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Litigation Releases - Third Quarter 1997

Current Litigation Releases

Archives: 1995-2004

Release No. Date Action
LR-15521 Sept. 30, 1997 Francis X. Wazeter, III, et al.
LR-15520 Sept. 30, 1997 Robert Hunter, Edward R. Dudlik, Jr., Thomas F. Goldman, W. Kenneth Greenwood, Joseph Mckeon, Kathy Naumann, Benjamin Paul, Thomas B. Pileggi, John Rose, John Rose, Jr., Raymond F. White, and H. Constance Neff
LR-15519 Sept. 30, 1997 David R. Pfister, Richard G. Pfister, Ty Bartel, Nick A. Skansi, Nick L. Skansi, George S. Pharis, Chok-tat Tan, Jody L. Lafont, Jeffrey J. Jandegian, and Randolph R. Blackburn
LR-15517 Sept. 30, 1997 Brian E. Willis and William Sanchez
LR-15516 Sept. 30, 1997 Leonard Greer and Judah Wernick
LR-15515 Sept. 30, 1997 Sam Moore
LR-15514 Sept. 29, 1997 Phoenix Metals U.S.A. II, Inc., and Robert F. Flaherty
LR-15513 Sept. 26, 1997 Carlo D'Alelio
LR-15512 Sept. 26, 1997 Sage Technology, Inc., Jamie Edelkind, and William R. Thiele
LR-15511 Sept. 26, 1997 John Gardner Black, Devon Capital Management, Inc., and Financial Management Sciences, Inc.
LR-15510 Sept. 25, 1997 Harold J. Lee and Alfred Almeder
LR-15509 Sept. 25, 1997 Dale J. Lange, et al.
LR-15508 Sept. 25, 1997 Ferrofluidics Corporation, Ronald Moskowitz, Jan R. Kirk, Stephen P. Morin, Jerome Allen, Bruce S. Moody, and the 1991 RPM Irrevocable Trust
LR-15507 Sept. 25, 1997 Michael Borlinghaus, Joseph Latona, Leonard Bellezza, Jeffrey F. Green, Joseph P. Greenwald, and Heinz Grein
LR-15506 Sept. 24, 1997 William H. Malek, Dean C. Turner and Michael L. Cooperstock
LR-15505 Sept. 24, 1997 Whitworth Energy Resources, Ltd.; Williston Basin Holding Corp.; Amerivest Financial Group, Inc.; Peter Sacker; Jerry W. anderson; and Robert M. Kerns
LR-15504 Sept. 22, 1997 Barnard Sackett, John H. Schriek and Enviroland, Ltd.
LR-15503 Sept. 19, 1997 Terry Oneil Clifford, D/b/a Datasource Consulting Group
LR-15502 Sept. 27, 1996 ;Omni International Trading, Inc., Daniel J. Bubalo, John C. Hetherington, Michael A. Wilcox, Daniel L. Koehler, Brian E. Farley and Scott A.
LR-15501 Sept. 18, 1997 International Breeders, Inc., First Western Ostrich Corp., Ostrich Breeders of America, Inc., Nsa, Inc., Capital Management and Development Corp., Jeffrey Davis, Bob Stewart, Freddie Don Stewart, Steven Stewart, Homer Rios, Clifford Stahl and Rik Foxx
LR-15500

