Litigation Releases Archives 1997

Archive of older Litigation Releases available include:

Fourth Quarter | Third Quarter | Second Quarter | First Quarter

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Release No.	Date	Action
Fourth Quarter
LR-15599	Dec. 22, 1997	Robert Howard and Robert E. Verrando
LR-15598	Dec. 22, 1997	William Madon
LR-15597	Dec. 19, 1997	Stephen Desimone, Francis Decabia and Gary Moody
LR-15605	Dec. 23, 1997	Emanuel Pinez
LR-15604	Dec. 23, 1997	Gene Block, Individually and d/b/a Block Consulting Services, Renate Haag, Individually and d/b/a Haag + Partner, and Robert T. Riley, Individually and d/b/a The Roberts Group
LR-15603	Jan. 5, 1998	Millennium Software Solutions, Inc. and Mark Shkolir
LR-15602	Dec. 23, 1997	Nicholas A. Zahareas, Tuschner & Company, Inc. and John M. Tuschner, Defendants and Euroamerican Securities S.A.
LR-15601	Dec. 23, 1997	Capital Acquisitions, Inc., The Somerset Group, Inc., Wayne Notwell and Clealon Mann
LR-15600	Dec. 22, 1997	Barclay Davis and World Syndicators, Inc.
LR-15596	Dec. 18, 1997	Sanjeev "Tony" Sachdeva and Nasim "Nicky" Aziz
LR-15595	Dec. 18, 1997	George Badger, Golf Communities of America, Inc., F.K.A. Golf Ventures, Inc., Duane Mar.ant, Stephen Spencer, Karl Badger, Marion Sherrill, Harmon S. Hardy, La Jolla Capital Corporation, Harold B. Gallison, Jr., Terry Hughes, Marvin Susemihl, David Rosenthal, andrew Sears, and William Slone; andrew Scudiero, Eric Nicholsberg, Dominick Caputo, Dominick Chieco, Craig Marino, Mat Matles, Anthony Selvaduri, Michael Dreitlein, Anthony Giambrone, Ian Hosang, and Frank Hartmann; Leonard Alexander Ruge, Richard Wolff, Mac Beagelman, Michael Scott Symons, Richard Balber, Stephen Evers, Eugene Flaksman, Mark Furman, Alex Grinshpon, Daniel Kolchkov, Jeff Sanders, Alex Solon, Mark Zaborsky, and Jeffery Stone; Joseph Pignatiello, John Fasano, James Manas, Robert Marsik, Mark Pierce, Peter Mazzeo, and Constance Pignatiello; Jeffrey Szur, Bertram Slutsky, First National Equity Corp., F.K.A. J.S. Securities, Inc., Vadim Kaplun, Joseph Epstein, Cary Weinstein, David Gold, Ronald Gray, Alex Levin, Diane Lakin, Elaine Szur, and George Elian
LR-15594	Dec. 17, 1997	Calman H. Rifkin and Eva-Health, USA, Inc.
LR-15593	Dec. 17, 1997	Holly Holdings, Inc.
LR-15592	Dec. 12, 1997	Uniglobe Trading Company, Inc., et.al.
LR-15591	Dec. 15, 1997	John Gardner Black, Devon Capital Management, Inc., and Financial Management Sciences, Inc.
LR-15590	Dec. 11, 1997	Joseph P. Medsker, Unified Financial Services Agency Corp., and Unified Financial Services Advisory Corp.
LR-15589	Dec. 11, 1997	Raejean S. Bonham, World Plus, Inc., and Atlantic Pacific Funding Corporation
LR-15588	Dec. 10, 1997	Trinity Gas Corporation and Sidney W. Sers
LR-15587	Dec. 9, 1997	Karl L. Dahlstrom, et al.
LR-15586	Dec. 9, 1997	Roger D. Wyatt and David L. Holewinski
LR-15585	Dec. 9, 1997	Southwest Income Trust, et al.
LR-15584	Dec. 9, 1997	Viking Resources International, Inc.
LR-15583	Dec. 8, 1997	Millennium Software Solutions, Inc. and Mark Shkolir
LR-15582	Dec. 8, 1997	Trinity Gas Corporation and Sidney W. Sers
LR-15581	Dec. 8, 1997	James R. Frith, Jr. Chicago Partnership Board, Inc., Defendants, and Adbot, Inc
LR-15580	Dec. 4, 1997	Steven R. Jakubowski
LR-15579	Dec. 4, 1997	Joseph A. Bremont, Jimmy B. Sanchez, Comcar International, Ltd., Commercial Capital Resources, Inc., Loomis Ltd., Michael R. Spector, and R.P.S. Financial Group, Inc.
