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Administrative Proceedings
The list below provides links to notices and orders concerning the institution and/or settlement of administrative proceedings.
Release No. |
Date |
Respondents |
IA-2313 |
Oct. 13, 2004 |
Barry J. Goodman
Note: See also the Order in this matter
|
34-50535 |
Oct. 13, 2004 |
Van der Moolen Specialists USA, LLC
|
34-50534 |
Oct. 13, 2004 |
SIG Specialists, Inc.
|
34-50533 |
Oct. 13, 2004 |
Spear, Leeds & Kellogg Specialists LLC
|
34-50532 |
Oct. 13, 2004 |
Performance Specialist Group LLC
|
34-50531 |
Oct. 13, 2004 |
LaBranche & Co. LLC
|
34-50530 |
Oct. 13, 2004 |
Fleet Specialist, Inc.
|
34-50529 |
Oct. 13, 2004 |
Bear Wagner Specialists LLC
|
34-50524 |
Oct. 13, 2004 |
Piranha, Inc.
|
34-50522 |
Oct. 13, 2004 |
Harold B. Gallison, Jr., Terrence J. Hughes, and David Rosenthal
|
34-50519 |
Oct. 13, 2004 |
Ture Roland Fahlin
Other Release No.: AAER-2123
|
34-50517 |
Oct. 12, 2004 |
David A. Zimmerman
|
34-50516 |
Oct. 12, 2004 |
Joseph T. Falcone
|
34-50515 |
Oct. 12, 2004 |
Larry F. Smath
|
34-50512 |
Oct. 12, 2004 |
Soulfood Concepts, Inc.
Note: See also the Order in this matter
|
34-50507 |
Oct. 8, 2004 |
Raymond R. Cunningham
Other Release No.: IA-2312; IC-26630
|
34-50506 |
Oct. 8, 2004 |
Invesco Funds Group, Inc., AIM Advisors, Inc., and AIM Distributors, Inc.
Other Release No.: IA-2311; IC-26629
|
34-50504 |
Oct. 8, 2004 |
John N. Salerno
Note: See also the Order in this matter
|
34-50503 |
Oct. 8, 2004 |
Joseph J. Salerno, III and Richard S. Ginsberg
|
34-50496 |
Oct. 6, 2004 |
Calvin E. Moore, Jr.
|
IA-2310 |
Oct. 6, 2004 |
RS Investment Management, Inc., RS Investment Management, L.P., G. Randall Hecht and Steven M. Cohen
Other Release No.: IC-26627 |
34-50494 |
Oct. 5, 2004 |
Safescript Pharmacies, Inc., f/k/a RTIN Holdings, Inc., |
34-50493 |
Oct. 5, 2004 |
Fidelity National Capital Investors, Inc. |
34-50490 |
Oct. 5, 2004 |
Marc Wein |
34-50488 |
Oct. 4, 2004 |
Ashley Nemiroff, Rocco Siclari, George A. Carhart, Howard C. Zelin, Carl D'Elia, Craig A. Brandwein, and Donald R. Catapano |
34-50482 |
Oct. 1, 2004 |
Stanley B. Wasser |
34-50479 |
Sep. 30, 2004 |
Joseph L. Lents, Brian E. Baginski and Anthony V. Yonadi
Note: See also the Order in this matter
|
33-8499 |
Sep. 30, 2004 |
Raymond James Financial Services, Inc., J. Stephen Putnam, and David Lee Ullom
Other Release Nos.: 34-50476; IA-2309
Note: See also the Order in this matter
|
IA-2308 |
Sep. 30, 2004 |
Groh Asset Management, Inc. and Roger O. Groh |
34-50472 |
Sep. 29, 2004 |
Harold B. Gallison, Jr., Terrence J. Hughes and David Rosenthal |
34-50467 |
Sep. 29, 2004 |
Agra-Tech, Incorporated, Consolidated Oil & Gas, Inc., Kilimanjaro Group.Com Inc., New Hampshire Industrials, Inc., Oyster Creek Group Inc., Savannah River Group, Inc., 2KSounds Corporation, Xunantunich, Inc.
Note: See also the Order in this matter
|
34-50462 |
Sep. 28, 2004 |
Alan Brian Bond, and Albriond Capital Management, LLC
Other Release No.: IA-2307
|
34-50459 |
Sep. 28, 2004 |
Marshall S. Klein
Note: See also the Order in this matter
|
34-50455 |
Sep. 27, 2004 |
A.C.L.N. Limited
|
34-50444 |
Sep. 24, 2004 |
Robert Snyder and James Stamp
|
34-50440 |
Sep. 24, 2004 |
Donald L. Knight
Note: See also the Order in this matter
|
34-50439 |
Sep. 24, 2004 |
Franklin Marone
|
34-50438 |
Sep. 24, 2004 |
Emex Corporation
Note: See also the Order in this matter |
34-50437 |
Sep. 24, 2004 |
Michael Carnicle
Note: See also the Order in this matter |
IA-2305 |
Sep. 23, 2004 |
Kenneth B. MacQueen
Note: See also the Order in this matter |
33-8490 |
Sep. 23, 2004 |
Allen Z. Wolfson, Michael T. Grecco, John M. Black, Jr., Spiro Lazaretos, Robert Balsamo, Vladimir Carvallo, and Konstantinos Dino Sonitis
Other Release No.: 34-50435 |
34-50432 |
Sep. 23, 2004 |
Andrew S. Marks |
34-50429 |
Sep. 23, 2004 |
The Village Green Bookstore, Inc.
Note: See also the Order in this matter
|
34-50428 |
Sep. 23, 2004 |
John E. Isselmann, Jr.
Other Release No.: AAER-2108
|
34-50427 |
Sep. 23, 2004 |
John W. Adams and AIP, LLC |
34-50426 |
Sep. 23, 2004 |
General Electric Company |
34-50424 |
Sep. 22, 2004 |
Daniel S. Lezak
Other Release No.: AAER-2107 |
34-50422 |
Sep. 22, 2004 |
Edward J. Strafaci
Other Release No.: IA-2304 |
IA-2303 |
Sep. 22, 2004 |
Massachusetts Financial Services Company
Other Release No.: IC-26617 |
34-50421 |
Sep. 22, 2004 |
Eagle Building Technologies, Inc. |
34-50419 |
Sep. 22, 2004 |
EVTC, Inc. |
IA-2302 |
Sep. 21, 2004 |
Brandt, Kelly & Simmons, LLC and Kenneth G. Brandt
Note: See also the Order in this matter
|
IA-2301 |
Sep. 21, 2004 |
Kiely Financial Services, Inc. and Joseph K. Kiely |
IA-2300 |
Sep. 21, 2004 |
Rudney Associates, Inc. and Eric A. Rudney |
34-50415 |
Sep. 21, 2004 |
TD Waterhouse Investor Services, Inc.
