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Administrative Proceedings: April 4 – June 30, 2000
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| Release No. |
Date |
Respondents |
| 34-42992 |
Jun. 30, 2000 |
Allegheny Health, Education and Research Foundation |
| 34-42987 |
Jun. 29, 2000 |
Ronald G. Davies |
| 33-7869 |
Jun. 28, 2000 |
Madlyn Lee Ferro and Dwight H. Stephens |
| 34-42981 |
Jun. 26, 2000 |
Gregory A. Alba, CPA |
| 34-42979 |
Jun. 23, 2000 |
Schnitzer & Kondub, P.C., Richard S. Kondub, CPA, and Ross J. Schnitzer, CPA |
| 34-42977 |
Jun. 23, 2000 |
Reuben D. Peters |
| 34-42976 |
Jun. 23, 2000 |
Albinas Kurkulis |
| 34-42972 |
Jun. 21, 2000 |
Malcolm McGuire III |
| 34-42968 |
Jun. 21, 2000 |
Waste Management, Inc. |
| IA-1882 |
Jun. 20, 2000 |
Timothy J. Lyons |
| IA-1881 |
Jun. 20, 2000 |
James L. Foster, Steven M. Bolla, Laurie F. Foster, and William E. Busacker, Jr.
Release Nos. IA-1881, 34-42963 |
| 34-42956 |
Jun. 19, 2000 |
Luis Bulas, Jr. |
| 34-42955 |
Jun. 19, 2000 |
Linda Ballou, Ronald Wackler and Bruce Harlan |
| IA-1880 |
Jun. 15, 2000 |
Owen-Joseph Asset Management Corp. and William O. Foster
Release Nos. 34-42945, IA-1880 |
| IA-1879 |
Jun. 15, 2000 |
Founders Asset Management LLC and Bjorn K. Borgen |
| 34-42936 |
Jun. 14, 2000 |
Mary Sattler Polverari, C.P.A. |
| 34-42935 |
Jun. 14, 2000 |
Steven Speaks, C.P.A. |
| 34-42934 |
Jun. 14, 2000 |
Paul Hiznay |
| 34-42933 |
Jun. 14, 2000 |
Cendant Corporation |
| 33-7866 |
Jun. 14, 2000 |
William M. Stephens
Release Nos. 33-7866, 34-42941, IA-1878 |
| 33-7865 |
Jun. 14, 2000 |
Allen Z. Wolfson, Michael T. Grecco, John M. Black, Jr., Spiro, Lazaretos, Robert Balsamo, Vladimir Carvallo, and Konstantinos Dino Sonitis
Release Nos. 33-7865, 34-42940 |
| 33-7864 |
Jun. 14, 2000 |
Salvatore Piazza, James S. Labate, William F. Palla, Emmanuel Gennusso, Cary F. Cimino, Todd M. Nejaime, Kevin P. Radigan, Robert Gallo, Robert J. Dacunto, Michael P. Dacunto, Joseph P. Meduri, Vincent A. Padulo, Jr., Vito G. Padulo, John Bruzzese, Salvatore F. Ruggiero, Patrick Giglio, Irving Stitsky, Paul L. Burton, Marc I. Burton, Kenneth J. Fuina, Marc L. Weissman, Anthony P. Dinota, Jr., Facundo Ponce, Chester L. Chicosky, Lawrence M. Choiniere, William P. Burke, Michael Caso, John Catalano, Jr., George Bisnoff, Damien Douglas, Craig P. McGuinn, II, and Mark Danieli
Release Nos. 33-7864,34-42939 |
| 34-42927 |
Jun. 13, 2000 |
Donald G. Brooks
Release Nos. 34-42927, IA-1877 |
| 34-42923 |
Jun. 13, 2000 |
Lambert D. Vander Tuig |
| 33-7863 |
Jun. 13, 2000 |
Edward Williamson
