Administrative Proceedings Archive 1996

The list below provides links to notices and orders concerning the institution and/or settlement of administrative proceedings.

Fourth Quarter | Third Quarter | Second Quarter | First Quarter

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Release No.	Date	Respondents
Fourth Quarter
34-38102	Dec. 31, 1996	Mark S. Ferber
34-38088	Dec. 26, 1996	Dennis Lindsay Helliwell
34-38083	Dec. 24, 1996	Michael Donald McGahee
34-38074	Dec. 23, 1996	Stanley L. Swoyer
34-38061	Dec. 19, 1996	Dale E. Barlage
34-38055	Dec. 18, 1996	Peter M. Harrington
33-7374	Dec. 16, 1996	Ernest W. Grendi
33-7372	Dec. 16, 1996	Sky Scientific, Inc., Denver Broker-Dealers and Others
33-7370	Dec. 10, 1996	Robert Tatarowicz
34-38037	Dec. 10, 1996	Frederick V. Dona, Jr.
34-38035	Dec. 10, 1996	Michael Goodbread
34-38028	Dec. 9, 1996	Steven A. Lapper
34-38027	Dec. 9, 1996	Shaner & Company, Inc. and Mark S. Shaner
34-38026	Dec. 6, 1996	Stratton Oakmont, Inc. and Daniel M. Porush
33-7368	Dec. 4, 1996	Portfolio Management Consultants, Inc.
34-38016	Dec. 4, 1996	Westcap Securities, L.P.
33-7367	Dec. 2, 1996	Philip S. Sindler
34-38003	Dec. 2, 1996	James W. Adams
34-38002	Dec. 2, 1996	David Anderson
34-38001	Dec. 2, 1996	Stuart, Coleman & Co., Inc.
33-7366	Nov. 26, 1996	DeSoto Broadcasting, Inc. and Danford Sawyer, Jr.
34-37984	Nov. 25, 1996	Alliance Industries, Inc.
34-37966	Nov. 19, 1996	OmniGene Diagnostics, Inc.
33-7365	Nov. 18, 1996	Carmel Equity Partners, Richard L. Goodrich, Lawrence D. Isen, Peter P. Kim, Bruce E. Mesnekoff, John B. Morris, and Kelsey Van Deventer
33-7364	Nov. 14, 1996	Quality Products, Inc.
34-37940	Nov. 12, 1996	Fox-Pitt, Kelton, Inc.
33-7363	Nov. 12, 1996	George R. Johnston and Johnston Kent Securities, Inc.
34-37938	Nov. 12, 1996	Karl G. Wassmann III
34-37932	Nov. 8, 1996	Atlantis Group, Inc. (formerly known as Microterra, Inc.), Richard Fox and James E. Sidbury
34-37926	Nov. 6, 1996	Edward D. Jones & Co.
33-7362	Nov. 6, 1996	Robert Gann
33-7360	Oct. 31, 1996	Gruntal & Co., Inc. and Gruntal Financial Corp.
33-7359	Oct. 31, 1996	Gruntal & Co., Inc.
34-37905	Oct. 31, 1996	Troy Lee Wood
34-37898	Oct. 31, 1996	Peter C. Tosto
34-37892	Oct. 29, 1996	Richard K. Steele, Sr.
34-37889	Oct. 29, 1996	International Energy, Development Coproation and Jerome B. Richter
34-37879	Oct. 28, 1996	Alan G. Lewis
34-37848	Oct. 22, 1996	Calvin M. Dyer
34-37847	Oct. 22, 1996	Midisoft Corporation
34-37843	Oct. 21, 1996	Greg Steven Kaplan
33-7358	Oct. 17, 1996	Cambridge Biotech Corporation
34-37834	Oct. 17, 1996	Nir Kantor
IA-1594	Oct. 17, 1996	Calamos Asset Management, Inc. and John P. Calamos
34-37832	Oct. 17, 1996	Andrew Bressman, Roman Okin, Richard Acosta, Richard Simone, Burton Blank, Mark Goldman and Jack Wolynez
34-37831	Oct. 17, 1996	A.R. Baron & Co., Inc.