LR-15578	Dec. 4, 1997	Peter T. Caserta, Salvatore T. Marino, and Dana C. Verrill
LR-15577	Dec. 1, 1997	Harold E. Tobin
LR-15576	Dec. 1, 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-15574	Nov. 26, 1997	KS Resources et al.
LR-15573	Nov. 26, 1997	Seahawk Deep Ocean Technology, Inc., John C. Morris, Gregory H. Stemm and Daniel S. Bagley
LR-15572	Nov. 25, 1997	HealthTech International, Inc.
LR-15571	Nov. 25, 1997	Charles O. Huttoe et al.
LR-15570	Nov. 24, 1997	Integrated Waste Services, Inc.
LR-15569	Nov. 24, 1997	Steven Strauss
LR-15568	Nov. 21, 1997	Uniglobe Trading Company, Inc., et.al.
LR-15567	Nov. 20, 1997	KS Resources, et al.
LR-15566	Nov. 19, 1997	Paramount Capital Management, Inc. and "John Doe" a/k/a "Kenneth Bridget"
LR-15565	Nov. 20, 1997	Richard P. Poirier, Jr., James E. Eaton and Michael S. Devegter See also: Complaint in this matter
LR-15564	Nov. 18, 1997	CNC Trading Company, et al.
LR-15563	Nov. 18, 1997	John S. Nadolski
LR-15562	Nov. 17, 1997	John Logan
LR-15561	Nov. 14, 1997	Vincent Setteducate
LR-15560	Nov. 14, 1997	Charles Brumfield, Joseph Brumfield, Robert Allen, William Mylett, Joseph Penna, and Joseph Kenton Capital, Ltd
LR-15559	Nov. 13, 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-15558	Nov. 13, 1997	David W. Laing and PCO, Inc., D/B/A Personal Choice Opportunities
LR-15557	Nov. 12, 1997	Jerome C. Pinckney, Richard L. Arnold, Donald E. Elder, Fernando Cruz, Shaun K. R. Maxwell, Anthony Bukovich, and Six Capital Corporation
LR-15556	Nov. 12, 1997	Peter R. DeGeorge
LR-15555	Nov. 10, 1997	Teddy Wayne Solomon, Lisa Stevens, Platinum International, and Quantum Corp. a/k/a Quantum Trading
LR-15554	Nov. 7, 1997	Financial Advisers, Inc., American Capital Funding, Inc., and FW Advisers
LR-15553	Nov. 5, 1997	Shahryar Soroosh
LR-15552	Nov. 5, 1997	Vladislav Steven Zubkis, et al.
LR-15551	Nov. 5, 1997	Alan M. Stricoff
LR-15550	Nov. 4, 1997	Robert D. Gersh
LR-15549	Nov. 4, 1997	andrew S. Lane, Jack Lane, Jack O. Scher, Deborah S. Games, Craig L. Sampson, Bruce Sampson, and Tracy Ann Stoddart
LR-15548	Oct. 31, 1997	Bond D. Fletcher and Mediajet, Inc.
LR-15547	Oct. 30, 1997	Randall Smith Kuhlmann and David Sydney Darling
LR-15546	Oct. 30, 1997	Mitchell A. Hammer and Joseph Letzelter, Jr.
LR-15545	Oct. 29, 1997	Ronald J. Mitchellette and Robert Hardy
LR-15544	Oct. 28, 1997	Hernan Jose Perez
LR-15543	Oct. 27, 1997	Randall E. Bradbury, The Bradbury Financial Group, Inc., and T.B.F.G. International, Ltd.
LR-15542	Oct. 24, 1997	David Scott Heredia
LR-15541	Oct. 24, 1997	William D. Brosseau, et al.
LR-15540	Oct. 24, 1997	Roy Handojo
LR-15539	Oct. 24, 1997	Medco, Inc., et al.
LR-15538	Oct. 21, 1997	offshore Financial Corporation, et al.
LR-15537	Oct. 20, 1997	Bruce Van Wagner, et al.
LR-15536	Oct. 20, 1997	Gary W. Berus, Patricia S. Gale, Robert W. Harper and Nancy A. Swoffer
LR-15535	Oct. 20, 1997	Jerald Beagelman, Fred Lyman, Joseph Sanfellipo, and Elliot Stumacher
LR-15534	Oct. 16, 1997	Whitworth Energy Resources, Ltd., et al.
LR-15533	Oct. 16, 1997	Hernan Jose Perez
LR-15532	Oct. 9, 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-15531	Oct. 8, 1997	Cihaco International, Inc., Hartmut Haussecker, Bartley Carson Healy, and Tanya Llanes-Tarver
LR-15530	Oct. 7, 1997	Mark E. Gatch and Henry Benjamin Schmidt
LR-15529	Oct. 7, 1997	Atratech, Inc., Anthony Gurino, Vincent Sorena, Patrick Borello, Aug.o Aufiero, Stanley Kaplan, Francis J. O'Reilly, and Raymond Stankey
LR-15528	Oct. 6, 1997	Continental Wireless Cable Television, Inc., Robin J. Mcpherson, Jay R. Bishop and Gene R. Cardenaz
LR-15527	Oct. 6, 1997	James G. Hanley
LR-15526	Oct. 2, 1997	John Patrick Brink
LR-15525	Oct. 1, 1997	KS Resources, et al.
