd. and Michael Dale Grandon
Note: See also the
Order in this matter
|
|
34-52322 |
Aug. 23, 2005 |
UCAP, Inc.
|
|
34-52321 |
Aug. 23, 2005 |
David Friend, CPA
Other Release No.: AAER-2296
|
|
34-52320 |
Aug. 23, 2005 |
Laurene U. English
Other Release No.: IA-2419
|
|
34-52318 |
Aug. 23, 2005 |
Barry Alan Bingham
Other Release No.: IA-2418
Note: See also the
Order in this matter
|
|
34-52311 |
Aug. 22, 2005 |
MPTV, Inc. and Read-Rite Corp.
|
|
34-52307 |
Aug. 19, 2005 |
Vincent Langella
|
|
33-8605 |
Aug. 19, 2005 |
James F. Glaza, d/b/a Falcon Financial Services, Inc.
Other Release No.: 34-52305
|
|
34-52306 |
Aug. 19, 2005 |
Nexpub, Inc.
Note: See also the
Order in this matter
|
|
33-8604 |
Aug. 18, 2005 |
Prudential Equity Group, LLC, f/k/a Prudential Securities, Inc.,
Other Release No.: 34-52299
|
|
34-52279 |
Aug. 17, 2005 |
Charles W. Crouse and Norman R. Hess
|
|
34-52272 |
Aug. 16, 2005 |
Joseph Catapano, Aaron Andrzejewski and Michael Kordich
|
|
34-52258 |
Aug. 15, 2005 |
John V. Back, Jr., CPA
Other Release No.: AAER-2291
|
|
34-52257 |
Aug. 15, 2005 |
Margaret M. Eardley
Other Release No.: AAER-2290
|
|
IA-2416 |
Aug. 12, 2005 |
Dean Earl Kirkland
|
|
34-52247 |
Aug. 12, 2005 |
F. Thomas Eck, III
Note: See also the
Order in this matter
|
|
34-52246 |
Aug. 12, 2005 |
F. Thomas Eck, III
|
|
33-8602 |
Aug. 12, 2005 |
Morgan Stanley DW, Inc.
Other Release No.: 34-52245
|
|
34-52233 |
Aug. 10, 2005 |
LaBranche & Co. LLC
|
|
34-52232 |
Aug. 10, 2005 |
SIG Specialists, Inc.
|
|
34-52231 |
Aug. 10, 2005 |
Performance Specialist Group LLC
|
|
34-52230 |
Aug. 10, 2005 |
Van der Moolen Specialists, USA, LLC
|
|
34-52229 |
Aug. 10, 2005 |
Spear, Leeds & Kellogg Specialists LLC
|
|
34-52228 |
Aug. 10, 2005 |
Bear Wagner Specialists LLC
|
|
34-52227 |
Aug. 10, 2005 |
Fleet Specialist, Inc.
|
|
34-52223 |
Aug. 8, 2005 |
Ernesto V. Sibal and Doseph J. Shin
|
|
34-52222 |
Aug. 8, 2005 |
Benjamin Y. Chiu
Other Release No.: IA-2415
|
|
34-52214 |
Aug. 5, 2005 |
Divedepot.com, Inc., GS Telecom Ltd., Rocky Mountain Financial Enterprises, Inc., Studio City Holding Corporation and US Data Authority, Inc.
Note: See also the
Order in this matter |
|
34-52211 |
Aug. 4, 2005 |
Russell W. Jones
|
|
34-52208 |
Aug. 4, 2005 |
Busybox.Com, Inc.
|
|
33-8601 |
Aug. 4, 2005 |
Utah Educational Savings Plan Trust
|
|
34-52207 |
Aug. 4, 2005 |
David A. Finnerty, et al., James V. Parolisi, Patrick E. Murphy, Robert W. Luckow
|
|
34-52199 |
Aug. 3, 2005 |
MPTV, Inc., and Read-Rite Corp.
|
|
IA-2414 |
Aug. 3, 2005 |
J. Robert Dobbins
Note: See also the
Order in this matter
|
|
34-52190 |
Aug. 2, 2005 |
Chauncey D. Steele
Other Release No.: IA-2413
|
|
34-52186 |
Aug. 1, 2005 |
In the Matter of Jeffrey L. Pittsburg
|
|
34-52185 |
Aug. 1, 2005 |
Robert Korkuc, CPA
Other Release No.: AAER-2286
|
|
34-52184 |
Aug. 1, 2005 |
Nathan A. Chapman, Jr.
Other Release No.: IA-2412
Note: See also the
Order in this matter
|
|
33-8598 |
Aug. 1, 2005 |
Prudential Equity Group, LLC f/k/a Prudential Securities, Inc.
|
|
33-8597 |
Jul. 29, 2005 |
Raymond James Financial Services, Inc. and J. Stephen Putnam
Other Release No.: 34-52164, IA-2411
|
|
34-52163 |
Jul. 29, 2005 |
Scott A. Christian
|
|
34-52161 |
Jul. 29, 2005 |
Jesse M. Townsley, Jr.
Other Release No.: IA-2410
|
|
33-8596 |
Jul. 28, 2005 |
Microtune, Inc., William L. Housley, Jeffrey W. Davis, and Everett Rogers
Other Release No.: 34-52159, AAER-2285
|
|
33-8595 |
Jul. 28, 2005 |
Hunter Adams, et al.
Other Release No.: 34-52144
|
|
34-52153 |
Jul. 28, 2005 |
Charlie Dilluvio
|
|
34-52152 |
Jul. 28, 2005 |
Michael J. Burns
|
|
34-52143 |
Jul. 28, 2005 |
Affinity International Travel Systems, Inc., BIFS Technologies Corp., Brandmakers, Inc., Consolidated General Corp., E-Rex, Inc., and IEMI
|
|
34-52137 |
Jul. 27, 2005 |
Frank Persico
Note: See also the
Order in this matter
|
|
34-52136 |
Jul. 27, 2005 |
Knight Securities, L.P.
|
|
34-52129 |
Jul. 27, 2005 |
UCAP, Inc.