Release Nos. 33-7863, 34-42924 |
| IA-1876 |
Jun. 12, 2000 |
MPI Investment Management, David Pequet and Ashok Shende |
| 34-42919 |
Jun. 12, 2000 |
City Investment Group, LLC, John Barris, and Tigran Papazian |
| 33-7862 |
Jun. 12, 2000 |
Al Avasso and Robert Schulman |
| 33-7861 |
Jun. 9, 2000 |
John S. Reger II and Business & Financial Advisors, Inc. |
| 34-42810 |
Jun. 8, 2000 |
Scott E. Edwards, CPA |
| 34-42909 |
Jun. 8, 2000 |
Firstmark Corp. |
| IA-1874 |
Jun. 7, 2000 |
Brian T. Lenihan |
| 34-42901 |
Jun. 6, 2000 |
Eric P. Furman, CPA |
| 34-42882 |
Jun. 1, 2000 |
James D. Montgomery, II, Danny R. Auerbach, and Michael L. Glaser |
| 34-42881 |
Jun. 1, 2000 |
James D. Montgomery, II, Danny R. Auerbach, and Michael L. Glaser |
| 34-42880 |
Jun. 1, 2000 |
Peter G. Mintz |
| 34-42879 |
Jun. 1, 2000 |
Samuel L. White |
| 34-42878 |
Jun. 1, 2000 |
David E. Trotter |
| 34-42877 |
Jun. 1, 2000 |
Joseph A. Monaco |
| 34-42867 |
May 31, 2000 |
Rafi M. Khan |
| IA-1872 |
May 31, 2000 |
Schield Management Company, Marshall L. Schield, and Troy M. Schield |
| IA-1871 |
May 31, 2000 |
Schield Management Company, Marshall L. Schield, and Troy M. Schield |
| 34-42856 |
May 30, 2000 |
Brian Walfish |
| 33-7859 |
May 25, 2000 |
Paul Y. Okuda, Stephen A. Thorpe, and David J. Chester
Release Nos. 33-7859, 34-42827 |
| 34-42828 |
May 25, 2000 |
R. Gordon Jones and Mark F. Jensen |
| 34-42826 |
May 25, 2000 |
Joseph P. Galluzzi |
| 34-42813 |
May 23, 2000 |
Intile Designs, Inc. |
| 34-42809 |
May 23, 2000 |
Arnold Zousmer |
| 34-42788 |
May 16, 2000 |
Sandra L. Reeder |
| 34-42781 |
May 15, 2000 |
America Online, Inc. |
| 33-7857 |
May 10, 2000 |
The Dreyfus Corporation and Michael L. Schonberg
Release Nos. 33-7857, IA-1870, ic-24450 |
| 34-42766 |
May 8, 2000 |
All-Tech Direct, Inc. f/k/a All-Tech Investment Group, Inc., Harry Lefkowitz, Mark Shefts, Lisa Esposito, Ralph Zulferino, David Waldman, Adam Leeds, and Barry Parish |
| 34-42765 |
May 8, 2000 |
All-Tech Direct, Inc. f/k/a All-Tech Investment Group, Inc., Harry Lefkowitz, Mark Shefts, Lisa Esposito, Ralph Zulferino, David Waldman, Adam Leeds, and Barry Parish |
| 34-42753 |
May 3, 2000 |
Cynthia Pfaltzgraff, CMA |
| 34-42743 |
May 2, 2000 |
Albert Adamczak, CPA |
| 34-42742 |
May 2, 2000 |
Stephen H. Spargo |
| 34-42739 |
May 1, 2000 |
Millenia Hope, Inc., c/o Irving Rothstein, Esq., Heller, Horowitz & Feit, P.C. |
| 34-42738 |
May 1, 2000 |
Intelispan, Inc. |
| 34-42737 |
May 1, 2000 |
Genesis Trading and Robert Garganese |
| 34-42731 |
Apr. 28, 2000 |
Steven G. Barkus |
| 34-42719 |