LR-15524	Oct. 2, 1997	Gerard Burns, et al.
LR-15523	Oct. 1, 1997	Russell S. Smith, et al.
LR-15522	Oct. 1, 1997	Jeffrey P. Sudikoff, Edward Cheramy and Rudy Wann
Third Quarter
LR-15521	Sep. 30, 1997	Francis X. Wazeter, III, et al.
LR-15520	Sep. 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	Sep. 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	Sep. 30, 1997	Brian E. Willis and William Sanchez
LR-15516	Sep. 30, 1997	Leonard Greer and Judah Wernick
LR-15515	Sep. 30, 1997	Sam Moore
LR-15514	Sep. 29, 1997	Phoenix Metals U.S.A. II, Inc., and Robert F. Flaherty
LR-15513	Sep. 26, 1997	Carlo D'Alelio
LR-15512	Sep. 26, 1997	Sage Technology, Inc., Jamie Edelkind, and William R. Thiele
LR-15511	Sep. 26, 1997	John Gardner Black, Devon Capital Management, Inc., and Financial Management Sciences, Inc.
LR-15510	Sep. 25, 1997	Harold J. Lee and Alfred Almeder
LR-15509	Sep. 25, 1997	Dale J. Lange, et al.
LR-15508	Sep. 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	Sep. 25, 1997	Michael Borlinghaus, Joseph Latona, Leonard Bellezza, Jeffrey F. Green, Joseph P. Greenwald, and Heinz Grein
LR-15506	Sep. 24, 1997	William H. Malek, Dean C. Turner and Michael L. Cooperstock
LR-15505	Sep. 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	Sep. 22, 1997	Barnard Sackett, John H. Schriek and Enviroland, Ltd.
LR-15503	Sep. 19, 1997	Terry Oneil Clifford, D/b/a Datasource Consulting Group
LR-15502	Sep. 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	Sep. 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	Sep. 18, 1997	Club Atlanta Travel, Inc., David L. Straub, Frank Garner, and Fred Garner
LR-15499	Sep. 17, 1997	Charles Anthony Ferracone, James W. Farrell, James L. Ericksteen, Gary L. Moore, Jill Hall, and Guido Bensberg
LR-15498	Sep. 17, 1997	MicroWest Industries, Inc. et al.
LR-15497	Sep. 17, 1997	Paul H. Borg
LR-15496	Sep. 17, 1997	The Geneva Group and Nicholas Garcia
LR-15495	Sep. 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	Sep. 15, 1997	Walter Clarence Busby, Jr.
LR-15493	Sep. 15, 1997	Alpha Diversified Industries, Inc., Ralph W. Leblanc, and Robert M. Bingham
LR-15492	Sep. 15, 1997	Roy Handojo
LR-15491	Sep. 12, 1997	Edward M. Collins
LR-15490	Sep. 12, 1997	Charles O. Huttoe, et al
LR-15489	Sep. 11, 1997	Bernard Zelenka
LR-15488	Sep. 11, 1997	Donald C. Ferguson, Renee Ferguson, David L. Fried, Albert L. Fried, and Matthew C. Ferry
LR-15487	Sep. 11, 1997	Maury H. Joseph and Allen E. Beni
LR-15486	Sep. 11, 1997	Channa Wickremeratne ("Channa Wick")
LR-15485	Sep. 11, 1997	Scientific Software-Intercomp, Inc.
LR-15484	Sep. 10, 1997	Michael Anthony Pierce, et al.
LR-15483	Sep. 10, 1997	Mark A. Ritacco, et al.
LR-15482	Sep. 23, 1996	Charles R. Cleveland, Sr.; Sep. 10, 1997
LR-15481	Sep. 9, 1997	Michael J. Oberholzer
LR-15480	Sep. 8, 1997	Phoenix Continental Corporation, Michael T. Honey, and Robert Johnston
LR-15479	Sep. 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	Sep. 8, 1997	Donald R. Moore, Individually and D/B/A International Society of Investors, et al.
LR-15477	Sep. 5, 1997	The Infinity Group Company, Geoffrey P. Benson and Geoffrey J. O'Connor, et. al.
LR-15476	Sep. 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	Sep. 4, 1997	Keith Knutsson and Kaldi, Inc.