Other Release No.: IA-2299 |
34-50407 |
Sep. 17, 2004 |
Alfred J. Flores |
34-50400 |
Sep. 16, 2004 |
Senetek PLC |
34-50397 |
Sep. 16, 2004 |
William Barney Thomas
Other Release No.: IA-2298 |
34-50396 |
Sep. 16, 2004 |
Cybergate, Inc., Cyber Tennis, Inc., Cyberwholesale, Inc., CathayOne, Inc., eLocity, Inc., Golden Opportunity Development Corp., J. A. B. Int'l, Inc., Maxx Int'l, Inc., Oasis Resorts Int'l, Inc.,Rollerball Int'l, Inc., U.S. Homes & Properties, Inc., Wichita Development Corp., Youthline USA, Inc., and ATC II, Inc. |
34-50387 |
Sep. 15, 2004 |
Robert Cord Beatty
Note: See also the Order in this matter
|
33-8489 |
Sep. 15, 2004 |
Taglich Brothers, Inc. and Richard C. Oh
Other Release No.: 34-50388 |
IA-2297 |
Sep. 15, 2004 |
Adam G. Kruger
Note: See also the Order in this matter
|
IA-2296 |
Sep. 15, 2004 |
Sagam Capital Management Corp. and Sagam Capital LLC |
34-50385 |
Sep. 15, 2004 |
McLeodUSA Incorporated
Other Release No.: AAER-2103 |
34-50384 |
Sep. 15, 2004 |
PA Fund Management LLC, PEA Capital LLC, and PA Distributors LLC
Other Release Nos.: IA-2295; IC-26598
|
34-50383 |
Sep. 15, 2004 |
Cary R. Kahn
See also: 34-50046
|
34-50382 |
Sep. 15, 2004 |
Anthony Gianninoto and Eileen Laine
Note: See also the Order in this matter
|
IA-2294 |
Sep. 15, 2004 |
Bridgeway Capital Management, Inc. and John Noland Ryan Montgomery |
33-8487 |
Sep. 14, 2004 |
Bruce Keith Jensen
Other Release Nos.: 34-50370; AAER-2102
|
33-8486 |
Sep. 14, 2004 |
Dean Foods Company and John D. Robinson,
Other Release No.: 34-50368; AAER-2100
|
33-8485 |
Sep. 14, 2004 |
Kemps LLC, f/k/a Marigold Foods, LLC, James Green and Christopher Thorpe
Other Release No.: 34-50369; AAER-2101
|
33-8484 |
Sep. 14, 2004 |
John K. Adams
Other Release No.: 34-50367; AAER-2098
|
33-8483 |
Sep. 14, 2004 |
Digital Exchange Systems, Inc., Rosario Coniglio and Steven Schmidt
Other Release No.: 34-50366; AAER-2099
|
33-8482 |
Sep. 14, 2004 |
Fleming Companies, Inc.
Other Release No.: 34-50365; AAER-2097
|
34-50363 |
Sep. 14, 2004 |
Kenneth A. Orr
Note: See also the Order in this matter
|
34-50362 |
Sep. 14, 2004 |
Michael Yeninas
Note: See also the Order in this matter
|
34-50360 |
Sep. 14, 2004 |
Charles Schwab & Co., Inc.
Other Release No.: IC-26595 |
34-50359 |
Sep. 14, 2004 |
Michael I. Nnebe, Nelson C. Walker, and Hildreth J. Fleming, Jr.
Note: See also the Order in this matter
|
34-50358 |
Sep. 13, 2004 |
Roberto E. Veitia
Note: See also the Order in this matter |
34-50354 |
Sep. 13, 2004 |
PA Fund Management LLC f/k/a PIMCO Advisors Fund Management LLC, PEA Capital LLC f/k/a PIMCO Equity Advisors LLC, and PA Distributors LLC f/k/a PIMCO Advisors Distributors LLC
Other Release Nos.: IA-2292, IC-26594
|
34-50353 |
Sep. 13, 2004 |
Robert C. Walters |
34-50352 |
Sep. 13, 2004 |
John A. D'Onofrio |
34-50351 |
Sep. 13, 2004 |
Dennis J. Oslosky |
34-50350 |
Sep. 13, 2004 |
Jason J. Riley |
34-50349 |
Sep. 13, 2004 |
Stan Lee Media, Inc.
|
34-50348 |
Sep. , 2004 |
Allen Andrescu, Richard Brower, Mark Coates, Tejbir Singh, and Vikram Randhawa
Note: See also the Order in this matter
|
34-50344 |
Sep. 10, 2004 |
Cheryl A. Swain |
34-50334 |
Sep. 9, 2004 |
Fiore J. Gallucci
|
34-50330 |
Sep. 8, 2004 |
Emanuele Cardaci
Note: See also the Order in this matter
|
33-8481 |
Sep. 8, 2004 |
John Gorman and Patrick Gentile
Other Release Nos.: 34-50329; AAER-2093 |
34-50321 |
Sep. 7, 2004 |
Harold B. Gallison, Jr., Terrence J. Hughes and David Rosenthal
Other Release No.:
Note: See also the Order in this matter
|
34-50320 |
Sep. 7, 2004 |
Frederick Tropeano
Note: See also the Order in this matter
|
34-50316 |
Sep. 3, 2004 |
David Abish, Christopher Betts, Mark Charvat, James Corcoran, Paul Feeny, Robert Pratt, Mario Rodriguez, Scott Siegel, Andrew Tursi and David Weeks
Note: See also the Order in this matter
|
34-50315 |
Sep. 3, 2004 |
Franklin Marone
Note: See also the Order in this matter
|
34-50314 |
Sep. 3, 2004 |
Michael Sydney Newman
Note: See also the Order in this matter
|
34-50313 |
Sep. 3, 2004 |
Piranha, Inc.
Note: See also the Order in this matter
|
34-50309 |
Sep. 2, 2004 |
Matter of Steven Bocchino and Sharon Harosh
Note: See also the Order in this matter
|
33-8480 |
Sep. 1, 2004 |
John A. Carley, Mark N. Dohlen, Eugene C. Geiger, Paul A. Giles, Roy E. Gould, Thomas A. Kaufmann, Alfred Peeper, Edward H. Price, Christopher H. Zacharias, Le Fond Mondial D'investissement S.A., and Spencer Edwards, Inc.