34-37830	Oct. 17, 1996	A.R. Baron & Co. Inc., Andrew E. Bressman and Roman Okin
34-37822	Oct. 15, 1996	George A. Rotelli
34-37821	Oct. 15, 1996	Alfred M. Bauer
34-37820	Oct. 15, 1996	Flagship Securities, Inc., Dennis G. Milewitz And Noreen M. Barrington
34-37819	Oct. 15, 1996	Novatek International, Inc.
34-37804	Oct. 15, 1996	Greenway Capital Corporation and Joseph M. Guccione
34-37814	Oct. 11, 1996	Paul L. Parshall
33-7357	Oct. 10, 1996	Roland Acevedo, Alfred P. Avasso, George Badger, Steve Bingaman, Ira Blackey, Thomas J. Browne, Daryl Buerge, Richard Cedrone, Cary Cimino, Dale Eyman, John Fasano, Bartholomew Haring, Theodore Heitzman, Gary Hrycyk, Richard Langley, Jr., Michael Lapp, Gerald Larder, Norman Lescht, Miron Leshem, William Lucas, Richard Mallion, James Manas, Gamal Ashraf Marwan, Gerald Cash Mcneil, Gary Mitchell, Robert Mitchell, Gregory John Mouen, Timothy Murray, Edward Padnos, George Panagiotou, Joseph Pignatiello, Jeff Pokross, Alexander Ruge, Blake Marshall Russ, Mark Anthony Savage, Robert Schulman, Andrew Scudiero, Sy Siegel, Bertram Slutsky, Jeffry Szur, Jeff Trenk, Dean Christopher Verrigni, Trung Vugia, Edward Williamson, Allen Wolfson John Chapman;
34-37798	Oct. 9, 1996	Richard Cannistraro
34-37791	Oct. 7, 1996	Systems of Excellence, Inc.
34-37785	Oct. 4, 1996	William Edwin Somdahl
34-37775	Oct. 2, 1996	Daniel D. Dietrich and Robert J. Judge
33-7354	Oct. 2, 1996	Maricopa County
33-7353	Oct. 2, 1996	Peacock, Hislop, Staley & Given, Inc. and Larry S. Given
33-7352	Oct. 2, 1996	Aura Systems Inc., Zvi Kurtzman, Francis T. Phalen and Joseph Bevacqua
Third Quarter
34-37768	Sep. 30, 1996	Anthony Sarivola
34-37762	Sep. 30, 1996	Octagon, Inc.
34-37758	Sep. 30, 1996	Frederick V. Dona Jr.
34-37757	Sep. 30, 1996	Thomas A. Piechowicz, James M. Flynn and Christopher Conway
34-37756	Sep. 30, 1996	Michael D. Gibson, Gregory C. Moore, and Jay D. Liebowitz, and David McClure
34-37755	Sep. 30, 1996	The O.N. Equities Sales Company
33-7349	Sep. 30, 1996	American Financial Partners, Ltd. and Jeffrey S. Rosenberg
33-7346	Sep. 30, 1996	M. Charles Zanaty
IA-1589	Sep. 30, 1996	Domenic P. Ferrante
IA-1588	Sep. 30, 1996	Vigil Asset Management Group, Inc. and Thomas Batterman
34-37766	Sep. 30, 1996	Stephen J. Sogin and Steven N. Weiss
34-37765	Sep. 30, 1996	Philip Greifeld
34-3776	Sep. 30, 1996	Richard J. Line
34-37761	Sep. 30, 1996	Monte S. Colbert
34-37760	Sep. 30, 1996	Bernard Zelenka
34-37749	Sep. 30, 1996	Atlantis Group, Inc. (f/k/a Microterra, Inc.), Richard Fox and James E. Sidbury
34-37747	Sep. 30, 1996	Rom N. De Guzman
33-7344	Sep. 30, 1996	3Net Systems, Inc.
34-37754	Sep. 30, 1996	Fahnestock and Co., Inc. and William E. Bierlin, Jr.