LR-15474	Sep. 4, 1997	Wyatt Gene Ross, Lynn K. Ross, and Mickie E. Higgins-Hallke
LR-15473	Sep. 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	Sep. 4, 1997	Rob Nite, Philip L. Thomas, and David V. Sims
LR-15471	Sep. 4, 1997	Jason S. Wall
LR-15470	Sep. 4, 1997	Mark K. Curry and Joseph H. Curry
LR-15469	Sep. 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	Sep. 2, 1997	Richard Warren & Associates, Inc., et. al.
LR-15467	Sep. 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	Jul. 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	Jul. 29, 1997	Mitchell A. Hammer and Joseph Letzelter, Jr.
LR-15424	Jul. 28, 1997	Geoffrey Paul Adams
LR-15423	Jul. 28, 1997	First California Capital Markets Group, Inc., H. Michael Richardson and Derrick Dumont
LR-15422	Jul. 25, 1997	BioCoral Inc.
LR-15421	Jul. 24, 1997	Southwest Income Trust, Inc., et al
LR-15420	Jul. 24, 1997	Stuart Gregory Smith and Capital Investment Managers, Inc.
LR-15419	Jul. 24, 1997	Alexandra Elizabeth Montgomery, William Kenneth Nestor, Frederic Burgess and Harriet Gluck
LR-15418	Jul. 24, 1997	Stephen J. Murphy
LR-15417	Jul. 23, 1997	Policy Management Systems Corporation, George Larry Wilson, Robert L. Gresham, James P. Brown, David T. Bailey and Bernard C. Mazon
LR-15416	Jul. 18, 1997	Sunbelt Development Corporation, Wendell Rogers, Donald Hammond, and Willis Davis
LR-15415	Jul. 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	Jul. 16, 1997	Harold E. Tobin
LR-15413	Jul. 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	Jul. 16, 1997	Gray Hawk Fund Co., Salvatore Vecchio; Frederick J. Rice
LR-15411	Jul. 11, 1997	CD Alternatives, Inc and Clyde Keith LaMonda
LR-15410	Jul. 10, 1997	Stuart Gregory Smith and Capital Investment Managers, Inc.
LR-15409	Jul. 9, 1997	Patrick Borello
LR-15408	Jul. 8, 1997	Michael Anthony Chmiel
LR-15407	Jul. 8, 1997	Juan Carlos Martinez
LR-15406	Jul. 7, 1997	Barry L. King
LR-15405	Jul. 7, 1997	Felix, Inc.
LR-15404	Jul. 7, 1997	G. Gregory Russell
LR-15403	Jul. 2, 1997	Jerry G. Allison and Qualified Pensions, Inc.
LR-15402	Jul. 2, 1997	Affordable Prepaid Cellular, Inc. and John C. Rockett
LR-15401	Jul. 2, 1997	Dr. Jacob Y. Terner, Theodore W. Dutton, Dr. Nissan Kahen, Parviz Kahen, George Voigt and andrea Guillen Dutton
LR-15400	Jul. 2, 1997	B.M.C. Enterprises Inc. et al.
Second Quarter
LR-15399	Jun. 26, 1997	Emanuel Pinez
LR-15398	Jun. 26, 1997	Patrick R. Bennett, Michael A. Bennett, Charles Genovese, Gary Peiffer, Anthony Pavoni, and Thomas Pomposelli
LR-15397	Jun. 26, 1997	Frederick Liu
LR-15396	Jun. 26, 1997	Richard L. McAdoo
LR-15395	Jun. 25, 1997	J. Scott Eskind
LR-15394	Jun. 25, 1997	Mark E. Gatch and Henry Benjamin Schmidt
LR-15393	Jun. 24, 1997	Jury Matt Hansen, Fergus Sloan and Christie Hansen
LR-15392	Jun. 24, 1997	Bruce A. Milliken and Richard A. Crawford
LR-15391	Jun. 24, 1997	Nicholas F. Coscia
LR-15390	Jun. 20, 1997	Thomas Warde
LR-15389	Jun. 19, 1997	Michael Humphress
LR-15388	Jun. 19, 1997	Michelle P. Suppes and Mark Anthony
LR-15387	Jun. 16, 1997	Robert Clifford Cowan
LR-15386	Jun. 12, 1997	Wye Resources,Inc.
LR-15385	Jun. 11, 1997	Patrick J. Leonard and Peter P. Hartman
LR-15384	Jun. 11, 1997	Joseph C. Allegra,David Hersh, J. Lee Ledbetter
LR-15383	Jun. 10, 1997	Michael Green and Capital Resources Group, Inc.
LR-15382	Jun. 10, 1997	Kyle Weston
LR-15381	Jun. 2, 1997	Robert C. Cowan, CS Investments Trust, Cowan Asset Management, Inc.