Other Release No.: 34-50303
Note: See also the Order in this matter
|
34-50301 |
Sep. 1, 2004 |
Vladislav Steven Zubkis
Note: See also the Order in this matter
|
34-50300 |
Sep. 1, 2004 |
Charles B. Spadoni
Other Release No.: IA-2291
|
34-50299 |
Sep. 1, 2004 |
Marlon D. Tropeano
Note: See also the Order in this matter
|
34-50297 |
Aug. 31, 2004 |
Edward Landenbaum
Note: See also the Order in this matter
|
34-50293 |
Aug. 31, 2004 |
Merrell W. Williams and Timothy C. Olk |
34-50289 |
Aug. 30, 2004 |
Michael D. Legoski
Other Release Nos.: IA-2290; IC-26590 |
IA-2289 |
Aug. 30, 2004 |
Timothy J. Miller
Other Release No.: IC-26589 |
IA-2288 |
Aug. 30, 2004 |
Thomas A. Kolbe
Other Release No.: IC-26588 |
IA-2287 |
Aug. 30, 2004 |
Dominique S. Alvieri
|
34-50288 |
Aug. 30, 2004 |
Marc Wein
Note: See also the Order in this matter
|
35-27886 |
Aug. 30, 2004 |
American Electric Power Company Inc. |
34-50284 |
Aug. 27, 2004 |
Peter Bacanovic
Other Release No.: IA-2286 |
34-50281 |
Aug. 27, 2004 |
Jesse Dean Bogdonoff
Other Release No.: IA-2284
|
34-50271 |
Aug. 26, 2004 |
Alnoor Jiwan |
IC-26581 |
Aug. 26, 2004 |
Robert S. Colman |
IA-2282 |
Aug. 26, 2004 |
Audrey L. Buchner
Other Release No.: IC-26580
|
IA-2281 |
Aug. 26, 2004 |
Garrett Van Wagoner and Van Wagoner Capital Management, Inc.
Other Release No.: IC-26579
|
34-50273 |
Aug. 26, 2004 |
U.S. Technologies, Inc.
|
34-50272 |
Aug. 26, 2004 |
Donaldson, Lufkin & Jenrette Securities Corp., predecessor in interest to Credit Suisse First Boston LLC
|
34-50268 |
Aug. 26, 2004 |
Ronald D. Brouillette, Jr.
|
34-50266 |
Aug. 26, 2004 |
Cybergate Inc., et al. |
34-50265 |
Aug. 26, 2004 |
Cybergate Inc., et al. |
34-50264 |
Aug. 26, 2004 |
Cybergate Inc., et al. |
34-50261 |
Aug. 25, 2004 |
Cybergate Inc., et al.
|
34-50260 |
Aug. 25, 2004 |
Cybergate Inc., et al.
|
34-50258 |
Aug. 25, 2004 |
Van E. Brighton |
34-50257 |
Aug. 25, 2004 |
David L. Knudson |
34-50256 |
Aug. 25, 2004 |
Andrew Sears |
34-50255 |
Aug. 25, 2004 |
Derrick N. McKinney and Rick R. Malizia
Note: See also the Order in this matter
|
33-8475 |
Aug. 25, 2004 |
Janney Montgomery Scott LLC
Other Release No.: 34-50252
|
33-8474 |
Aug. 25, 2004 |
Needham & Company, Inc.
Other Release No.: 34-50251
|
33-8472 |
Aug. 25, 2004 |
SG Cowen & Co., LLC, f/k/a SG Cowen Securities Corporation
Other Release No.: 34-50250
|
33-8469 |
Aug. 25, 2004 |
Prudential Equity Group, LLC f/k/a Prudential Securities Inc.
Other Release No.: 34-50248
|
33-8466 |
Aug. 25, 2004 |
Morgan Keegan & Co., Inc.,
Other Release No.: 34-50246
|
33-8461 |
Aug. 25, 2004 |
Friedman, Billings, Ramsey & Co., Inc.
Other Release No.: 34-50243 |
33-8460 |
Aug. 25, 2004 |
Adams Harkness, Inc., f/k/a Adams, Harkness & Hill, Inc.
Other Release No.: 34-50242 |
34-50232 |
Aug. 24, 2004 |
Cybergate, Inc., Cyber Tennis, Inc., Cyberwholesale, Inc., Cathayone, Inc., Elocity Networks, Inc., Golden Opportunity Development Corp., J. A. B. Int'l, Inc., Maxx Int'l, Inc., Oasis Resorts Int'l, Inc., Rollerball Int'l, Inc., U.S. Homes & Properties, Inc., Wichita Development Corp., Youthline USA, Inc., and ATC II, Inc.
Other Release No.: 34-50232
|
34-50240 |
Aug. 24, 2004 |
Matthew Brenner and Darren Silverman
Other Release No.: IA-2280
|
34-50236 |
Aug. 24, 2004 |
Dale Carone |
33-8459 |
Aug. 24, 2004 |
Ira Weiss, and L. Andrew Shupe II
Other Release No.: 34-50235
|
34-50234 |
Aug. 24, 2004 |
Graham Andrews
Note: See also the Order in this matter
|
34-50233 |
Aug. 24, 2004 |
Royal Dutch Petroleum Company and The "Shell" Transport and Trading Co., p.l.c.
Other Release No.: AAER-2085 |
34-50228 |
Aug. 23, 2004 |
Platinum Investment Corporation, Andrew Antonucci and Mathew Beaulieu
Note: See also the Order in this matter |
34-50225 |
Aug. 20, 2004 |
Kenneth K. Livesay, CPA
Other Release No.: AAER-2082 |
34-50223 |
Aug. 20, 2004 |
Steven E. Muth |
34-50222 |
Aug. 20, 2004 |
Steven M. Bolla and Susan Bolla
Other Release No.: IA-2279 |
IA-2277 |
Aug. 18, 2004 |
Janus Capital Management LLC
Other Release No.: IC-26532 |
34-50207 |
Aug. 17, 2004 |
Alfred J. Flores
Note: See also the Order in this matter
|
34-50200 |
Aug. 16, 2004 |
Alcohol Sensors Int'l, Ltd., et al. |
34-50194 |
Aug. 13, 2004 |
Daniel Harris |
34-50186 |
Aug. 12, 2004 |
Ashley Nemiroff, Rocco Siclari, George A. Carhart, Carl D'Elia, Howard C. Zelin, Craig A. Brandwein, and Donald R. Catapano
Note: See also the Order in this matter
|
34-50185 |
Aug. 12, 2004 |
Joseph Casuccio, CPA
Other Release No.: AAER-2079 |
33-8457 |
Aug. 12, 2004 |
Thayer Capital Partners, TC Equity Partners IV, L.L.C., TC Management Partners IV, L.L.C., and Frederic V. Malek
Other Release No.: IA-2276 |
34-50181 |
Aug. 11, 2004 |
Stan Lee Media, Inc.