Note: See also the
Order in this matter
|
|
33-8594 |
Jul. 26, 2005 |
ING Groep N.V. and ING Bank N.V.
|
|
34-52126 |
Jul. 26, 2005 |
Michael J. Cheshire
Other Release No.: AAER-2282
|
|
34-52116 |
Jul. 25, 2005 |
Prudential Equity Group, LLC, f/k/a Prudential Securities Inc.
|
|
34-52108 |
Jul. 22, 2005 |
Thomas J. Downey and Geoffrey K. Horn
|
|
34-52105 |
Jul. 22, 2005 |
Affinity International Travel Systems, Inc., IEMI Technologies Corp.,
Brandmakers, Inc.,
Consolidated General Corp.,
E-Rex, Inc., and
IEMI
|
|
33-8593 |
Jul. 20, 2005 |
Canadian Imperial Holdings Inc. and CIBC World Markets Corp.
Other Release No.: 34-52064
|
|
33-8592 |
Jul. 20, 2005 |
Canadian Imperial Holdings Inc. and CIBC World Markets Corp.
Other Release Nos.: 34-52063; IA-2407; IC-26994
|
|
IA-2406 |
Jul. 18, 2005 |
Edgar M. Larsen
Other Release No.: IC-26992
|
|
34-52055 |
Jul. 18, 2005 |
Michael J. Cemo
Other Release No.: IC-26991
|
|
34-52053 |
Jul. 18, 2005 |
Active Link Communications, Inc.
|
|
34-52050 |
Jul. 18, 2005 |
Wheat, First Securities, Inc. f/k/a First Union Capital Markets Corp. and Teressa L. Cawley
|
|
33-8588 |
Jul. 15, 2005 |
Hunter Adams, et al.
Other Release No.: 34-52042
|
|
34-52041 |
Jul. 15, 2005 |
Comerica, Inc.
Other Release No.: AAER-2278
|
|
34-52040 |
Jul. 15, 2005 |
NetCurrents Information Services, Inc.
Note: See also the
Order in this matter
|
|
33-8586 |
Jul. 14, 2005 |
Stacey J. Blake
Other Release No.: 34-52036
|
|
34-52023 |
Jul. 13, 2005 |
Spectrum Brands Corp.
Note: See also the
Order in this matter
|
|
34-52022 |
Jul. 13, 2005 |
UBS Securities LLC (f/k/a/ UBS Warburg LLC)
|
|
34-52020 |
Jul. 13, 2005 |
American Machine, Inc., Asia4Sale.com, Inc., Pacific Vision Group, Inc., Preferred Investments, Inc., Deerwood, Inc., Nascent Technology, Inc., Profits Emporium, Inc., Ring of Fire Marketing, LTD., Seminar Strategies & Marketing, Inc., Social Engagements International, Inc., Passover Management International, LTD., Triumphant Endeavors, Inc., Idoleyez Corporation, Sun Asset Holdings, Inc., Sino Pharmaceuticals Corporation, Premium Financial Services & Leasing, Inc., Arcadia Investments Corporation, Easy Living Investments, Inc., Vinex Wines, Inc., and Western Financial Corporation
Note: See also the
Order in this matter
|
|
34-52015 |
Jul. 12, 2005 |
John Madey
Other Release No.: IA-2405
|
|
34-52006 |
Jul. 11, 2005 |
Foamex International, Inc.
Other Release No.: AAER-2274
|
|
34-52003 |
Jul. 8, 2005 |
Todd M. Eberhard
Other Release No.: IA-2403
|
|
34-52002 |
Jul. 8, 2005 |
Joseph Catapano, Aaron Andrzejewski, and Michael Kordich
|
|
33-8585 |
Jul. 8, 2005 |
Gerald Klein & Associate, Inc. and Klein Pavlis & Peasley Financial, Inc.
Other Release Nos.: IA-2404, IC-26986
|
|
34-51995 |
Jul. 8, 2005 |
Duke Energy Corporation
Other Release No.: AAER-2273
|
|
34-51979 |
Jul. 6, 2005 |
Jeffrey Steinberg and John Geron
Other Release No.: AAER-2272
|
|
33-8584 |
Jul. 6, 2005 |
CorCom Companies, Inc., dba BlueFire Partners, Inc., BlueFire Research, Inc., and William P. Bartkowski
Other Release No.: IA-2402
|
|
34-51971 |
Jul. 5, 2005 |
Philip A. Lehman
Other Release No.: IA-2401
Note: See also the
Order in this matter
|
|
34-51961 |
Jul. 1, 2005 |
St. George Metals, Inc.
Note: See also the
Order in this matter |
| Second Quarter |
|
34-51946 |
Jun. 30, 2005 |
KPMG LLP, Gary Bentham, C.A. and John Gordon, C.A.
Other Release No.: AAER-2269 |
|
34-51945 |
Jun. 30, 2005 |
Jeffrey Szur, Elaine Szur, Cary Weinstein, Joseph Epstein, and George Elian
|
|
34-51930 |
Jun. 28, 2005 |
Warren J. Soloski, Esquire
|
|
34-51927 |
Jun. 27, 2005 |
David S. Klarman, Esq.
Other Release No.: AAER-2266
|
|
34-51924 |
Jun. 24, 2005 |
Active Link Communications, Inc., MPTV, Inc. and Read-Rite Corp.
Note: See also the
Order in this matter;
Order in this matter
|
|
34-51922 |
Jun. 24, 2005 |
Daniel W. Heath
|
|
34-51918 |
Jun. 24, 2005 |
Busybox.com, Inc.