LR-15380	Jun. 2, 1997	PanWorld Minerals International, Inc., Robert G. Weeks, Kenneth L. Weeks, David A. Hesterman, Larry Krasny, L.K. Management, Inc., Joseph Fabiilli, Puritan Communications, Inc., Jerome Wenger, Randall Gilbert
LR-15379	May 30, 1997	Nu-Life International of Georgia, Inc, Gene Arthur
LR-15378	May 30, 1997	Affordable Prepaid Cellular, Inc., John C. Rockett
LR-15377	May 30, 1997	Judy Hockett, Gayle Raisor, and Kevin Raisor
LR-15376	May 29, 1997	Ted Harold Westerfield
LR-15375	May 29, 1997	Steven W. Koinis
LR-15374	May 27, 1997	Broadcast Associates - I, Broadcast Acquisitions, Inc., Broadcast Holdings, Inc., Arthur A. Graves, III, and Gregory P. Moeller
LR-15373	May 22, 1997	Kenneth Mitchell Wiggins, Jr. and Wiggins & Company, Inc.
LR-15372	May 21, 1997	Balance for Life, Inc., Richard K. Steele, Jr.
LR-15371	May 21, 1997	Members Service Corporation, Philip Sung, John R. Silseth II, Union Securities Ltd., David Gilbert, Todd H. Moore, Charles V. Payne, Wall Street Strategies, Inc., Joseph Lanza, Kenneth O'Neal.
LR-15370	May 21, 1997	Sage Technology, Inc., William R. Thiele
LR-15369	May 21, 1997	Norman G. Cornelius, Avalon Custom Homes, Inc. Avalon Alliance Group, Inc..
LR-15368	May 16, 1997	Channa Wickremeratne a/k/a Channa Wick and Options Group Trading Company
LR-15367	May 16, 1997	Nycal Corporation
LR-15366	May 15, 1997	Stephen J. Murphy
LR-15365	May 13, 1997	Greenway Environmental Services, Inc., Alvin A. McCollum, Steven F. Broadbent, Rex L. Zimmerman
LR-15364	May 13, 1997	BeneFund, Inc. and Vernon R. Twyman, Jr.
LR-15363	May 13, 1997	A.R. Baron & Co., Inc., andrew Bressman, Roman Okin, Richard Acosta, Glenn O'Hare, Joseph Scanni, Brett Hirsch, Garvey Fox, Matthew Hirsch, Richard Simone, Charles Plia, Mark Goldman, John Mcandris and Jack Wolynez
LR-15362	May 12, 1997	James E. Washington, Jr., Dreams Unlimited Investment Group, Dreams Unlimited Investment, Inc., Concepts Unlimited Investment Group and Jacob N. Haynes
LR-15361	May 8, 1997	John F. Aptt, Financial Instruments Group, Financial Instruments Corporation, World Financial Instruments, Global Financial Instruments, International Financial Instruments, National Financial Instruments and Regional Financial Instruments
LR-15360	May 6, 1997	Southwest Income Trust; Advantage Income Trust; and Investors Trading Trust, Palo Verde 136, Inc., Steven R. Shoop, Advantage Marketing Group, Inc., Charles D. Brown, FLC Corporation, Donn K. Phillips and Anthony Ghirardello
LR-15359	May 5, 1997	Cary S. Greene, Mustang Development Corporation and Tower Operating Company
LR-15358	May 1, 1997	Shaun K.R. Maxwell
LR-15357	May 1, 1997	Marshall E. Melton
LR-15356	May 29, 1996	Douglas R. Damon, Robert M. Davis and Kenneth C. Kolovitz
LR-15355	Apr. 29, 1997	Gene Block and Robert T. Riley
LR-15354	Apil 29, 1997	Gary J. DiVall and Paul E. Magnuson
LR-15353	Apr. 29, 1997	Bradley J. Simmons and American Energy Group, Ltd.
LR-15352	Apr. 29, 1997	David A. Schmidt and Willard A. Whitehurst
LR-15351	Apr. 25, 1997	Lum Kwan Sung
LR-15350	Apr. 24, 1997	J.R. Consulting, Inc.
LR-15349	Apr. 24, 1997	Charles E. Rose
LR-15348	Apr. 24, 1997	Joseph C. Kane, Jr.