33-7345	Sep. 30, 1996	Maricopa County, Arizona
33-7343	Sep. 30, 1996	Lawrence M. Gress
33-7348	Sep. 30, 1996	Curtis Lynch and David Hollander
33-7347	Sep. 30, 1996	Stires & Co., Inc., and Sidney H. Stires
IA-1586	Sep. 27, 1996	Milton Puryear
34-37743	Sep. 27, 1996	Philadelphia Investors, Ltd. and Clarence Z. Wurts
33-7342	Sep. 27, 1996	Norman L. Sirak
33-7341	Sep. 27, 1996	Carolyn Safer Kenner
IA-1585	Sep. 27, 1996	Concord Investment Company
IA-1584	Sep. 27, 1996	Patricia Owen-Michael
34-37742	Sep. 27, 1996	Michael G. Cohen
34-37741	Sep. 27, 1996	Republic International Corporation
34-37738	Sep. 27, 1996	Frederick W. Smith
34-377737	Sep. 27, 1996	Gerald Johnson
IA-1582	Sep. 26, 1996	Ira William Scott
33-7339	Sep. 26, 1996	Peter Tosto, Investor Relations, Inc., George Panagiotou, Mark Savage and Dean Verrigni
34-37733	Sep. 26, 1996	H. Ralph Sylvester, Donald R. Krueger and John C. Hawver
34-37730	Sep. 26, 1996	Advanced Micro Devices, Inc.
33-7338	Sep. 26, 1996	Broad Capital Associates, Inc. and Murray Arron Huberfeld
33-7337	Sep. 26, 1996	Michael C. Robertson and M.C. Robertson & Associates, Inc.
34-37727	Sep. 26, 1996	Richardt-Alyn & Co., and Richard B. Fienberg
33-7336	Sep. 25, 2996	Jeffrey L. Dunn
33-7335	Sep. 25, 1996	David G. Batu
34-37720	Sep. 24, 1996	Moors & Cabot, Inc.
34-37719	Sep. 24, 1996	Wilshire Technologies, Inc.
34-37716	Sep. 24, 1996	Robert McClernon
34-37715	Sep. 24, 1996	James Warren
34-37710	Sep. 23, 1996	Kimberly D. Goodman
34-37709	Sep. 23, 1996	Stanley L. Swoyer
34-37708	Sep. 23, 1996	George C. Bergleitner, Jr.
33-7334	Sep. 23, 1996	Monness, Crespi, Hardt & Co., Inc., and Neil Crespi
34-37707	Sep. 23, 1996	Howe Barnes Investments, Inc.
34-37705	Sep. 20, 1996	Richard S. Berger
IA-1580	Sep. 19, 1996	Wayne A. Maki
34-37702	Sep. 19, 1996	Eli Buchalter and the Eli Buchalter Accountancy Corporation
33-7333	Sep. 19, 1996	Cypress Bioscience Inc. and Alex P. De Soto
33-7332	Sep. 19, 1996	Vincent P. Loban and First Capital Marketing Group
34-37689	Sep. 18, 1996	Paul Stansberry
34-37683	Sep. 16, 1996	William Scott Smith
34-37682	Sep. 16, 1996	Raul N. Rodriguez
34-37685	Sep. 16, 1996	Domenick M. Schina
34-37681	Sep. 16, 1996	JMDC Global Corp.
33-7330	Sep. 13, 1996	Elliott B. Rosenberg, Jack A. Gilbert, Howard M. Caplan, Gerald J. Perlmutar and Douglas H. Mansfield
34-37674	Sep. 12, 1996	Michael J. Eberle,Robert D. Hodge,Thomas L. Costello,Donald H. Gilliland, Thomas J. VanEcho and Thomas J. Williamson
34-37671	Sep. 12, 1996	Stephen M. Jordan, Douglas A. Burnip,Dennis A. Dunlap, Tina M. Applegate,Miguel A. Lucas and Larry R. Ryan
34-37673	Sep. 12, 1996	Lehman Brothers Inc., as the successor to Shearson Lehman Brothers Inc.