Note: See also the
Order in this matter
|
|
34-51914 |
Jun. 23, 2005 |
Raymond L. Braun, Jr.
|
|
34-51895 |
Jun. 21, 2005 |
James H. David, Jr., CPA
Other Release No.: AAER-2262
|
|
34-51894 |
Jun. 21, 2005 |
Dennis R. Mathews, Jr.
Other Release No.: IA-2400
|
|
33-8583 |
Jun. 20, 2005 |
Simon A. Hershon
Other Release Nos.: 34-51887, IA-2399, IC-26912
|
|
34-51886 |
Jun. 20, 2005 |
Allen Andrescu, Richard Brower, Mark Coates, Tejbir Singh, and Vikram Randhawa
|
|
34-51883 |
Jun. 20, 2005 |
Joe D. Thomas
|
|
34-51866 |
Jun. 17, 2005 |
Lawrence A. Clasby
Other Release No.: IA-2398
|
|
34-51864 |
Jun. 17, 2005 |
Marketxt, Inc. and Irfan Mohammed Amanat
|
|
IA-2397 |
Jun. 16, 2005 |
Burton G. Friedlander
|
|
34-51852 |
Jun. 15, 2005 |
Banc of America Investment Services, Inc., and Bacap Distributors, LLC
Other Release No.: IA-2396
|
|
34-51850 |
Jun. 14, 2005 |
Knight Securities, L.P.
|
|
34-51849 |
Jun. 14, 2005 |
SIG Specialists, Inc.
|
|
34-51848 |
Jun. 14, 2005 |
Performance Specialist Group LLC
|
|
34-51847 |
Jun. 14, 2005 |
Van der Moolen Specialists, USA, LLC
|
|
34-51846 |
Jun. 14, 2005 |
Spear, Leeds & Kellogg Specialist
|
|
34-51845 |
Jun. 14 2005 |
LaBranche & Co. LLC
|
|
34-51844 |
Jun. 14, 2005 |
Fleet Specialist, Inc.
|
|
34-51843 |
Jun. 14, 2005 |
Bear Wagner Specialists LLC
|
|
34-51839 |
Jun. 14, 2005 |
Hilary L. Shane
Other Release No.: IA-2395
|
|
33-8582 |
Jun. 14, 2005 |
Ford Motor Credit Company
|
|
34-51829 |
Jun. 13, 2005 |
Massachusetts Financial Services Co., John W. Ballen and Kevin R. Parke
|
|
IA-2394 |
Jun. 13, 2005 |
Jeff Thomas Allen
|
|
34-51819 |
Jun. 10, 2005 |
Joseph Ferragamo
Note: See also the
Order in this matter
|
|
34-51817 |
Jun. 10, 2005 |
Salim B. Lewis
|
|
34-51811 |
Jun. 9, 2005 |
Gary Todd
|
|
33-8581 |
Jun. 9, 2005 |
Robert M. Blau
Other Release Nos.: 34-51809, AAER-2260
|
|
34-51807 |
Jun. 9, 2005 |
Affinity International Travel Systems, Inc., BIFS Technologies Corp., Brandmakers, Inc., Consolidated General Corp., E-Rex, Inc., and IEMI |
|
34-51804 |
Jun. 8, 2005 |
Carlos A. Shibata
Other Release No.: IA-2393
|
|
34-51803 |
Jun. 8, 2005 |
ePhone Telecom, Inc., and National Institute Companies of America, Inc.
|
|
34-51802 |
Jun. 8, 2005 |
Mark Steven Lynch, CPA
Other Release No.: AAER-2255
|
|
34-51801 |
Jun. 8, 2005 |
Affinity International Travel Systems, Inc., Bifs Technologies Corp., Brandmakers, Inc., Consolidated General Corp., E-Rex, Inc., and Iemi
|
|
34-51798 |
Jun. 8, 2005 |
Charles Cini and Gordon Novak
|
|
33-8580 |
Jun. 7, 2005 |
Mount Sinai Medical Center of Florida, Inc., M. Brooks Turkel and Harvey W. Smith
Other Release Nos.: 34-51797, AAER-2254
|
|
34-51794 |
Jun. 7, 2005 |
James J. Mcdermott, Jr.
Other Release No.: IA-2392
|
|
34-51793 |
Jun. 7, 2005 |
Peter J. Burns
|
|
34-51792 |
Jun. 7, 2005 |
Michael F. Hollendoner
|
|
33-8579 |
Jun. 2, 2005 |
Huntington Bancshares, Inc., Thomas E. Hoaglin, Michael J. Mcmennamin, and John Van Fleet, CPA
Other Release Nos.: 34-51781, AAER-2252
|
|
34-51774 |
Jun. 2, 2005 |
David Rich, Cris Sagnelli, Ray Hutchinson, Daniel Bender, Frank Dickey, and George Doumanis
|
|
34-51773 |
Jun. 2, 2005 |
Thomas Steinbach, Ashley Sosner, Tim Rice, Howard Kerbel, Barry Berman, Vincent Barone, And Bruce Biddick
Note: See also the
Order in this matter
|
|
34-51772 |
Jun. 2, 2005 |
Upgrade International Corp.
|
|
33-8578 |
May 31, 2005 |
Charles J. O'Brien, Jr. & Credit Suisse First Boston, LLC
Other Release Nos.: 34-51764, IA-2391
|
|
34-51761 |
May 31, 2005 |
Smith Barney Fund Management LLC and Citigroup Global Markets, Inc.