LR-15347	Apr. 23, 1997	Jay R. Bishop
LR-15346	Apr. 23, 1997	Joseph Latona and Jeffrey F. Green
LR-15345	Apr. 23, 1997	Jerry G. Kilgore
LR-15344	Apr. 22, 1997	Stephen J. Murphy a.k.a. Jack Davis
LR-15343	Apr. 22, 1997	Barry C. Nelsen and Ellis J. Tallant
LR-15342	Apr. 21, 1997	Tellus Industries, Inc. and Glen E. Burke
LR-15341	Apr. 21, 1997	Stanley J. Feminella
LR-15340	Apr. 18, 1997	Jeffrey E. Carter
LR-15339	Apr. 17, 1997	Philip Rennert, David Rex Yeaman, Michael Miller, George Jensen and Nolan Mendenhall
LR-15338	Apr. 17, 1997	Global Financial Traders, Ltd., BGSG Holding Corp., Michael R. Reilly, John J. Kenna, Vincent J. Iovine and David S. Coleman
LR-15337	Apr. 17, 1997	David E. Lipson
LR-15336	Apr. 17, 1997	Forrest Sygman
LR-15335	Apr. 17, 1997	Neil A. Liechty and Neil A. Liechty, Inc.
LR-15334	Apr. 15, 1997	Ong Congqin Bobby
LR-15333	Apr. 15, 1997	Timothy A. Hills and S.J. Windsor Capital Partners LLP
LR-15332	Apr. 15, 1997	Timothy J. Moriarty
LR-15331	Apr. 15, 1997	John K. Judd, Jr.
LR-15330	Apr. 15, 1997	NVID International, Inc., Matthew E. Klenovic, and Robert F. Bunte
LR-15329	Apr. 15, 1997	William Dennis Brosseau and Kenneth Wayne McKay
LR-15328	Apr. 11, 1997	James W. Hall
LR-15327	Apr. 11, 1997	David Earl Wallace, Earl Joseph Latiolais, David Stuart Zuckerman, and Joseph C. Lucio
LR-15326	Apr. 11, 1997	Enserco, Inc., Energy Service Company, John P. Brink, Anthony J. Leo and Frank Bravo, Jr.
LR-15325	Apr. 10, 1997	Structural Dynamics Research Corporation and Ronald J. Friedsam
LR-15324	Apr. 10, 1997	Kenneth P. Kasarjian and The Kenton Group, Inc.
LR-15323	Apr. 10, 1997	Eunice J. Leigh
LR-15322	Apr. 10, 1997	Dr. Milton Mutchnick, Renee Mutchnick, Michael DeWood, Dennis M. Gill, Yvonne Graham, Paul H. Holloway, William M. Leuchter, Richard Liebich, Dr. Panguluri, Dr. Ravindra Alapati and Dr. Syam Gaddam
LR-15321	Apr. 9, 1997	Michael Jonsson and Objective Invest Holding S.A.
LR-15320	Apr. 8, 1997	Donald E. Elder
LR-15319	Apr. 8, 1997	Asset Management and Research, Inc., Westview Capital, L.C., Trading Partners, L.C. and Trading Partners II, L.C.
LR-15318	Apr. 8, 1997	Peter M. Stanley
LR-15317	Apr. 7, 1997	NVID International, Inc., Matthew E. Klenovic and Robert F. Bunte
LR-15316	Apr. 4, 1997	Michelle P. Suppes and Mark Anthony
LR-15315	Apr. 4, 1997	Nilkanth Patel, Hasmukh Patel, Janak C. Patel, Janak M. Patel, and Kanubhai Patel
LR-15314	Apr. 3, 1997	Leslie John Gray
LR-15313	Apr. 2, 1997	Timothy A. Hills, S.J. Windsor Capital Partners LLP
LR-15312	Apr. 2, 1997	Chester Holdings, Ltd., Joseph Pignatiello, Constance Pinatiello, Christopher Werner
LR-15311	Apr. 1, 1997	Kenneth E. Rottenberg
First Quarter
LR-15310	Mar. 31, 1997	Robert D. Gersh, Boston Municipal Securities, Inc. and Devonshire Escrow
LR-15309	Mar. 31, 1997	Raeburn Evans, M.D.
LR-15308	Mar. 28, 1997	Gerald P. Hirsch and Churchill Mortgage Investment Corp.
LR-15307	Mar. 25, 1997	David I. Namer, Network Mortgage Services, Inc., Offshore Insurance Services, Inc., Meyers Pollock Robbins, Inc., Michael Ploshnick and Shelli Ploshnick
LR-15306	Mar. 25, 1997	Michael Anthony Pierce and Jocelyn Jane O'Rourke
LR-15305	Mar. 24, 1997	Environmental Chemicals Group, Inc.
LR-15304	Mar. 24, 1997	Gregg R. Shawzin, John H. Anderson and Jeffrey Sanker
LR-15303	Mar. 21, 1997	Paul Jay Shiffman
LR-15302	Mar. 20, 1997	Susan L. Hirsch
LR-15301	Mar. 19, 1997	Pamela Sue Topper
LR-15300	Mar. 18, 1997	Dunne Finance Limited
LR-15299	Mar. 18, 1997	Terry Plack
LR-15298	Mar. 17, 1997	Robert Pierce, Carrie L. Williams Pierce, and Pierce Investments Co.