Note: See also the Order in this matter
|
34-50180 |
Aug. 11, 2004 |
Joseph W. Isaac
Note: See also the Order in this matter
|
IA-2275 |
Aug. 11, 2004 |
Pilgrim Baxter & Associates, Ltd.
Note: See also IA-2251
|
34-50179 |
Aug. 11, 2004 |
Gary L. Seidelman, CPA
Other Release No.: AAER-2078 |
IA-2273 |
Aug. 9, 2004 |
Richard L. Cherry |
34-50167 |
Aug. 9, 2004 |
Ralph DiFalco |
33-8456 |
Aug. 9, 2004 |
Inviva, Inc. and Jefferson National Life Insurance Company
Other Release Nos.: 34-50166, IC-26527 |
33-8455 |
Aug. 9, 2004 |
CIHC, Inc., Conseco Services, LLC, and Conseco Equity Sales, Inc.
Other Release Nos.: 34-50165, IC-26526 |
34-50161 |
Aug. 6, 2004 |
Frederick B. Hornick, Jr. |
34-50156 |
Aug. 5, 2004 |
Richard Wolff, Alex Grinshpon, Alex Solon, and Jeffery Stone |
34-50155 |
Aug. 5, 2004 |
Richard Wolff, Alex Grinshpon, Alex Solon, and Jeffery Stone |
34-50155 |
Aug. 5, 2004 |
Richard Wolff, Alex Grinshpon, Alex Solon, and Jeffery Stone |
34-50151 |
Aug. 5, 2004 |
Richard S. Kern, Donald R. Kern, and Charles Wilkins |
34-50150 |
Aug. 5, 2004 |
Alcohol Sensors Int'l, Ltd., Beachport Entertainment Corp., Biosonics, Inc., Compressent, Inc., Eye Cash Networks, Inc., Hamilton-Biophile Companies, Holly Holdings, Inc., Intelligent Decision Systems, Inc., Long Distance Direct Holdings, Inc., Lrg Restaurant Group, Inc., Nevada Manhattan Group, Inc., Parallel Technologies, Inc., Quadratech, Inc., Redneck Foods, Inc., Safetech Industries, Inc., Viking Resources Int'l, Inc., and Xavier Corp. |
IA-2272 |
Aug. 5, 2004 |
Terese Herwick |
34-50148 |
Aug. 5, 2004 |
Grant Thornton LLP, Doeren Mayhew & Co. P.C., Marvin J. Morris, CPA, Peter M. Behrens, CPA and Benedict P. Rybicki, CPA
Other Release No.: AAER-2076
|
33-8452 |
Aug. 3, 2004 |
Halliburton Company, and Robert Charles Muchmore, Jr.
Other Release Nos.: 34-50137, AAER-2072
|
34-50138 |
Aug. 3, 2004 |
Fidelity Brokerage Services, LLC
Note: See also Order granting waiver |
34-50136 |
Aug. 3, 2004 |
Harold F. Harris and Ronald E. Crews
Note: See also the Order in this matter
|
34-50135 |
Aug. 3, 2004 |
Ronald H. Hoffman, CPA
Other Release No.: AAER-2071
|
34-50134 |
Aug. 2, 2004 |
William F. Buettner, CPA
Other Release No.: AAER-2070
|
IA-2271 |
Aug. 2, 2004 |
Franklin Advisers, Inc.
Other Release No.: IC-26523 |
34-50132 |
Aug. 2, 2004 |
Americo Robert Gallo and Oren Fachler
Note: See also the Order in this matter
|
34-50128 |
Jul. 30, 2004 |
Jason H. Pollak |
34-50121 |
Jul. 29, 2004 |
Timothy J. Buzzelli
Other Release No.: AAER-2067
|
IA-2270 |
Jul. 28, 2004 |
Dominique S. Alvieri
Note: See also the Order in this matter
|
34-50111 |
Jul. 28, 2004 |
Irving P. David,
Other Release No.: IA-2269
|
34-50107 |
Jul. 28, 2004 |
Richard Wolff, Alex Grinshpon, Alex Solon, and Jeffery Stone |
34-50102 |
Jul. 28, 2004 |
EpicEdge, Inc. |
34-50098 |
Jul. 27, 2004 |
Charter Communications, Inc.
Other Release No.: AAER-2064
|
34-50096 |
Jul. 27, 2004 |
Leslie Wasser, CPA
Other Release No.: AAER-2062
|
34-50092 |
Jul. 27, 2004 |
JC Management, Inc. and Joseph X. Crivelli |
34-50088 |
Jul. 26, 2004 |
EVTC, Inc.
Note: See also the Order in this matter
|
34-50086 |
Jul. 26, 2004 |
Joseph DeSanto |
34-50076 |
Jul. 26, 2004 |
SIG Specialists, Inc. |
34-50075 |
Jul. 26, 2004 |
Performance Specialist Group LLC
|
34-50073 |
Jul. 23, 2004 |
Spiegel, Inc. |
33-8450 |
Jul. 22, 2004 |
Raymond A. Saitta, CPA
Other Release Nos.: 34-50062; AAER-2058 |
IA-2267 |
Jul. 22, 2004 |
Warren L. Ware |
34-50053 |
Jul. 21, 2004 |
Michael H. Taber, CPA
Other Release No.: AAER-2057
|
34-50052 |
Jul. 21, 2004 |
Alnoor Jiwan
Note: See also the Order in this matter
|
34-50051 |
Jul. 21, 2004 |
Ronald D. Brouillette, Jr.
Note: See also the Order in this matter
|
34-50050 |
Jul. 21, 2004 |
Currency Trading International, Inc., Craig A. Cunningham, James R. Kelsall, and Christian J. Weber |
34-50046 |
Jul. 20, 2004 |
Cary R. Kahn
See also: 34-50383 |
33-8449 |
Jul. 20, 2004 |
Allen Z. Wolfson et al.
Other Release No.: 34-50045
|
33-8448 |
Jul. 20, 2004 |
Allen Z. Wolfson et al.
Other Release No.: 34-50044
|
33-8447 |
Jul. 20, 2004 |
Allen Z. Wolfson, et al.
Other Release No.: 34-50043 |
33-8446 |
Jul. 20, 2004 |
Allen Z. Wolfson, et al.
Other Release No.: 34-50042 |
33-8445 |
Jul. 20, 2004 |
Allen Z. Wolfson, et al.