34-37669	Sep. 12, 1996 (REVISED TEXT 9-30-96	Tudor Investment Corporation
34-37664	Sep. 10, 1996	Stephen R. Parker
34-37662	Sep. 9, 1996	Robert Gilbert, Alan Weissman and Daniel Felter
34-37661	Sep. 9, 1996	Jeffrey Weisman and Martin Weisman
34-37660	Sep. 9, 1996	F. Otto Busot
34-37641	Sep. 5, 1996	Food Research Corporation
33-7327	Sep. 5, 1996	Advanced Medical Products, Inc., Clarence P. Groff and James H. Brown
34-37634	Sep. 4, 1996	Philip Forma, Sr., Alan Herr, Herbert Herr, and Stanley Mindel
34-37580	Aug. 19, 1996.	Global Timber Corporation
IA-1577	Aug. 15, 1996.	Cabot Money Management, Inc. and Robert T. Lutts
IA-1576	Aug. 8, 1996.	Ronald M. Zook
34-37545	Aug. 8, 1996.	Richard Jenkins
34-37544	Aug. 8, 1996.	Frank Duca
34-37538	Aug. 8, 1996	National Association of Securities Dealers, Inc.
IA-1574	Aug. 6, 1996	Douglas L. Blair
34-37531	Aug. 6, 1996	Refco Securities, Inc.
34-37530	Aug. 6, 1996	Robert J. Dantone
34-37514	Aug. 2, 1996	A.R. Baron & Co., Inc., Andrew E. Bressman and Roman Okin
34-37498	Jul. 30, 1996	James A. Sehn and Samuel O. Forson
33-7318	Aug. 1, 1996	Rodger E. Thornton
33-7317	Jul. 30, 1996	John Silseth
33-7315	Jul. 26, 1996	Robert K. Williams and College Planning Services, Inc.
34-37494	Jul. 30, 1996	Kenneth J. Schulte
34-37486	Jul. 26, 1996	Daniel D. Dietrich and Robert J. Judge
34-37485	Jul. 26, 1996	Victor L. Kashner and Kashner Davidson Securities Corporation
34-37483	Jul. 26, 1996	Stephen J. Kandel
34-37477	Jul. 25, 1996	Payne & Thornton, Inc. d/b/a Retirement Investment Group
33-7313	Jul. 25, 1996	Elliott B. Rosenberg, Jack A. Gilbert, Howard M. Caplan, Gerald J. Perlmutar and Douglas H. Mansfield
33-7312	Jul. 24, 1996	Peter C. Ferraro and William G. Stayduhar
34-37468	Jul. 23, 1996	David Lee Printy
IA-1571	Jul. 16, 1996	McKenzie Walker Investment Management, Inc. and Richard C. McKenzie, Jr.
34-37422	Jul. 11, 1996	Al Rizek
34-37419	Jul. 11, 1996	Alexander Sheshunoff, Sr.
34-37396	Jul. 2, 1996	Hein + Associates LLP and Duane C. Knight
Second Quarter
33-7309	Jun. 28, 1996	Alfred Bauer and J. Stephen Stout
33-7308	Jun. 27,1996	Portofolio Management Consultants, Inc. and Kenneth S. Phillips
33-7307	Jun. 27, 1996	Marc N. Geman
33-7306	Jun. 25, 1996	Danny G. Pinkerton and Kevin N. Campbell
33-7305	Jun. 25, 1996	Vytas Jonusas
34-37354	Jun. 24, 1996	Richard D. Propper
34-37353	Jun. 24, 1996	Jack Olshansky
34-37350	Jun. 21, 1996	Harry D. Sweeney
34-37340	Jun. 20, 1996	Michael J. Eberle, Robert D. Hodge, Thomas L. Costello, Donald H. Gilliand, Thomas J. Vanecho and Thomas J. Williamson
34-37270	Jun. 3, 1996	Mark S. Tague
34-37269	Jun. 3, 1996	Jon R. Erickson
IA-1566	Jun. 11, 1996	Dorothy J. Brenna
34-37300	Jun. 11, 1996	Fu-sung Peter Wu
33-7304	Jun. 11, 1996	Gary S. Missner
33-7303	Jun. 11, 1996	Henry P. Becker
34-37286	Jun. 7, 1996	Benjamin Rex Moses
34-37292	Jun. 10, 1996	The Home Link Corporation
34-37278	Jun. 4, 1996	Transcorp Pension Services, Inc.