LR-15297	Mar. 17, 1997	Matrix Investment Advisors, Inc., Security Financial, Inc., and Trustcap Financial Group, Inc.
LR-15296	Mar. 17, 1997	Steven W. Koinis Mar. 17, 1997
LR-15295	Mar. 14, 1997	Emanuel Pinez Mar. 14, 1997
LR-15294	Mar. 14, 1997	Jan Jusko
LR-15293	Mar. 14, 1997	Danny Sterk
LR-15292	Mar. 14, 1997	William Sedkey Saydein
LR-15291	Mar. 14, 1997	Global Financial Traders, Ltd., BGSG Holding Corp., Michael R. Reilly, John J. Kenna, Vincent J. Iovine, and David S. Coleman
LR-15290	Mar. 14, 1997	Barry L. King
LR-15289	Mar. 13, 1997	Walter E. Johnson and Rex E. Sanders
LR-15288	Mar. 13, 1997	Michael R. Warren
LR-15287	Mar. 13, 1997	Fernando Cruz
LR-15286	Mar. 12, 1997	Merle S. Finkel
LR-15285	Mar. 12, 1997	Alfred Volpe
LR-15284	Mar. 10, 1997	Business and Taxpayers Coalition for Affordable Housing
LR-15283	Mar. 10, 1997	Michael J. Colello
LR-15282	Mar. 11, 1997	Phillip John Milligan, a/k/a John Milligan
LR-15281	Mar. 11, 1997	W.S. Clearing, Inc., William Sedkey Saydein
LR-15280	Mar. 10, 1997	Gregg Michael Brenner and Pamela Sue Topper
LR-15279	Mar. 10, 1997	Hubert Leon Leopard and Richard E. Lopez
LR-15278	Mar. 10, 1997	Gary Alan Singer
LR-15277	Mar. 10, 1997	Robert N. Taylor
LR-15276	Mar. 7, 1997	First Interregional Advisors Corporation, First Interregional Equity Corporation and Richard Goettlich
LR-15275	Mar. 5, 1997	Personal Wealth Systems, Inc. and Gary M. Haiser
LR-15274	Mar. 4, 1997	Simon M. Rosenfeld, Terry D. Kochanowski and John F. Yakimczyk
LR-15273	Mar. 4, 1997	John Thomas Royall
LR-15272	Mar. 4, 1997	Mike Zaman, Smith, Benton & Hughes, Andrew S. Pitt, Conectisys Corporation, B & M Capital Corp., and Devon Investment Advisors, Inc.
LR-15271	Feb. 28, 1997	Charles L. Howard
LR-15270	Feb. 28, 1997	Joy L. Bouwkamp, Joe L. Hallock and Thomas M. Grahovac
LR-15269	Feb. 27, 1997	Neil A. Liechty and Neil Liechty, Inc.
LR-15268	Feb. 27, 1997	Michael Anthony Pierce
LR-15267	Feb. 27, 1997	Marshall E. Melton Asset Management and Research, Inc., Westview Capital, L.C. Trading Partners, L.C. and Trading Partners II, L.C.
LR-15266	Feb. 27, 1997	Triton Energy Corporation, Philip W. Keever and Richard L. McAdoo
LR-15265	Feb. 27, 1997	Roseann Martucci, Jay R. Hartman and Garr Management Services, Inc
LR-15264	Feb. 25, 1997	George Chelekis, KGC, Inc. and Hot Stocks Review, Inc.
LR-15263	Feb. 25, 1997	Lynn Roy Oyler
LR-15262	Feb. 21, 1997	Rolan Colon
LR-15261	Feb. 18, 1997	Sterling Foster & Company, Inc., Adam Lieberman, Craig Kellerman, Frank Monroig, Dennis Rueb
LR-15260	Feb. 18, 1997	Fabri-Centers of America, Inc., Robert L. Norton and Joseph E. Williams
LR-15259	Feb. 14, 1997	Kenneth J. Schulte
LR-15258	Feb. 14, 1997	Emanuel Pinez
LR-15257	Feb. 13, 1997	Dennis Williams, Steve Wertman, Kevin Woodbridge, Edward Donner, Edward T. Shea, Ronald Geraci, Sr., Gerard King, Raymond Kripaitis, Trent Gribben, Ronald Troy Mikulka, Douglas Diggins, and Edward Bracken
LR-15256	Feb. 13, 1997	Harvey P. Tabb, Donald R. Golan, American Ticketing Systems, Inc., Business Investment Group, Inc. and Socal Ameritix Limited Partnership
LR-15255	Feb. 13, 1997	John T. Hall, Joel Ciniero and Mark Keckeisen
LR-15254	Feb. 11, 1997	Thomas J. Farrell
LR-15253	Jan. 29, 1997	Linda A. Hodge and The Hodge Group, P.C.