Sept. 18, 1997 Club Atlanta Travel, Inc., David L. Straub, Frank Garner, and Fred Garner
LR-15499 Sept. 17, 1997 Charles Anthony Ferracone, James W. Farrell, James L. Ericksteen, Gary L. Moore, Jill Hall, and Guido Bensberg
LR-15498 Sept. 17, 1997 MicroWest Industries, Inc. et al.
LR-15497 Sept. 17, 1997 Paul H. Borg
LR-15496 Sept. 17, 1997 The Geneva Group and Nicholas Garcia
LR-15495 Sept. 16, 1997 Telecom Marketing, Inc.; Telecom Industries, Inc.; Barry Smith; Midas Media, Inc.; Jeffrey Jolcover; Century Wireless Communications Corp.; Ron Schroeder; Tri-star Communications, Inc.; Paul Iwankowski; Brixel, Inc.; and John Field IV
LR-15494 Sept. 15, 1997 Walter Clarence Busby, Jr.
LR-15493 Sept. 15, 1997 Alpha Diversified Industries, Inc., Ralph W. Leblanc, and Robert M. Bingham
LR-15492 Sept. 15, 1997 Roy Handojo
LR-15491 Sept. 12, 1997 Edward M. Collins
LR-15490 Sept. 12, 1997 Charles O. Huttoe, et al
LR-15489 Sept. 11, 1997 Bernard Zelenka
LR-15488 Sept. 11, 1997 Donald C. Ferguson, Renee Ferguson, David L. Fried, Albert L. Fried, and Matthew C. Ferry
LR-15487 Sept. 11, 1997 Maury H. Joseph and Allen E. Beni
LR-15486 Sept. 11, 1997 Channa Wickremeratne ("Channa Wick")
LR-15485 Sept. 11, 1997 Scientific Software-Intercomp, Inc.
LR-15484 Sept. 10, 1997 Michael Anthony Pierce, et al.
LR-15483 Sept. 10, 1997 Mark A. Ritacco, et al.
LR-15482