Apr. 25, 2000 |
Gerald M. Wetzler |
| 34-42718 |
Apr. 25, 2000 |
Louis G. Karabochos |
| 33-7854 |
Apr. 21, 2000 |
Charles E. Wessman
Release Nos. 33-7854, 34-72709 |
| 33-7853 |
Apr. 20, 2000 |
Richard Harriton
Release Nos. 33-7853, 34-42707 |
| 34-42695 |
Apr. 17, 2000 |
Francis T. Phalen, CPA
Release Nos. 34-42684 |
| 33-7852 |
Apr. 17, 2000 |
Mark Savage, George Panagiotou, Jr., and Dean Verrigni |
| 34-42684 |
Apr. 13, 2000 |
Rita L. Schwartz |
| 34-42674 |
Apr. 13, 2000 |
Kenneth R. Starnes |
| 34-42673 |
Apr. 13, 2000 |
Peritus Software Services, Inc. |
| 34-42670 |
Apr. 12, 2000 |
Phelps M. Wood |
| IA-1868 |
Apr. 14, 2000 |
Gold Asset Management, Inc. and Marc L. Gold |
| IA-1867 |
Apr. 13, 2000 |
Michael J. Rothmeier, Clark T. Blizzard, Rudolph Abel, Donald C. Berry, Christopher P. Roach, Craig Janutol, and East West Institutional Services, Inc. |
| IA-1866 |
Apr. 13, 2000 |
Michael J. Rothmeier, Clark T. Blizzard, Rudolph Abel, Donald C. Berry, Christopher P. Roach, Craig Janutol, and East West Institutional Services, Inc. |
| IA-1865 |
Apr. 13, 2000 |
Michael J. Rothmeier, Clark T. Blizzard, Rudolph Abel, Donald C. Berry, Christopher P. Roach, Craig Janutol, and East West Institutional Services, Inc. |
| 33-7851 |
Apr. 14, 2000 |
Cesar Odio |
| 33-7850 |
Apr. 13, 2000 |
Jerry C. Berman |
| 33-7849 |
Apr. 10, 2000 |
Nova Communications Ltd., formerly known as First Colonial Ventures Ltd. and Murray W. Goldenberg
Release Nos. 33-7849, 34-42656 |
| 33-7848 |
Apr. 7, 2000 |
Aaron Finkelstein |
| 33-7847 |
Apr. 7, 2000 |
William H. Clark |
| 33-7844 |
Apr. 6, 2000 |
Rauscher Pierce Refsnes, Inc., Dain Rauscher Incorporated, and James R. Feltham
Release Nos. 33-7844, 34-42644, IA-1863 |
| 33-7841 |
Apr. 6, 2000 |
Morgan Stanley & Co. Incorporated
Release Nos. 33-7841, 34-42642 |
| 33-7838 |
Apr. 6, 2000 |
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Release Nos. 33-7838, 34-42640 |
| 33-7835 |
Apr. 6, 2000 |
Lehman Brothers Inc.
Release Nos. 33-7835,34-42638 |
| 33-7832 |
Apr. 6, 2000 |
Goldman, Sachs & Co.
Release Nos. 33-7832, 34-42636 |
| 33-7829 |
Apr. 6, 2000 |
Salomon Smith Barney Inc. |
| 33-7826 |
Apr. 6, 2000 |
William R. Hough & Co. |
| 33-7823 |
Apr. 6, 2000 |
Painewebber Incorporated |
| 33-7820 |
Apr. 6, 2000 |
Warburg Dillion Read LLC |
| 33-7817 |
Apr. 6, 2000 |
Prudential Securities Incorporated |
| 34-42625 |
Apr. 6, 2000 |
Shan Michael Hefley |
| 34-42616 |
Apr. 4, 2000 |
Systems of Excellence, Inc. |
http://www.sec.gov/litigation/admin/adm2q00.shtml
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