34-37272	Jun. 4, 1996	Robert Sayegh, Thomas Core, and John J. Cranley
34-37254	May 30, 1996	Greenway Capital Corporation and Joseph M. Guccione
34-37248	May 29, 1996	A.R. Baron & Co., Inc., Andrew Bressman, and Roman Okin
34-37248	May 28, 1996	Wendell Jeffrey Lee
33-7298	May 24, 1996	Churchill Securities, Inc. and Gerald P. Hirsch
34-37272	May 23, 1996	Birgit Mechlenburg, A/K/A Gitte Mechlenburg
34-37240	May 23, 1996	A.R. Baron & Co., Inc., Andrew Bressman, and Roman Okin
33-7295	May 21, 1996	Robert K. Williams and College Planning Services, Inc.
33-7296	May 21, 1996	Anthony J. Benincasa
33-7294	May 21, 1996	Voucher Investment Fund RUSS-INVEST
34-37232	May 21, 1996	Douglas W. Osborne
34-37226	May 20, 1996	Melvin Mullin
34-37222	May 16, 1996	Milton Mermelstein and Frank E. Stephan, Jr.
33-7292	May 13, 1996	David Anderson
33-7291	May 13, 1996	John Silseth
34-37209	May 14, 1996	Comparator Systems Corp.
33-7290	May 10, 1996	Brian Paonessa, Stanley Jenkins and Sam Sehon
34-37194	May 10, 1996	M. Susan Soltis and Steven T. Hiratsuka
34-37185	May 9, 1996	Platinum Software Corporation, John F. Keane and William B. Falk
34-37168	May 6, 1996	William F. Lincoln
34-37167	May 3, 1996	Lawrence R. Hartz and Stephen S. Knepp
34-37164	May 3, 1996	Kenneth A. Zak
IA-1561	Apr. 30, 1996	Brian J. Sheen
34-37153	Apr. 30, 1996	Kevin Bartholomew
34-37147	Apr. 29, 1996	Thomas J. Maccormack
33-7284	Apr. 23, 1996	Eugene Konev
34-37129	Apr. 19, 1996	Linda J. Bustin
34-37128	Apr. 19, 1996	Centuri, Inc.
34-37127	Apr. 19, 1996	Charles W. Wallin
34-37111	Apr. 12, 1996	P. Michael Goodman
34-37108	Apr. 12, 1996	Carl E. Lovell and Danna Wale Lovell
33-7279	Apr. 9, 1996	Gruntal & Co., Inc., and Gruntal Financial Corp.
33-7278	Apr. 9, 1996	Gruntal & Co., Inc.,
34-37082	Apr. 8, 1996	Calvin L. Word
34-37065	Apr. 4, 1996	Flagship Securities, Inc., Dennis G. Milewitz and Noreen M. Barrington
34-37064	Apr. 3, 1996	Michael J. Randy
34-37063	Apr. 3, 1996	George J. Conway
First Quarter
34-37043	Mar. 29, 1996	The Enstar Group, Inc.
33-7276	Mar. 29, 1996	BT Securities Corporation
34-37041	Mar. 29, 1996	Bernard H. Levy
34-37039	Mar. 28, 1996	John Dankovich and Linda Dankovich
34-37031	Mar. 27, 1996	David Sims and Lewis Kurtz
34-37019	Mar. 25, 1996	Becky A. Swanston
34-37018	Mar. 25, 1996	David F. Smith
33-7274	Mar. 15, 1996	Seth R. Roberts
34-36974	Mar. 14, 1996	Leroy S. Brenna
33-7273	Mar. 14, 1996	Richard G. Wiwi and Oracle Partners
34-36963	Mar. 13, 1996	Philip Snyder
34-36962	Mar. 13, 1996	Pamela Woods
34-36949	Mar. 11, 1996	Louis R. Weiss
34-36941	Mar. 7, 1996	Claudio Peter Iodice, Inc.
34-36937	Mar. 7, 1996	FAIC Securities, Inc.
34-36929	Mar. 6, 1996	Sandra Logay
34-36928	Mar. 6, 1996	Robert M. Simpson
3-8967	Mar. 5, 1996	John M. Goldberger and C. Kirk French
IA-1557	Mar. 1, 1996	Investors Income Systems of Florida, Inc.