Other Release No.: IA-2390
Note: See also
Order in this matter
Note: See also
Order in this matter
|
|
34-51758 |
May 27, 2005 |
Greentech USA, Inc.
|
|
34-51726 |
May 24, 2005 |
Affinity International Travel Systems, Inc., BIFS Technologies Corp., Brandmakers, Inc., Consolidated General Corp., E-Rex, Inc., and IEMI
|
|
34-51724 |
May 20, 2005 |
Diagnostic Products Corporation
Other Release No.: AAER-2249
|
|
IA-2388 |
May 19, 2005 |
Larry Adams
Other Release No.: IC-26874
|
|
34-51719 |
May 19, 2005 |
Kevin Rodgers
Other Release No.: AAER-2246
|
|
IA-2387 |
May 19, 2005 |
Putnam Investment Management, LLC
Other Release No.: IC-26873
|
|
34-51714 |
May 19, 2005 |
National Stock Exchange and David Colker
|
|
34-51713 |
May 19, 2005 |
John B. Hoffmann and Kevin J. McCaffrey
Other Release No.: IA-2386
|
|
34-51711 |
May 19, 2005 |
Grant Thornton LLP, Doeren Mayhew & Co. P.C., Peter M. Behrens, CPA, Marvin J. Morris, CPA and Benedict P. Rybicki, CPA
|
|
34-51709 |
May 19, 2005 |
Oaktree Capital Management, LLC
Other Release No.: IA-2385
|
|
34-51708 |
May 19, 2005 |
Galleon Management, L.P.
|
|
34-51707 |
May 19, 2005 |
DB Investment Managers, Inc.
Other Release No.: IA-2384
|
|
34-51702 |
May 18, 2005 |
Vincent Langella
Note: See also the
Order in this matter
|
|
34-51701 |
May 17, 2005 |
Christopher Quintana
|
|
34-51700 |
May 17, 2005 |
Suntrust Securities, Inc.
|
|
34-51699 |
May 17, 2005 |
Joseph W. Leighton
|
|
34-51694 |
May 13, 2005 |
Strong Capital Management, Inc., Strong Investor Services, Inc., Strong Investments, Inc., Richard S. Strong, Thomas A. Hooker and Anthony J. D'Amato
Other Release No.: IA-2383, IC-26868
|
|
34-51686 |
May 12, 2005 |
Walter Cercavschi, CPA
Other Release No.: AAER-2244
|
|
IA-2382 |
May 11, 2005 |
Andrew M. Welt
|
|
34-51679 |
May 10, 2005 |
Gary Todd
Note: See also the
Order in this matter
|
|
34-51678 |
May 10, 2005 |
Mark Wiertzema
|
|
34-51662 |
May 6, 2005 |
Harold F. Harris, and Ronald E. Crews
|
|
34-51652 |
May 4, 2005 |
EVTC, Inc.
See also:
34-50419
|
|
34-51648 |
May 3, 2005 |
Advanced Solutions & Technologies, Inc., Comparator Systems Corp., Emerging Enterprise Solutions, Inc., and Shaman Pharmaceuticals, Inc.
|
|
34-51647 |
May 2, 2005 |
Robert R. Berti, CPA
Other Release No.: AAER-2241
|
|
34-51629 |
Apr. 28, 2005 |
Dawn Diaz, CPA
Other Release No.: AAER-2240
|
|
34-51624 |
Apr. 28, 2005 |
Michael J. Laughlin
Other Release No.: IA-2380; IC-26860
|
|
IA-2379 |
Apr. 28, 2005 |
John D. Carifa
Other Release No.: IC-26859
|
|
IA-2378 |
Apr. 28, 2005 |
Gerald T. Malone
Other Release No.: IC-26858
|
|
34-51625A |
Apr. 28, 2005 |
Tyson Foods, Inc. and Donald Tyson
|
|
34-51618 |
Apr. 27, 2005 |
Affinity International Travel Systems, Inc.; BIFS Technologies Corp.; Brandmakers, Inc.; Consolidated General Corp.; E-Rex, Inc.; IEMI; ePhone Telecom, Inc.; National Institute Companies of America, Inc.
Note: See also:
|
|
34-51607 |
Apr. 26, 2005 |
Deloitte & Touche LLP, Steven H. Barry, CPA, and Karen T. Baker, CPA
Other Release No.: AAER-2238
|
|
34-51606 |
Apr. 26, 2005 |
Deloitte & Touche LLP
Other Release No.: AAER-2237
|
|
34-51604 |
Apr. 25, 2005 |
Investment Technology, Inc.
|
|
34-51594 |
Apr. 21, 2005 |
Douglas W. Powell, Charles D. Elliott, III, and Russell S. Tarbett
Other Release No.: IA-2377; IC-26837
|
|
34-51592 |
Apr. 21, 2005 |
PHLO Corporation, James B. Hovis, and Anne P. Hovis
Note: See also the
Order in this matter
|
|
34-51589 |
Apr. 21, 2005 |
Charles J. Addeo
|
|
34-51588 |
Apr. 21, 2005 |
Fiserv Securities, Inc. and Dennis J. Donnelly
|
|
34-51587 |
Apr. 21, 2005 |
Robert A. Tommassello
|
|
34-51585 |
Apr. 20, 2005 |
Andrew E. Gold
|
|
34-51577 |
Apr. 20, 2005 |
Infotopia, Inc.
|
|
34-51574 |
Apr. 19, 2005 |
KPMG LLP
Other Release No.: AAER-2234
|
|
34-51571 |
Apr. 19, 2005 |
Anthony Bisceglie |
|
34-51570 |
Apr. 19, 2005 |
Craig R. Clark
Other Release No.: AAER-2233 |
|
34-51569 |
Apr. 19, 2005 |
Norsul Oil & Mining, Ltd. |
|
33-8569 |
Apr. 18, 2005 |
The Coca-Cola Company
Other Release Nos.: 34-51565; AAER-2232 |
|
34-51564 |
Apr. 18, 2005 |
Advanced Solutions & Technologies, Inc., Comparator Systems Corp., Emerging Enterprise Solutions, Inc., and Shaman Pharmaceuticals, Inc. |
|
34-51562 |
Apr. 15, 2005 |
Asset Equity Group, Inc., Household Direct, Inc., International Brands, Inc., Interspace Enterprises, Inc., J.S.J. Capital II, Inc., Mega Micro Technologies Group, Inc., S D E Holdings 2, Inc., Vertical Computer Systems, Inc., and VSAT Net, Inc.
