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Litigation Releases - Third Quarter 1997
|
| 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
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