LR-15252	Feb. 11, 1997	Digital Products Corporation
LR-15251	Feb. 10, 1997	Eddie Antar
LR-15250	Feb. 10, 1997	Lennox, S.A
LR-15249	Feb. 7, 1997	The AppleTree Companies, Inc.
LR-15248	Feb. 6, 1997	Linda M. King
LR-15247	Feb. 6, 1997	Ronald J. Mitchellette and Robert Hardy
LR-15246	Feb. 6, 1997	Ezra Chammah, Stanley Elbaum, David Schaen, Ira Gorman, and Angelo Petrotto
LR-15245	Feb. 5, 1997	Thomas Warde
LR-15244	Feb. 4, 1997	J.W. Korth & Co. and James Wilder Korth
LR-15243	Feb. 3, 1997	Silicon Graphics, Inc.
LR-15242	Feb. 3, 1997	David E. Freitag
LR-15241	Feb. 3, 1997	Ben Bush Investment Management, Inc
LR-15240	Feb. 3, 1997	Nicholas J. Pace
LR-15239	Feb. 3, 1997	One Naples Securities, Inc. and James Zimmerman
LR-15238	Jan. 31, 1997	Robert C. White
LR-15237	Jan. 31, 1997	Charles O. Huttoe
LR-15236	Jan. 30, 1997	Michael Levine
LR-15235	Jan. 30, 1997	Citi Financial Services, Citi Corp Realty Partners IV, Richard Thomas Mandell, Mark Morgenlender, and Mark Barquera and Mark Cabrerro
LR-15234	Jan. 30, 1997	Martin Kaiden and Martin Kaiden Company, Inc.
LR-15233	Jan. 30, 1997	Richard P. Brown
LR-15232	Jan. 30, 1997	Telecom Marketing, Inc., Telecom Industries, Inc., Midas Media, Inc., Brixel, Inc., and John Field, IV
LR-15231	Jan. 30, 1997	Richard L. Arnold
LR-15230	Jan. 29, 1997	Jay Marcus
LR-15229	Jan. 28, 1997	Mustang Development Corporation, Tower Operating Company, Neal B. Stein, Cary S. Greene, and Samuel Embras, Jr.
LR-15228	Jan. 28, 1997	Alexander Charles Fuentes
LR-15227	Jan. 28, 1997	Joseph Cusimano
LR-15226	Jan. 23, 1997	Eugene R. Valentine
LR-15225	Jan. 22, 1997	Gary W. Berus and Ronald W. Harper
LR-15224	Jan. 22, 1997	William P. Dillon
LR-15223	Jan. 22, 1997	Jacob Adoni and Victor Douenias
LR-15222	Jan. 21, 1997	Ellis Deyon
LR-15221	Jan. 21, 1997	Thomas Alger and William Mylett
LR-15220	Jan. 17, 1997	Cecil H. Suter
LR-15219	Jan. 17, 1997	Twenty-First Century, Capital Link Holding, Shields, Mariarossi, Marketing Concepts Group, Inc., I-Net Holdings, Inc., Michael Coyne, Apex Marketing, Inc., Capital Link, Inc., Frontline Consulting, Inc. and Twenty-First Century Connection, LP.
LR-15218	Jan. 17, 1997	Nicholas A. Rudi and Public Capital Advisors, Inc.
LR-15217	Jan. 16, 1997	Concept Capital Fund, Ltd., and Multinational Fund Management, Ltd.
LR-15216	Jan. 16, 1997	Robert Albert Merrifield
LR-15215	Jan. 15, 1997	Eugene D. Derry
LR-15214	Jan. 15, 1997	Mark Anthony and Michelle Suppes and Suppes Securities, Inc.
LR-15213	Jan. 15, 1997	RBF International, Inc., and Kenneth P. D'Angelo
LR-15212	Jan. 9, 1997	James S. Faller II
LR-15211	Jan. 9, 1997	Joseph P. Galluzzi
LR-15210	Jan. 9, 1997	Harold Goldstein and Robert Singleton
LR-15209	Jan. 8, 1997	Arie From
LR-15208	Jan. 6, 1997	Milton Weinger
LR-15207	Jan. 6, 1997	Cecil H. Suter
LR-15206	Jan. 6, 1997	Matthew E. Klenovic and Thomas R. Yearms Amendment Release LR-15206A: Matthew E. Klenovic, Thomas R. Yearms, Christopher P. Veltmann. May 14, 1997
LR-15205	Jan. 2, 1997	Michael Anthony Chmiel
LR-15204	Jan. 2, 1997	Ronald C. Black
LR-15203	Jan. 2, 1997	Harry C. Morgan, John G. Martines, and John F. Walsh