|
|
34-51560 |
Apr. 15, 2005 |
Raffi Oghlian
|
|
34-51557 |
Apr. 15, 2005 |
Van der Moolen Specialists, USA, LLC
|
|
34-51556 |
Apr. 15, 2005 |
Spear, Leeds & Kellogg Specialists LLC
|
|
34-51555 |
Apr. 15, 2005 |
SIG Specialists, Inc.
|
|
34-51554 |
Apr. 15, 2005 |
Performance Specialist Group LLC
|
|
34-51553 |
Apr. 15, 2005 |
LaBranche & Co. LLC
|
|
34-51552 |
Apr. 15, 2005 |
Fleet Specialist, Inc.
|
|
34-51551 |
Apr. 15, 2005 |
Bear Wagner Specialists LLC
|
|
34-51548 |
Apr. 15, 2005 |
Hosoi Garden Mortuary, Inc.
|
|
34-51547 |
Apr. 15, 2005 |
Progressive Software Holding, Inc.
|
|
34-51546 |
Apr. 15, 2005 |
PAT Services, Inc. (f/k/a Arthur Treachers Inc. /DE/ and Arthur Treacher's, Inc.)
|
|
34-51538 |
Apr. 13, 2005 |
David Hutter (a/k/a David Green)
|
|
34-51537 |
Apr. 13, 2005 |
Tekron, Inc.
|
|
34-51536 |
Apr. 12, 2005 |
Advanced Solutions & Technologies, Inc., Comparator Systems Corp., Emerging Enterprise Solutions, Inc., and Shaman Pharmaceuticals, Inc.
|
|
34-51532 |
Apr. 12, 2005 |
Allen S. Freed
|
|
34-51531 |
Apr. 12, 2005 |
Marc N. Siegel
|
|
34-51530 |
Apr. 12, 2005 |
vFinance Investments, Inc.
|
|
34-51529 |
Apr. 12, 2005 |
Drkoop.Com, Inc., 1st Miracle Entertainment, Inc., and United States Crude International, Inc.
|
|
34-51528 |
Apr. 12, 2005 |
Saverio (Sammy) Galasso, III
|
|
34-51527 |
Apr. 12, 2005 |
Gateway International Holdings, Inc. and Lawrence A. Consalvi
Note: See also the
Order in this matter
|
|
33-8566 |
Apr. 12, 2005 |
David A. Finnerty, Donald R. Foley II, Scott G. Hunt, and Thomas J. Murphy – formerly of Fleet Specialist, Inc.; Kevin M. Fee and Frank A. Delaney IV of Bear Wagner Specialists LLC; Freddy DeBoer – formerly of LaBranche & Co. LLC; Todd J. Christie, James V. Parolisi, Robert W. Luckow, Patrick E. Murphy and Robert A. Johnson, Jr. – formerly of Spear Leeds & Kellogg Specialists LLC; and Patrick J. McGagh, Jr., Joseph Bongiorno, Michael J. Hayward, Richard P. Volpe, Michael F. Stern, Warren E. Turk, Gerard T. Hayes and Robert A. Scavone, Jr. – formerly of Van der Moolen Specialists USA, LLC
Other Release No.: 34-51525
Note: See also the
Order in this matter
|
|
34-51524 |
Apr. 12, 2005 |
New York Stock Exchange, Inc.
|
|
34-51518 |
Apr. 11, 2005 |
Charles Zandford
|
|
34-51517 |
Apr. 11, 2005 |
Global Crossing Ltd., Thomas J. Casey, Dan J. Cohrs, and Joseph P. Perrone
Other Release No.: AAER-2231
|
|
34-51516 |
Apr. 11, 2005 |
Gregory Davis, CPA and BKR Metcalf Davis
Other Release No.: AAER-2229
|
|
34-51509 |
Apr. 8, 2005 |
James E. Iverson
|
|
34-51508 |
Apr. 8, 2005 |
Victor P. Dhooge
|
|
34-51506 |
Apr. 7, 2005 |
Easylink Services Corporation, f.k.a. Mail.com, Inc. and Debra McClister, CPA
Other Release No.: AAER-2227
|
|
34-51505 |
Apr. 7, 2005 |
Charles Dwain Davis, Jr.
|
|
34-51501 |
Apr. 7, 2005 |
Stephen C. Jones, CPA
Other Release No.: AAER-2225
|
|
34-51495 |
Apr. 6, 2005 |
Bear Wagner Specialists LLC
|
|
34-51494 |
Apr. 6, 2005 |
Fleet Specialist, Inc.
|
|
34-51493 |
Apr. 6, 2005 |
LaBranche & Co. LLC
|
|
34-51492 |
Apr. 6, 2005 |
Spear, Leeds & Kellogg Specialists LLC
|
|
34-51491 |
Apr. 6, 2005 |
Van der Moolen Specialists, USA, LLC
|
|
34-51490 |
Apr. 6, 2005 |
Performance Specialist Group LLC
|
|
34-51489 |
Apr. 6, 2005 |
SIG Specialists, Inc.
|
|
34-51488 |
Apr. 6, 2005 |
John D. Clutten
Other Release No.: AAER-2224
|
|
33-8564 |
Apr. 6, 2005 |
William T. Belko
Other Release No.: 34-51487; IA-2375
|
|
IA-2374 |
Apr. 6, 2005 |
Michael T. Jackson and EGM Capital
|
|
33-8563 |
Apr. 6, 2005 |
Charles W. Crouse, Jr.