Sept. 23, 1996 Charles R. Cleveland, Sr.; Sept. 10, 1997
LR-15481 Sept. 9, 1997 Michael J. Oberholzer
LR-15480 Sept. 8, 1997 Phoenix Continental Corporation, Michael T. Honey, and Robert Johnston
LR-15479 Sept. 8, 1997 American Business Securities, Inc., Southwest Energy Consultants, Inc., Western Energy Acquisitions, Inc., Trans Terra Corporation, International, MacArthur Asset Management, Inc., Barry J. Zimmermann, John L. Casperson, Jr., Jeffrey L. Casperson, Jerome L. Casperson, Joseph L. Casperson, Tim L. Epps, and Thomas A. Hicks
LR-15478 Sept. 8, 1997 Donald R. Moore, Individually and D/B/A International Society of Investors, et al.
LR-15477 Sept. 5, 1997 The Infinity Group Company, Geoffrey P. Benson and Geoffrey J. O'Connor, et. al.
LR-15476 Sept. 4, 1997 Hugh Thrasher, John H. anderson, Ezra Chammah, Stanley Elbaum, Scott Forbes, Guillermo Gomez a/k/a William Gomez, Stephen v.R. Goodhue, Jr., Ira Gorman, Gorman Commodities and Securities, Inc., Jonathan S. Hirsh, Ronald Kuznetsky, Darrell Sandy Marsh, Jack P. Marsh, Michael R. Newman, Roger K. Odwak, Angelo Petrotto, Lee Rosenblatt, Robert Sacks, Jeffrey A. Sanker, David Schaen, Leonard Schaen, Julian Schor, Gregg R. Shawzin, and Mark R. Shawzin
LR-15475 Sept. 4, 1997 Keith Knutsson and Kaldi, Inc.
LR-15474 Sept. 4, 1997 Wyatt Gene Ross, Lynn K. Ross, and Mickie E. Higgins-Hallke
LR-15473 Sept. 4, 1997 J. Bristow anderson, Bradley F. Bahret, Deborah D. Bahret, Lisa R. Burgess-Pittman, Linda A. Connor, George L. Gore, Jr., Moroni Leon Jensen, Stephen J. Katz, Charles R. Perry, Jr.
LR-15472 Sept. 4, 1997 Rob Nite, Philip L. Thomas, and David V. Sims
LR-15471 Sept. 4, 1997 Jason S. Wall
LR-15470 Sept. 4, 1997 Mark K. Curry and Joseph H. Curry
LR-15469 Sept. 3, 1997 Ellis L. Deyon, Bradley T. Gullett (individually, and D.B.A. "Gullet and Associates"), William Hanke, Dove Investment Group, Inc. Sherwood H. Craig
LR-15468 Sept. 2, 1997 Richard Warren & Associates, Inc., et. al.
LR-15467 Sept. 2, 1997 Digitran Systems, Inc., Donald G. Gallent and James R. Bryan
LR-15466 Aug. 28, 1997 Cihaco International, Inc., Hartmut Haussecker, Bartley Carson Healy and Tanya Llanes-Tarver
LR-15465 Aug. 28, 1997 Irving M. Mangel, Samuel J. Mangel, Thomas J. Ciocco and Edward W. Maskaly
LR-15464 Aug. 28, 1997 Karl L. Dahlstrom, et al.
LR-15463 Aug. 28, 1997 Michael J. Randy, et al.
LR-15462 Aug. 27, 1997 The Infinity Group Company, Geoffrey P. Benson and Geoffrey J. O'Connor, et. al.
LR-15461 Aug. 27, 1997 Frank A. M. Luca, Rudy Crosswell, and Paula G. Den Boer
LR-15460 Aug. 27, 1997 Timothy Ross, Douglas Coates, and John D. Peckskamp, Jr.
LR-15459 Aug. 26, 1997 Biltmore Securities, Inc.
LR-15458 Aug. 22, 1997 Wedgewood Financial Group, Inc., et al.
LR-15457 Aug. 21, 1997 American Growth Capital Corp., American Growth Fund I, LP, Growth Capital Resources Corp., Capital Growth Fund I, LP., Donna L. Snyder, Charles E. Duquette, Robert K. Kelly, Hugo v. Cianciulli, William M. McNary, Emanuel B. Nedwick, Jerome L. Glazov, and Christopher A. Paulick
LR-15456 Aug. 21, 1997 Robert J. Young, William Douglas Morgan, Russell Lozis and Beth Lombardo
LR-15455 Aug. 21, 1997 Richard Warren & Associates, Inc., et. al.
LR-15454 Aug. 21, 1997 Airship International Ltd.
LR-15453 Aug. 21, 1997 Timax I General Partnership, et al.
LR-15452 Aug. 21, 1997 Steve McMichael, et al.
LR-15451 Aug. 21, 1997 Ralph Wills, III and ProFinancial Advisors, Inc.
LR-15450 Aug. 20, 1997 Jozef A.C. van Stratum
LR-15447 Aug. 18, 1997 Tandem Management Inc., William F. Branston, Eugene B. Deveney and Peter S. Alsop
LR-15446 Aug. 18, 1997 andrew S. Pitt, Conectisys Corp., Devon Investment Advisors, Inc., B & M Capital Corp., Mike Zaman and Smith, Benton and Hughes, Inc.
LR-15445 Aug. 18, 1997 American Growth Capital Corp., American Growth Fund I, LP, Growth Capital Resources Corp., Capital Growth Fund I, LP., Donna L. Snyder, Charles E. Duquette, Robert K. Kelly, Hugo v. Cianciulli, William M. McNary, Emanuel B. Nedwick, Jerome L. Glazov, and Christopher A. Paulick
LR-15444 Aug. 15, 1997 Dhirein Patel
LR-15443 Aug. 15, 1997 William F. Kane
LR-15442 Aug. 15, 1997 Abdul Ismail, Ong Congqin Bobby, and Lum Kwan Sung
LR-15441 Aug. 13, 1997 Interactive Medical Technologies Ltd., William E. Shell, and Clark M. Holcomb
LR-15440 Aug. 12, 1997 American Growth Capital Corp., American Growth Fund I, LP, Growth Capital Resources Corp., Capital Growth Fund I, LP., Donna L. Snyder, Charles E. Duquette, Robert K. Kelly, Hugo V. Cianciulli, William M. McNary, Emanuel B. Nedwick, Jerome L. Glazov, and Christopher A. Paulick
LR-15439 Aug. 12, 1997 William M. Fisher
LR-15438