Other Release No.: 34-50041 |
34-50039 |
Jul. 20, 2004 |
Putnam Investment Management, LLC |
33-8444 |
Jul. 16, 2004 |
CyberCare, Inc.
|
34-50034 |
Jul. 16, 2004 |
Connecticut Capital Markets, L.L.C., and Richard L. Klass
|
34-50027 |
Jul. 15, 2004 |
Bruce H. Barbers and Craig H. Colwell
Note: See also the Order in this matter
|
34-50017 |
Jul. 14, 2004 |
SEI Investments Distribution Company and SEI Investments Company |
34-50014 |
Jul. 14, 2004 |
Donald F. Chamberlin and David N. Chamberlin
Other Release No.: IA-2264 |
IA-2263 |
Jul. 14, 2004 |
Joseph L. Norris and Mark G. Coleman |
34-50011 |
Jul. 14, 2004 |
Frederic A. Gladle |
34-50009 |
Jul. 13, 2004 |
Randall W. Harding |
IA-2262 |
Jul. 12, 2004 |
Nevis Capital Management, LLC, David Wilmerding, III, and Jon C. Baker |
IA-2261 |
Jul. 12, 2004 |
Wilmington Trust Company |
34-50001 |
Jul. 12, 2004 |
Dale Carone
Note: See also the Order in this matter
|
34-49997 |
Jul. 9, 2004 |
Michael Karlins, CPA
Other Release No.: AAER-2054 |
34-49996 |
Jul. 9, 2004 |
Larry A. Stockett |
IA-2260 |
Jul. 9, 2004 |
Joseph L. Norris and Mark G. Coleman |
33-8439 |
Jul. 9, 2004 |
Levine, Hughes, and Mithuen, Inc.
Other Release Nos.: 34-49993; AAER-2053 |
34-49992 |
Jul. 9, 2004 |
James Dean, CPA
Other Release No.: AAER-2052 |
34-49984 |
Jul. 8, 2004 |
Kirk J. Dischino (CPA)
Other Release No.: AAER-2050
|
33-8438 |
Jul. 8, 2004 |
J. Michael Scarborough and Royal Alliance Associates, Inc
Other Release No.: 34-49982
|
34-49980 |
Jul. 7, 2004 |
Richard S. Kern, Donald R. Kern, and Charles Wilkins
Note: See also the Order in this matter |
34-49977 |
Jul. 7, 2004 |
Michael Puorro, Walter Dorow, James C. Parrish, Geoffrey W. Gazda, Melvin L. Levine, Michael T. Reiter, Bruce Bertman, Jerry Poole and Larry W. Kerschenbaum |
34-49976 |
Jul. 7, 2004 |
Ocumed Group, Inc. |
34-49975 |
Jul. 7, 2004 |
Jose P. Zollino
Other Release No.: IA-2257
Note: See also the Order in this matter
|
34-49974 |
Jul. 7, 2004 |
Richard Wolff, Alex Grinshpon, Alex Solon and Jeffrey Stone |
34-49971 |
Jul. 6, 2004 |
Pinnacle Business Management, Inc |
33-8435 |
Jul. 1, 2004 |
Mark Jackson Nichols
Other Release Nos.: 34-49960; IA-2255
|
33-8434 |
Jul. 1, 2004 |
Goldman, Sachs & Co.
Other Release No.: 34-49953 |
34-49945 |
Jun. 30, 2004 |
Daniel J. Berardi, Jr. |
34-49944 |
Jun. 30, 2004 |
Thomas Hawkesworth |
IA-2254 |
Jun. 29, 2004 |
Banc One Investment Advisors Corporation and Mark A. Beeson
Other Release No.: IC-26490 |
34-49934 |
Jun. 29, 2004 |
James H. Peach, Chartered Accountant
Other Release No.: AAER-2047 |
34-49923 |
Jun. 28, 2004 |
Frederick W. Wall
Note: See also the Order in this matter
|
34-49914 |
Jun. 25, 2004 |
IDT Venture Group, Inc.
|
34-49908 |
Jun. 23, 2004 |
Michael Puorro, Walter Dorow, James C. Parrish, Geoffrey W. Gazda, Melvin L. Levine, Michael T. Reiter, Bruce Bertman, Jerry Poole, and Larry W. Kerschenbaum |
34-49904 |
Jun. 23, 2004 |
Wilmington Trust Company |
34-49899 |
Jun. 22, 2004 |
David Farrell McLean
Other Release No.: IA-2252 |
33-8432 |
Jun. 21, 2004 |
Steven L. Haggerty
Other Release Nos.: 34-49897, AAER-2041 |
33-8431 |
Jun. 21, 2004 |
Augustine M. Cruciotti
Other Release No.: 34-49896, AAER-2040 |
IA-2251 |
Jun. 21, 2004 |
Pilgrim Baxter & Associates, Ltd. |
34-49893 |
Jun. 18, 2004 |
Michael B. Sullivan, CPA
Other Release No.: AAER-2039 |
33-8430 |
Jun. 16, 2004 |
Samer M. El Bizri and Bizri Capital Partners, Inc.
Other Release Nos.: 34-49870; IA-2250; IC-26469
|
IA-2248 |
Jun. 15, 2004 |
Ian L. Renert
Note: See also the Order in this matter
|
34-49862 |
Jun. 15, 2004 |
Scott Fine and Kevin Boyle
Other Release No.: IA-2249 |
34-49838 |
Jun. 9, 2004 |
Schering-Plough Corporation
Other Release No.: AAER-2032 |
33-8428 |
Jun. 9, 2004 |
i2 Technologies, Inc.
Other Release No.: AAER-2033
|
34-49837 |
Jun. 9, 2004 |
CDH & Affiliates, Inc. and C. David Hallman
Other Release No.: IA-2247
|
34-49836 |
Jun. 9, 2004 |
James H. Peach, Chartered Accountant
Other Release No.: AAER-2030
Note: See also the Order in this matter
|
34-49829 |
Jun. 8, 2004 |
Charles W. Crouse and Norman R. Hess
Note: See also the Order in this matter
|
34-49824 |
Jun. 8, 2004 |
Fidelity National Capital Investors, Inc. |
34-49823 |
Jun. 8, 2004 |
Cybergate, Inc., et. al. and Alcohol Sensors Int'l, Ltd., et al.