Other Release No.: 34-51480
|
|
34-51475 |
Apr. 5, 2005 |
Jess L. Mercer
|
|
34-51473 |
Apr. 4, 2005 |
Denis Timothy O'Brien
|
|
34-51470 |
Apr. 1, 2005 |
Vertical Computer Systems, Inc.
|
|
34-51469 |
Apr. 1, 2005 |
Asset Equity Group, Inc., Household Direct, Inc., International Brands, Inc., Interspace Enterprises, Inc., J.S.J. Capital II, Inc., Mega Micro Technologies Group, Inc., S D E Holdings 2, Inc., Vertical Computer Systems, Inc., and VSAT Net, Inc.,
|
|
34-51466 |
Apr. 1, 2005 |
Asia Pulp & Paper Company, Ltd.
|
| First Quarter |
|
33-8562 |
Mar. 31, 2005 |
Richard H. Dorfman
|
|
34-51461 |
Mar. 31, 2005 |
Tamarak, Inc.
|
|
34-51455 |
Mar. 31, 2005 |
Amitelo Communications, Inc.and Whitehall Enterprises, Inc.
|
|
34-51442 |
Mar. 29, 2005 |
Mark M. Iwan, CPA
Other Release No.: AAER-2220
|
|
IA-2372 |
Mar. 25, 2005 |
Victor G. Nance
|
|
34-51435 |
Mar. 25, 2005 |
Thomas C. Trauger, CPA |
|
34-51427 |
Mar. 24, 2005 |
Flowserve Corporation, C. Scott Greer, and
Michael Conley
|
|
34-51422 |
Mar. 23, 2005 |
Lewis Henry Hodge and Brett John Dohner
|
|
IA-2371 |
Mar. 23, 2005 |
Peter N. Brant
|
|
33-8557 |
Mar. 23, 2005 |
Citigroup Global Markets, Inc.
Other Release No.: 34-51415
|
|
33-8556 |
Mar. 23, 2005 |
Capital Analysts Incorporated
Other Release No.: 34-51414
|
|
IA-2370 |
Mar. 23, 2005 |
Putnam Investment Management, LLC
Other Release No.: IC-26788;
|
|
34-51409 |
Mar. 22, 2005 |
Michael Kordich, Joseph Catapano, and Aaron Andrzejewski
Note: See also the
Order in this matter
|
|
34-51408 |
Mar. 22, 2005 |
Robert T. Kirk, Jr.
|
|
34-51406 |
Mar. 22, 2005 |
Robertson Stephens, Inc.
|
|
34-51405 |
Mar. 22, 2005 |
Select Media Communications, Inc.
|
|
34-51404 |
Mar. 21, 2005 |
Charles Zandford
Note: See also the
Order in this matter
|
|
34-51403 |
Mar. 21, 2005 |
Koji Goto
Other Release No.: IA-2368
|
|
34-51402 |
Mar. 21, 2005 |
Allen Andrescu, Richard Brower, Mark Coates, Tejbir Singh, and Vikram Randhawa
|
|
34-51400 |
Mar. 21, 2005 |
James W. Barge, Pascal Desroches, and Wayne H. Pace
Other Release No.: AAER-2215
|
|
34-51396 |
Mar. 18, 2005 |
Yolanda Velazquez
|
|
34-51387 |
Mar. 17, 2005 |
Infotopia, Inc.
Note: See also the
Order in this matter
|
|
34-51384 |
Mar. 16, 2005 |
Robert A. Tommassello
Note: See also the
Order in this matter
|
|
IA-2367 |
Mar. 16, 2005 |
Bridgeway Capital Management, Inc. and John Noland Ryan Montgomery
|
|
34-51383 |
Mar. 16, 2005 |
CMKM Diamonds, Inc.
Note: See also the
Order in this matter
|
|
34-51381 |
Mar. 16, 2005 |
Frederick J. Gilliland
|
|
34-51378 |
Mar. 16, 2005 |
Mark D. Montana
Other Release No.: IA-2366
|
|
34-51377 |
Mar. 15, 2005 |
Bryan James Hawes
Other Release No.: IA-2365
|
|
34-51376 |
Mar. 15, 2005 |
Charles Cini and Gordon Novak
Note: See also the
Order in this matter
|
|
34-51375 |
Mar. 15, 2005 |
Bryan K. Treadway, CPA
Other Release No.: AAER-2212
|
|
34-51374 |
Mar. 15, 2005 |
Jennifer J. Tanner, f/k/a Jennifer J. Black
Other Release No.: AAER-2211
|
|
34-51373 |
Mar. 15, 2005 |
Mark A. Schumacher
Other Release No.: AAER-2210
|
|
34-51357 |
Mar. 10, 2005 |
Amitelo Communications, Inc., and Whitehall Enterprises, Inc.
