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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

September 19 – December 28, 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.

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