See also Order 1
See also Order 2 |
34-49816 |
Jun. 7, 2004 |
Rhino Ecosystems, Inc |
IA-2245 |
Jun. 4, 2004 |
Isaac Sofair |
34-49808 |
Jun. 4, 2004 |
Michael J. Farnell |
IA-2246 |
Jun. 3, 2004 |
Nevis Capital Management, LLC, David Wilmerding, III, and Jon C. Baker |
34-49805 |
Jun. 3, 2004 |
Frank J. Zangara |
34-49803 |
Jun. 3, 2004 |
Uncommon Media Group, Inc. |
34-49794 |
Jun. 2, 2004 |
Leonard Alexander Ruge, Mac Beagelman, Michael Scott Symons, Stephen Evers, Eugene Flaksman, Daniel Kolchkov, Jeff Sanders and Mark Zaborsky |
34-49795 |
Jun. 2, 2004 |
Richard Wolff, Alex Grinshpon, Alex Solon, and Jeffery Stone
Note: See also the Order in this matter
|
34-49790 |
Jun. 2, 2004 |
Steven E. Muth, Richard J. Rouse, and Bruce J. Bates |
IA-2244 |
May 28, 2004 |
Warren Asset Management, LLC and Weldon R. Warren
|
34-49784 |
May 28, 2004 |
David A. Jones
Other Release No.: AAER-2025 |
34-49781 |
May 27, 2004 |
Currency Trading International, Inc., Craig A. Cunningham, James R. Kelsall, and Christian J. Weber
Note: See also the Order in this matter
|
34-49778 |
May 27, 2004 |
Michael Boston |
34-49765 |
May 25, 2004 |
William E. Kraemer |
34-49762 |
May 24, 2004 |
Raymond P. Sobieralski |
34-49760 |
May 24, 2004 |
Frank D. Gruttadauria
Other Release No.: IA-2243
|
34-49761 |
May 24, 2004 |
Ocumed Group, Inc.
Note: See also the Order in this matter
|
34-49753 |
May 21, 2004 |
Christopher Kent Bagdasarian
Other Release No.: IA-2242
|
34-49750 |
May 21, 2004 |
Daniel D. Dyer
Other Release No.: IA-2241 |
34-49743 |
May 20, 2004 |
Michael Puorro, Walter Dorow, James C. Parrish, Geoffrey W. Gazda, Melvin L. Levine, Michael T. Reiter, Bruce Bertman, Jerry Poole, and Larry W. Kerschenbaum |
33-8426 |
May 20, 2004 |
Freedom Financial, Inc., Freedom Track, Inc., Freedom Financial Group, Inc., Associated Investment Management, Inc., Jon Patrick Pierce, Gary L. Winn
Other Release No.: 34-49744, IA-2240
|
34-49741 |
May 20, 2004 |
Strong Capital Management, Inc., Strong Investor Services, Inc., Strong Investments, Inc., Richard S. Strong, Thomas A. Hooker, Jr. and Anthony J. D'Amato
Other Release Nos.: IA-2239, IC-26448
|
34-49735 |
May 19, 2004 |
John F. Turant, Jr.
Other No.: IA-2238 |
34-49734 |
May 19, 2004 |
James P. Farnell |
33-8425 |
May 19, 2004 |
Paul Melvin Henson, Jr.
Release No.: AAER-2020 |
33-8424 |
May 19, 2004 |
Lance Turner Fair
Release No.: AAER-2019 |
IA-2237 |
May 19, 2004 |
Lee Bradford Arberg |
IA-2236 |
May 19, 2004 |
Luis Giro
Note: See also the Order in this matter
|
33-8423 |
May 19, 2004 |
David Lerner Associates, Inc.
|
34-49720 |
May 18, 2004 |
Robert Cournoyer |
34-49712 |
May 17, 2004 |
Larry A. Stockett
Note: See also the Order in this matter
|
34-49705 |
May 14, 2004 |
Cosmo Corigliano, CPA
Release No.: AAER-2015 |
34-49703 |
May 14, 2004 |
David Stetson |
34-49702 |
May 14, 2004 |
Nicholas Antonelli |
33-8420 |
May 14, 2004 |
Steven Ingrassia and Slava Volman
Note: See also the Order in this matter
|
34-49686 |
May 11, 2004 |
Bruce Follick, Salvatore Tavolacci, Donald Brooks, Karl Donovan,Aaron Sandstrom, and Derek Shapiro
|
34-49684 |
May 11, 2004 |
Bradley J. Schmidt, CPA
Release No.: AAER-2011
|
34-49683 |
May 11, 2004 |
Jay S. Ozer, CPA
Release No.: AAER-2010
|
34-49680 |
May 11, 2004 |
Silverado Stock Transfer, Inc. and Shannon L. Baldino
|
34-49678 |
May 11, 2004 |
PricewaterhouseCoopers LLP
Release No.: AAER-2008
|
34-49677 |
May 11, 2004 |
Linda J. Wachner
Release No.: AAER-2006
|
34-49676 |
May 11, 2004 |
Stanley P. Silverstein
Release No.: AAER-2007
|
34-49675 |
May 11, 2004 |
The Warnaco Group, Inc.
Release No.: AAER-2005
|
34-49672 |
May 10, 2004 |
Paul W. Mason (a/k/a Louis R. Sarpy), Kristin Luck Emery,
And Laurence Mark Anderson (a/k/a Ron Laurence) |
34-49657 |
May 5, 2004 |
William E. Lyons |
34-49655 |
May 5, 2004 |
Bruce Follick, Salvatore Tavolacci, Donald Brooks, Karl Donovan, Aaron Sandstrom, and Derek Shapiro |
34-49652 |
May 4, 2004 |
Gold Banc Corporation, Inc.
Release No.: AAER-1999 |
34-49651 |
May 4, 2004 |
John P. Borbi
Release No.: IA-2234 |
34-49647 |
May 3, 2004 |
Scott Piccininni |
34-49646 |
May 3, 2004 |
Paul Tahan |
34-49645 |
May 3, 2004 |
Robert D. Bewkes
Release No.: IA-2233 |
34-49642 |
Apr. 30, 2004 |
QuadraMed Corporation
Release No.: AAER-1998 |
34-49641 |
Apr. 30, 2004 |
Keith M. Roberts
Release No.: AAER-1997
Note: See also the Order in this matter
|
34-49630 |
Apr. 29, 2004 |
California Amplifier, Inc.