|
|
34-51353 |
Mar. 10, 2005 |
First Pacific Networks, Inc. |
|
34-51349 |
Mar. 9, 2005 |
C. Dennis McKittrick
|
|
34-51345 |
Mar. 9, 2005 |
William H. Rogers
|
|
34-51335 |
Mar. 9, 2005 |
Edward Landenbaum
|
|
33-8553 |
Mar. 4, 2005 |
William W. Canfield
Other Release Nos.: 34-51321; AAER-2203
|
|
33-8552 |
Mar. 4, 2005 |
Talx Corporation
Other Release Nos.: 34-51320; AAER-2202
|
|
33-8551 |
Mar. 3, 2005 |
Eddie Richard Meche
Other Release Nos.: 34-51315; AAER-2198
|
|
34-51314 |
Mar. 3, 2005 |
Saverio (Sammy) Galasso III
Note: See also the
Order in this matter
|
|
34-51311 |
Mar. 3, 2005 |
David Hutter (A/K/A David Green)
Note: See also the
Order in this matter
|
|
34-51308 |
Mar. 3, 2005 |
Norman P. Rounds
|
|
34-51307 |
Mar. 3, 2005 |
Thomas C. Trauger, CPA
Other Release No.: AAER-2196
|
|
33-8548 |
Mar. 2, 2005 |
CIBC Mellon Trust Company
|
|
33-8547 |
Mar. 2, 2005 |
CIBC Mellon Trust Company
Other Release No.: 34-51299
|
|
33-8546 |
Mar. 2, 2005 |
CIBC Mellon Trust Company
Other Release No.: 34-51298
|
|
34-51297 |
Mar. 2, 2005 |
CIBC Mellon Trust Company
|
|
34-51288 |
Mar. 2, 2005 |
Scott F. Mccreadie
Other Release No.: IA-2364
|
|
34-51287 |
Mar. 2, 2005 |
Roberto E. Veitia
|
|
34-51270 |
Feb. 28, 2005 |
L.H. Ross & Company, Inc. |
|
34-51266 |
Feb. 25, 2005 |
Norman R. Hess |
|
34-51259 |
Feb. 25, 2005 |
Thomas C. Trauger, CPA, and Michael Mullen, CPA
Other Release No.: AAER-2191 |
|
IA-2363 |
Feb. 25, 2005 |
Colley Asset Management, Inc., and John E. Colley |
|
33-8541 |
Feb. 23, 2005 |
Harold Engel, Jr.
|
|
34-51241 |
Feb. 23, 2005 |
Roger A. Householder
Other Release No.: IA-2361
|
|
34-51364 |
Feb. 18, 2005 |
Vladislav Steven Zubkis
|
|
34-51222 |
Feb. 17, 2005 |
Ulysses "Thomas" Ware
|
|
34-51219 |
Feb. 17, 2005 |
Brean Murray & Co., Inc.
Other Release No.: IC-26761
|
|
34-51218 |
Feb. 17, 2005 |
L. Van Stillman
|
|
34-51207 |
Feb. 15, 2005 |
Gerald F. Hunter, Jr.
|
|
34-51204 |
Feb. 15, 2005 |
Select Media Communications, Inc.
Note: See also the
Order in this matter
|
|
34-51203 |
Feb. 15, 2005 |
Eagletech Communications, Inc.
Note: See also the
Order in this matter
|
|
34-51202 |
Feb. 15, 2005 |
DrKoop.Com, Inc., 1st Miracle Entertainment, Inc., and United States Crude International, Inc.; Advanced Solutions & Technologies, Inc., Comparator Systems Corp., Emerging Enterprise Solutions, Inc., and Shaman Pharmaceuticals, Inc.; Amitelo Communications, Inc. and Whitehall Enterprises, Inc.
Note: See also the
Order in this matter
(DrKoop.Com, Inc., 1st Miracle Entertainment, Inc., and United States Crude International, Inc.)
Note: See also the
Order in this matter
(Advanced Solutions & Technologies, Inc., Comparator Systems Corp., Emerging Enterprise Solutions, Inc., and Shaman Pharmaceuticals, Inc.)
Note: See also the
Order in this matter
(Amitelo Communications, Inc., and Whitehall Enterprises, Inc.)
Note: See also the
Order in this matter
(Amitelo Communications, Inc., y Whitehall Enterprises, Inc.)
|
|
34-51200 |
Feb. 14, 2005 |
J.P. Morgan Securities Inc.
|
|
34-51199 |
Feb. 14, 2005 |
GE InVision, Inc. (formerly known as InVision Technologies, Inc.)
Other Release No.: AAER-2186
|
|
34-51198 |
Feb. 14, 2005 |
FFP Marketing Company, Inc., Warner Williams, and Craig Scott, CPA
Other Release No.: AAER-2185
|
|
34-51196 |
Feb. 14, 2005 |
Digi Link Technologies, Inc.
|
|
34-51194 |
Feb. 11, 2005 |
Investment Technology
Note: See also the
Order in this matter
|
|
34-51193 |
Feb. 11, 2005 |
Greentech USA, Inc., Information Architects Corporation and Tekron, Inc.
Note: See also the
Order in this matter
(Greentech USA, Inc.)
Note: See also the
Order in this matter
(Information Architects Corporation)
Note: See also the
Order in this matter
(Tekron, Inc.)
|
|
34-51191 |
Feb. 11, 2005 |
Gary F. Pado, CPA
Other Release No.: AAEAR-2184
|
|
IA-2359 |
Feb. 10, 2005 |
Scott B. Kaye
|
|
IA-2358 |
Feb. 10, 2005 |
Bridgeway Capital Management, Inc. and John Noland Ryan Montgomery
|
|
IA-2354 |
Feb. 9, 2005 |
Erik Gustafson
Other Release No.: IC-26755
|
|
IA-2352 |
Feb. 9, 2005 |
Joseph Palombo
Other Release No.: IC-26753
|
|
33-8538 |
Feb. 9, 2005 |
Banc of America Capital Management, LLC, BACAP Distributors, LLC, and Banc of America Securities, LLC
Other Release Nos.: 34-51167; IA-2355; IC-26756
|
|
33-8537 |
Feb. 9, 2005 |
Peter Martin
Other Release Nos.: 34-51166; IA-2353; IC-26754
|
|
33-8534 |
Feb. 9, 2005 |
Columbia Management Advisors, Inc. and Columbia Funds Distributor, Inc.