Aug. 11, 1997 Gregg Michael Brenner and Pamela Sue Topper
LR-15437 Aug. 11, 1997 Trans-American Ostrich Traders, Inc., Larry R. Earp, and David P. Silver
LR-15436 Aug. 7, 1997 Trustcap Financial Group, Inc., Matrix Investment Advisors, Inc., Security Financial, Inc., and Matrix Capital Management, Inc.;
LR-15435 Aug. 7, 1997 Steven H. Schiffer, Joann R. Schulz, Gary S. Kramer, Jonathan Solow, Frank J. Cannata, and Peter G. Mintz
LR-15434 Aug. 6, 1997 Michael Snowhite, BLS Consulting, Charles Boratgis, Paul Land, Jeffrey Stern, Shelley Olander, Morrey Wasserman, 900 Financial Services, L.L.C., David Kane, and Sam Sarcinelli D/B/A/ S&S Consulting
LR-15433 Aug. 6, 1997 Shahryar Soroosh
LR-15432 Aug. 5, 1997 Insnet World Communications, Inc.
LR-15431 Aug. 5, 1997 Southwest Income Trust, et al.
LR-15430 Aug. 4, 1997 Emmanuel A. Lagpacan, John A. Moreno and Kubasaki Associates, Inc
LR-15429 Aug. 4, 1997 Samir Traboulsi, et al.
LR-15428 Aug. 4, 1997 Atlantic Capital Corporation, Wall Street Marketing, Inc., Pullman Publications, Inc., Stephen DeCesare, Mark Missler, Patrick Kephart, Howard Jenkins, Scott Mijares, Robert Thomas Beatty, Vincent St. Clair Beatty, Michael Cardascia, David Scott Rossman, Adrian Wilson, Timothy B. Daley, and David M. Connochie
LR-15427 Aug. 1, 1997 Robert L. Gray
LR-15426 July 29, 1997 Charles Brumfield, Joseph Brumfield, Robert Allen, William Mylett, Joseph Penna, Joseph Cusimano, Alfred Volpe, James Galante, Thomas Alger, John O'Brien, Lawrence Friedman, Robert Flanagan, Thomas Flanagan, Sharon Seiden, Warren Smith, John Lynch, and Albert Brody
LR-15425 July 29, 1997 Mitchell A. Hammer and Joseph Letzelter, Jr.
LR-15424 July 28, 1997 Geoffrey Paul Adams
LR-15423 July 28, 1997 First California Capital Markets Group, Inc., H. Michael Richardson and Derrick Dumont
LR-15422 July 25, 1997 BioCoral Inc.
LR-15421 July 24, 1997 Southwest Income Trust, Inc., et al
LR-15420 July 24, 1997 Stuart Gregory Smith and Capital Investment Managers, Inc.
LR-15419 July 24, 1997 Alexandra Elizabeth Montgomery, William Kenneth Nestor, Frederic Burgess and Harriet Gluck
LR-15418 July 24, 1997 Stephen J. Murphy
LR-15417 July 23, 1997 Policy Management Systems Corporation, George Larry Wilson, Robert L. Gresham, James P. Brown, David T. Bailey and Bernard C. Mazon
LR-15416 July 18, 1997 Sunbelt Development Corporation, Wendell Rogers, Donald Hammond, and Willis Davis
LR-15415 July 16, 1997 United Fire Technology Inc., Beverlee Kamerling, WWBM Consultants, Inc., James Gartland, Charles F. Jones, Michael J. Hooper and Kenneth R. Starnes
LR-15414 July 16, 1997 Harold E. Tobin
LR-15413 July 16, 1997 Robert Hunter, Edward R. Dudlik Jr., Thomas F. Goldman, W. Kenneth Greenwood, Joseph McKeon, Kathy Naumann, Benjamin Paul, Thomas B. Pileggi, John Rose, John Rose Jr., Raymond White, H. Constance Neff
LR-15412 July 16, 1997 Gray Hawk Fund Co., Salvatore Vecchio; Frederick J. Rice
LR-15411 July 11, 1997 CD Alternatives, Inc and Clyde Keith LaMonda
LR-15410 July 10, 1997. Stuart Gregory Smith and Capital Investment Managers, Inc.
LR-15409 July 9, 1997 Patrick Borello
LR-15408 July 8, 1997 Michael Anthony Chmiel
LR-15407 July 8, 1997 Juan Carlos Martinez
LR-15406 July 7, 1997 Barry L. King
LR-15405 July 7, 1997 Felix, Inc.
LR-15404 July 7, 1997 G. Gregory Russell
LR-15403 July 2, 1997 Jerry G. Allison and Qualified Pensions, Inc.
LR-15402 July 2, 1997 Affordable Prepaid Cellular, Inc. and John C. Rockett
LR-15401 July 2, 1997 Dr. Jacob Y. Terner, Theodore W. Dutton, Dr. Nissan Kahen, Parviz Kahen, George Voigt and andrea Guillen Dutton
LR-15400 July 2, 1997 B.M.C. Enterprises Inc. et al.

http://www.sec.gov/litigation/litreleases/lit3q97.shtml


Modified: 02/14/2005