Release No.: AAER-1995
|
33-8416 |
Apr. 29, 2004 |
Cary R. Kahn
Release No.: 34-49629
Note: See also the Order in this matter
|
IA-2231 |
Apr. 29, 2004 |
Joseph L. Norris and Mark G. Coleman
Note: See also the Order in this matter
|
33-8415 |
Apr. 26, 2004 |
Dauphin County General Authority |
33-8414 |
Apr. 26, 2004 |
Public Finance Consultants, Inc., Robert D. Fowler, Dolphin and Bradbury, Incorporated, Robert J. Bradbury
Release No.: 34-49619
Note: See also the Order in this matter
|
IA-2230 |
Apr. 26, 2004 |
Nevis Capital Management, LLC, David R. Wilmerding, III, and Jon C. Baker |
34-49610 |
Apr. 23, 2004 |
Raylen Parra |
34-49606 |
Apr. 23, 2004 |
CDH & Affiliates, Inc. and C. David Hallman
Note: See also the Order in this matter
|
33-8412 |
Apr. 22, 2004 |
Ira Weiss and L. Andrew Shupe, II
Release No.: 34-49596
Note: See also the Order in this matter
|
33-8411 |
Apr. 22, 2004 |
Neshannock Township School District
Release No.: 34-49600 |
34-49589 |
Apr. 21, 2004 |
Frank D. Gruttadauria
Release No.: IA-2228
Note: See also the Order in this matter
|
34-49578 |
Apr. 19, 2004 |
Joseph Petrolino and Eric Siversen |
IA-2227 |
Apr. 16, 2004 |
Michael Garian, a/k/a Melkon Gharakhanian, a/k/a Bika Balian |
34-49568 |
Apr. 15, 2004 |
Michael Boston
Note: See also the Order in this matter |
34-49565 |
Apr. 15, 2004 |
Kenneth W. Winger and Paul R. Humphreys
Release No.: AAER-1990 |
33-8406 |
Apr. 14, 2004 |
John Luczycki, CPA
Release No.: AAER-1989, 34-49561 |
34-49558 |
Apr. 13, 2004 |
Deborah J. Breckenridge |
34-49543 |
Apr. 8, 2004 |
Paul W. Mason (a/k/a Louis R. Sarpy), Kristin Luck Emery, and Laurence M. Anderson (a/k/a Ron Laurence) |
IA-2226 |
Apr. 8, 2004 |
Putnam Investment Management, LLC
Release No.: IC-26412
See also Release No. IA-2192
|
34-49541 |
Apr. 8, 2004 |
Gerber Scientific, Inc.
Release No.: AAER-1987 |
34-49526 |
Apr. 2, 2004 |
LASV Enterprises, Inc. |
34-49516 |
Apr. 1, 2004 |
David T. Thomson, CPA, and David T. Thomson PC
Release No.: AAER-1984 |
34-49510 |
Mar. 31, 2004 |
Margaret M. Gardner
Release No.: AAER-1982 |
34-49507 |
Mar. 31, 2004 |
Terry Don Rader |
IA-2224 |
Mar. 31, 2004 |
Massachusetts Financial Services Company
Release No.: IC-26409 |
34-49504 |
Mar. 30, 2004 |
Mark D. Deyak |
34-49503 |
Mar. 30, 2004 |
Paul W. Mason (a/k/a Louis R. Sarpy), Kristin Luck Emery, and Laurence M. Anderson (a/k/a Ron Laurence) |
34-49502 |
Mar. 30, 2004 |
Van der Moolen Specialists USA, LLC
|
34-49501 |
Mar. 30, 2004 |
Spear, Leeds & Kellogg Specialists LLC
|
34-49500 |
Mar. 30, 2004 |
LaBranche & Co. LLC
|
34-49499 |
Mar. 30, 2004 |
Fleet Specialists, Inc.
|
34-49498 |
Mar. 30, 2004 |
Bear Wagner Specialists LLC |
33-8405 |
Mar. 29, 2004 |
Gary H. Klein, CPA
Release No.:AAER-1980; 34-49494 |
34-49493 |
Mar. 29, 2004 |
Uncommon Media Group, Inc. |
34-49490 |
Mar. 26, 2004 |
Robert Cournoyer |
34-49485 |
Mar. 26, 2004 |
Thomas G. Brooks |
34-49484 |
Mar. 26, 2004 |
Cosimo Tacopino |
34-49475 |
Mar. 25, 2004 |
David Rubin |
34-49474 |
Mar. 25, 2004 |
Styling Technology Corporation |
34-49460 |
Mar. 23, 2004 |
Daniel E. Emmenegger |
33-8403 |
Mar. 17, 2004 |
CMS Energy Corp. and Terry Woolley
Release No.: AAER-1978; 34-49432 |
34-49433 |
Mar. 17, 2004 |
Paul A. Barrios III and Dennis P. O'Connell, Jr. |
33-8402 |
Mar. 17, 2004 |
Scott D. Sullivan
Release No.: AAER-1977; 34-49431 |
34-49425 |
Mar. 16, 2004 |
Damian Delgado |
34-49423 |
Mar. 16, 2004 |
Joseph Petrolino and Eric Siversen
|
IA-2223 |
Mar. 16, 2004 |
Michael Garian aka Melkon Gharakhanian aka Bika Balian |
34-49395 |
Mar. 11, 2004 |
Joseph F. DeSanto
|
34-49394 |
Mar. 11, 2004 |
Robert B. DiMarco, Jr.
|
34-49392 |
Mar. 10, 2004 |
Conseco, Inc.
Release No.: AAER-1973 |
34-49390 |
Mar. 10, 2004 |
BJ Services Company
Release No.: AAER-1972 |
34-49386 |
Mar. 10, 2004 |
Banc of America Securities LLC |
34-49377 |
Mar. 9, 2004 |
Charles B. Spadoni
Release No.: IA-2220 |
34-49370 |
Mar. 5, 2004 |
Clifford Ray Burton
Release No.: IA-2219 |
34-49369 |
Mar. 5, 2004 |
Frederick W. McCarthy
Release No.: IA-2218 |
34-49364 |
Mar. 4, 2004 |
DT Industries Inc.
Release No.: AAER-1967 |
34-49361 |
Mar. 3, 2004 |
Rhino Ecosystems, Inc |
34-49360 |
Mar. 3, 2004 |
Michael Puorro, Walter Dorow, James C. Parrish, Geoffrey W. Gazda, Melvin L. Levine, Michael T. Reiter, Bruce Bertman, Jerry Poole, and Larry W. Kerschenbaum |
34-49359 |
Mar. 3, 2004 |
Greg Balk and Dax Ross |
34-49348 |
Mar. 2, 2004 |
Steven Arevalo and Mark Hanna |
34-49330 |
Feb. 27, 2004 |
Kenneth M. May and Anthony J. Pinone
|
34-49326 |
Feb. 26, 2004 |
Wheat First Securities, Inc., f/k/a First Union Capital Markets Corp. and Teressa L. Cawley |
34-49321 |
Feb. 26, 2004 |
Camilo Pereira |
34-49309 |
Feb. 24, 2004 |
Steven F. Stork
Release No.: AAER-1962 |
34-49308 |
Feb. 24, 2004 |
Steven L. Mortensen
Release No.: AAER-1961 |
34-49307 |
Feb. 24, 2004 |
Christopher S. Hall
Release No.: AAER-1960 |
34-49310 |
Feb. 24, 2004 |
David Shane Lewis |
34-49303 |
Feb. 23, 2004 |
Eric Stuerken |
34-49299 |
Feb. 23, 2004 |
Robertson Stephens, Inc. |
34-49289 |
Feb. 20, 2004 |
Raymond J. Brown and Leon Jordan, II |
34-49272 |
Feb. 18, 2004 |
John F. Turant, Jr.