Other Release Nos.: 34-51164; IA-2351; IC-26752
|
|
33-8533 |
Feb. 9, 2005 |
MarketXT, Inc. and Irfan Amanat
Other Release Nos.: 34-51162; IA-2350
Note: See also the
Order in this matter
|
|
34-51161 |
Feb. 8, 2005 |
James T. Patten
|
|
34-51151 |
Feb. 8, 2005 |
Harold Miller
|
|
34-51141 |
Feb. 7, 2005 |
Keith Mohn
Other Release No.: IA-2349
|
|
IA-2347 |
Feb. 4, 2005 |
Michael G. Beckford
|
|
34-51134 |
Feb. 3, 2005 |
Dimitrios Kostopoulos
|
|
34-51132 |
Feb. 3, 2005 |
William Whelan
|
|
34-51131 |
Feb. 3, 2005 |
Scott F. McCreadie
Other Release No.: IA-2346
|
|
34-51130 |
Feb. 3, 2005 |
Harold F. Harris and Ronald E. Crews
|
|
34-51117 |
Feb. 1, 2005 |
Hunter Adams, James L. Bila, Christian Blake, and Joseph Mannino
|
|
34-51106 |
Jan. 31, 2005 |
Michael Sydney Newman
|
|
34-51090 |
Jan. 28, 2005 |
Raymond James Financial Services, Inc., J. Stephen Putnam and
David Lee Ullom
|
|
34-51089 |
Jan. 28, 2005 |
Morgan Cooper, Inc.
Note: See also the
Order in this matter
|
|
34-51088 |
Jan. 28, 2005 |
Homeland Security Technology, Inc.
|
|
34-51084 |
Jan. 27, 2005 |
Michael C. Mullen, CPA |
|
34-51081 |
Jan. 26, 2005 |
Jonathan B. Orlick, Esq.
Other Release No.: AAER-2177
|
|
33-8526 |
Jan. 25, 2005 |
Steven Wise and Vladlen "Larry" Vindman
Other Release No.: 34-51077
|
|
34-51074 |
Jan. 24, 2005 |
William H. Black
Other Release No.: IA-2344
|
|
34-51073 |
Jan. 24, 2005 |
Robert C. Guccione
Other Release No.: AAER-2174
|
|
33-8525 |
Jan. 24, 2005 |
Daisytek International Corporation
Other Release Nos.: 34-51072; AAER-2172
|
|
34-51065 |
Jan. 21, 2005 |
Monte S. Colbert, CPA
Other Release No.: AAER-2171
|
|
IA-2343 |
Jan. 21, 2005 |
Massachusetts Financial Services Company
Other Release No.: IC-26724
|
|
34-51059 |
Jan. 19, 2005 |
Asset Equity Group, Inc., Household Direct, Inc., International Brands, Inc., Interspace Enterprises, Inc., JSJ Capital II, Inc., Mega Micro Technologies Group, Inc., S D E Holdings 2, Inc., Vertical Computer Systems, Inc., and Vsat Net, Inc.
|
|
33-8524 |
Jan. 19, 2005 |
John M. Dutton
|
|
34-51057 |
Jan. 19, 2005 |
Martin Julien Marks, CPA
Other Release No.: AAER-2170
|
|
34-51056 |
Jan. 19, 2005 |
PricewaterhouseCoopers LLP
Other Release No.: AAER-2169
|
|
34-51045 |
Jan. 14, 2005 |
Daniel S. Lezak
Other Release No.: AAER-2175
|
|
33-8523 |
Jan. 13, 2005 |
Google, Inc. and David C. Drummond
|
|
34-51017 |
Jan. 11, 2005 |
Lawrence S. Powell and Delano N. Sta.Ana
|
|
34-51013 |
Jan. 11, 2005 |
American Multiplexer Corp., DMT Energy, Inc., JTS Corp., and
Webvan Group, Inc.
|
|
34-51008 |
Jan. 10, 2005 |
Michael A. Lomas and Michael L. Young
|
|
33-8521 |
Jan. 10, 2005 |
Southwest Securities, Inc.
|
|
34-51002 |
Jan. 10, 2005 |
Southwest Securities, Inc., Daniel R. Leland, Kerry M. Rigdon, and Kevin J. Marsh
Other Release Nos.: IA-2341; IC-26721
|
|
34-50995 |
Jan. 7, 2005 |
Ronald J. Hottovy, CPA
Other Release No.: AAER-2163
|
|
34-50993 |
Jan. 7, 2005 |
American Multiplexer Corp., DMT Energy, Inc. JTS Corp., and Webvan Group, Inc.
|
|
34-50991 |
Jan. 7, 2005 |
S D E Holdings 2, Inc. |
|
34-50990 |
Jan. 7, 2005 |
VSAT Net, Inc. |
|
34-50989 |
Jan. 7, 2005 |
J.S.J. Capital II, Inc. |
|
34-50987 |
Jan. 6, 2005 |
BroadVision, Inc.
Other Release No.: AAER-2161
|
|
34-50986 |
Jan. 6, 2005 |
Thomas T. Prousalis, Jr.
|
|
34-50983 |
Jan. 6, 2005 |
Derrick N. McKinney and Rick R. Malizia
Note: See also the
Order vacating default
|
|
34-50978 |
Jan. 6, 2005 |
Monsanto Company
Other Release No.: AAER-2160
|
|
34-50966 |
Jan. 6, 2005 |
Richard M. Wooten, CPA
Other Release No.: AAER-2158
|
|
34-50963 |
Jan. 5, 2005 |
Mark D. Montana
Other Release No.: IC-2338
Note: See also the
Order in this matter
|
|
34-50961 |
Jan. 5, 2005 |
Abacan Resources Corp. and Heroes, Inc.
|
|
34-50954 |
Jan. 3, 2005 |
John A. Carley, et al.
|
http://www.sec.gov/litigation/admin/adminarchive/adminarc2005.shtml
|