34-36909	Feb. 29, 1996	Quest Capital Strategies, Inc. and David Chen Yu
34-36906	Feb. 29, 1996	Mitchell A. Vazquez
34-36898	Feb. 28, 1996	Greg M. Anderson and Russell G. Koch
IA-1554	Feb. 27, 1996	Professional Management-St. Louis Inc. and Wayne B. Conwell
IC-21783	Feb. 27, 1996	R. Marvin Mears
IC-21790	Feb. 27, 1996	Morris L. Lerner
34-36893	Feb. 27, 1996	Richard A. Knight
34-36886	Feb. 27, 1996	Continental Capital & Equity Corp. and John R. Manion
34-36878	Feb. 26, 1996	Ralph E. McKittrick
34-36879	Feb. 23, 1996	Kenneth A. Zak
34-36877	Feb. 23, 1996	Diagnostek, Inc., Joseph Sanginiti and Dennis Evans
34-36873	Feb. 22, 1996	Eugene Konev
34-36872	Feb. 22, 1996	John S. Griffin
34-36870	Feb. 22, 1996	David Arnold, David East and Jerry Payne
IA-1553	Feb. 22, 1996	Leroy S. Brenna and Dorothy J. Brenna
34-36865	Feb. 21, 1996	Candie's, Inc., Response USA, Inc., Salvatore Mazzeo and Schneck Weltzman Hashmall & Mischel
34-36855	Feb. 16, 1996	American Aricraft Corporation
34-36854	Feb. 16, 1996	Patricia Ann Bellows
34-36847	Feb. 14, 1996	Jon Edelman
34-36846	Feb. 14, 1996	Roc C. Hatfield
34-36845	Feb. 14, 1996	Westcap Securities
34-36839	Feb. 13, 1996.	Patrick J. Doherty
34-36838	Feb. 13, 1996.	John L. Fauls III
34-36835	Feb. 13, 1996.	Russell Ponce
34-36829	Feb. 12, 1996.	James S. Small
34-36808	Feb. 5, 1996	Charles Joseph Bazarian
34-36805	Feb. 1, 1996	Robert E. Lindley
34-36804	Feb. 1, 1996	Valerie Jensen
34-36803	Feb. 1, 1996	Ronald A. Romito
34-36802	Feb. 1, 1996	Raymond Charles Gross and James Eugene Hammonds
34-36800	Feb. 1, 1996	Kerkhoff Industries, Inc., John Russell Wells and Mark J. Wells
34-36787	Jan. 30, 1996.	William Cho
34-36779	Jan. 26, 1996	Robert Vecchioni
34-36773	Jan. 25, 1996	The Robinson-Humphrey Company, Inc. and William L. Effinger, III
34-36768	Jan. 25, 1996	Joseph M. Arron
33-7261	Jan. 25, 1996	Stanley Peter Kerry
33-7260	Jan. 24, 1996	County of Orange, California, the Orange County Flood Control District and the County of Orange, California Board of Supervisors
34-36761	Jan. 24, 1996	(Orange County) 21a Report
33-7259	Jan. 22, 1996	Anthony J. Negus
34-36736	Jan. 18, 1996	P. Michael Goodman
34-36735	Jan. 18, 1996	Michael J. Randy
34-36734	Jan. 18, 1996	George J. Conway
34-34724	Jan. 17, 1996	PaineWebber Incorporated
IA-1547	Jan. 16, 1996	Investors Income Systems of Florida
IA-1546	Jan. 16, 1996	Joseph Edwin Giewartowski
34-36713	Jan. 15, 1996	Ronald Effren, Andrew S. Fink and Lee L.Engel
34-36700	Jan. 11, 1996	William F. Moody, Jr.
34-36699	Jan. 11, 1996	American Aircraft Corporation
34-36696	Jan. 9, 1996	Orlando Joseph Jett and Melvin Mullin
34-36695	Jan. 9, 1996	Edward A. Cerullo
34-36694	Jan. 9, 1996	First Fidelity Securities Group
34-36679	Jan. 4, 1996	Bradford P. Gillingham
34-36678	Jan. 4, 1996	Robert D. Carl, III
34-36673	Jan. 3, 1996	Edmund C. Lipinski
34-36672	Jan. 3, 1996	William W. Krueger
34-36670	Jan. 3, 1996	Fernando Cappuccio
34-36669	Jan. 3, 1996	Florio Fiorini

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