Release No.: IA-2217
|
34-49270 |
Feb. 18, 2004 |
Valentin Fernandez, Juan Fernandez, Daniel J. Phillips, Haskel P. Stone, and Matthew D. Stone |
34-49267 |
Feb. 17, 2004 |
Paul A. Barrios III, and Dennis P. O'Connell, Jr. |
33-8387 |
Feb. 17, 2004 |
Research Investment Group, Inc., Scott H. Wilding, Smallcap Solutions, Inc., Complete Financial and Operations, LLC, Tyler T. Fleming
|
34-49258 |
Feb. 17, 2004 |
Anthony F. Giordano
Release No.: IA-2216 |
34-49257 |
Feb. 17, 2004 |
IDT Venture Group, Inc. |
34-49249 |
Feb. 13, 2004 |
Brownstone Capital Corporation and Gregory Cooper |
34-49245 |
Feb. 13, 2004 |
Valentin Fernandez, Juan Fernandez, Daniel J. Phillips, Haskel P. Stone and Matthew D. Stone |
34-49244 |
Feb. 13, 2004 |
Gregg Becker |
34-49243 |
Feb. 13, 2004 |
Performance Food Group Company
Release No.: AAER-1957 |
33-8383 |
Feb. 12, 2004 |
H. D. Vest Investment Securities, Inc. |
33-8380 |
Feb. 12, 2004 |
Wachovia Securities, LLC, f/k/a Wachovia Securities, Inc. |
33-8377 |
Feb. 12, 2004 |
UBS Financial Services Inc. |
33-8374 |
Feb. 12, 2004 |
Raymond James Financial Services, Inc. |
33-8371 |
Feb. 12, 2004 |
Linsco/Private Ledger Corp. |
33-8368 |
Feb. 12, 2004 |
Legg Mason Wood Walker, Incorporated |
33-8365 |
Feb. 12, 2004 |
American Express Financial Advisors Inc. |
IA-2214 |
Feb. 9, 2004 |
Nevis Capital Management, LLC, David R. Wilmerding, III, and Jon C. Baker |
33-8363 |
Feb. 9, 2004 |
Michael B. Rawdin, Hard Asset Management, Inc., and David Cohen
Release No.: 34-49210 |
33-8362 |
Feb. 9, 2004 |
Michael B. Rawdin, Hard Asset Management, Inc., and David Cohen
Release No.: 34-49209 |
34-49206 |
Feb. 6, 2004 |
Robert G. Kutsenda, CPA
Release No.: AAER-1954 |
34-49204 |
Feb. 6, 2004 |
Lee R. Fontaine, CPA
Release No.: AAER-1953 |
34-49202 |
Feb. 6, 2004 |
William R. Kerr |
IA-2213 |
Feb. 5, 2004 |
Massachusetts Financial Services Co., John W. Ballen and Kevin R. Parke
Release No.: IC-26347
(Note: See also Rel. No. IA-2213A,
Dissent of Commissioner Cynthia A. Glassman) |
33-8361 |
Feb. 4, 2004 |
Richard R. Ross, CPA
Release Nos.: 34-49186, AAER-1950 |
34-49179 |
Feb. 3, 2004 |
John Ryan Rooney |
34-49174 |
Feb. 3, 2004 |
Alfred Palagonia, Alex Dewar, Darren Orlando, Steven Frantz and Andrew Schandler |
33-8360 |
Feb. 3, 2004 |
Paul A. Flynn
Release Nos.: 34-49177; IA-2212; IC-26345 |
IA-2211 |
Feb. 3, 2004 |
Paul Joseph Sheehan d/b/a Paul J. Sheehan & Associates |
34-49167 |
Feb. 2, 2004 |
Just for Feet, Inc. |
34-49168 |
Feb. 2, 2004 |
Valentin Fernandez, Juan Fernandez, Daniel J. Phillips, Haskel P. Stone, and Matthew D. Stone |
34-49165 |
Feb. 2, 2004 |
Rodney L. Hinkle |
33-8359 |
Feb. 2, 2004 |
Celebrity Resorts and Casinos, Inc. and Thomas H. Ludeman
Release No.: 34-49166 |
34-49144 |
Jan. 29, 2004 |
Michael J. Louis |
34-49143 |
Jan. 29, 2004 |
Mark Deyak |
34-49139 |
Jan. 28, 2004 |
Ronald W. Pinto |
33-8357 |
Jan. 28, 2004 |
IMS/CPAs & Associates, Vernon T. Hall, Stanley E. Hargrave and Jerome B. Vernazza
Release No.: 34-49135, IA-2210 |
34-49128 |
Jan. 26, 2004 |
James L. George |
33-8356 |
Jan. 21, 2004 |
Marc Barhonovich and Equity Advisors, Inc. |
34-49102 |
Jan. 20, 2004 |
Styling Technology Corporation |
33-8355 |
Jan. 20, 2004 |
Grant Thornton LLP, Doeren Mayhew & Co. P.C., Peter M. Behrens, CPA, Marvin J. Morris, CPA, and Benedict P. Rybicki, CPA
Release Nos.: 34-49101; AAER-1945
Note: See also the Order in this matter |
34-49089 |
Jan. 16, 2004 |
Mark Richard Sendo |
34-49082 |
Jan. 15, 2004 |
Weiser LLP, Victor R. Wahba, CP and Stuart A. Nussbaum, CPA
Release Nos.: 40-2208; AAER-1943 |
IA-2205A |
Jan. 15, 2004 |
Alliance Capital Management, L.P. |
34-49077 |
Jan. 14, 2004 |
Robertson Stephens, Inc. |
34-49073 |
Jan. 14, 2004 |
Luis F. Lorie |
34-49064 |
Jan. 13, 2004 |
Michael A. Sylver |
33-8353 |
Jan. 9, 2004 |
Research Investment Group, Inc., Scott H. Wilding, SmallCap Solutions, Inc., Complete Financial and Operations, LLC and Tyler T. Fleming |
34-49039 |
Jan. 8, 2004 |
Michael L. Labertew |
34-49031 |
Jan. 7, 2004 |
Leonard L. Zanello, Sr. |
Additional Administrative Proceedings
2003
2002
2001
2000
1999
1998
1997
1996
1995
Note: The SEC's website was established September 28, 1995. To obtain releases issued before that date, contact the Public Reference Room at (202) 942-8090 or by e-mail: publicinfo@sec.gov.
http://www.sec.gov/litigation/admin.shtml
|