1999 Administrative Orders (Securities)

Signed copies of  Petitions for Order and Orders associated with the following persons or entities are available in the PDF format.

Use the appropriate link below to view the Petition for Order.

The Order (or Orders) associated with that Petition can be accessed by using the links (red rectangles) within the Petition

For Orders issued on or after November 25, 1998, the Waiver associated with an Order can be accessed by using the links (green rectangles) within the Orders.

• Henry A Otten (PDF: 40 KB / 1 page)
  Order Issued: December 23, 1999

• Yes Entertainment Network, Inc. (PDF: 147 KB / 3 pages)
  Orders Issued: December 22, 1999
  Yes Entertainment Network, Inc., Yes Entertainment, Llc, Marketline,Ronald T. Mulhall, Eugene M. Carriere, Ronald Plomgren, Alan B. Baiocchi, Danny Brooks

• Pacific Air Transport, Inc. (PDF: 58 KB / 2 pages)
  Orders Issued: December 22, 1999
  Pacific Air Transport, Inc., Robert B. Hirsch, and Michael R. Weinberg

• Sprawlnet.Com, Inc. f/k/a Public Communication Services, Inc. (PDF: 84 KB / 2 pages)
  Orders Issued: December 22, 1999
  Sprawlnet.Com, Inc. f/k/a Public Communication Services, Inc., Alfredo Susi Aka Alfred Susi Aka Fred Susi, Aka Fred Sanders, Allen Fialkoff, Mario Presman, Fanita Stone Presman, and Steve Randazzo

• First Financial Planners, Inc., FFP Securities, Inc., and FFP Advisory Services, Inc. (PDF: 445 KB / 13 pages)
  Order Issued: December 9, 1999
  Note: This Order is based on a Multi-State Agreement instead of a Petition for Order by the staff.

• Electric Choice Investments, Inc. (PDF: 157 KB / 3 pages)
  Orders Issued: December 9, 1999
  Electric Choice Investments, Inc., San Diego Power & Light LLP, L.A. Power & Light LLP, Courant Consulting, Air Communications Management, Donald D. LaBarre, Samuel Dworkin, Milton Franklin, Alan Friezer, Martin Davis, and Michael Hollander

• New England International Surety, Inc.  (PDF: 104 KB / 2 pages)
  Orders Issued: December 1, 1999

• Alpha Telecom, Inc aka ATC, Inc.  (PDF: 98 KB / 2 pages)
  Orders Issued: November 24, 1999
  Alpha Telecom, Inc aka ATC, Inc., Life Planning Group, Inc., Florida Underwriting Co., Paul S. Rubera, and Dennis L. Baugher

• William G Sheedy  (PDF: 78 KB / 2 pages)
  Orders Issued: November 18, 1999

• Lloyd's Financial Services  (PDF: 62 KB / 2 pages)
  Orders Issued: November 17, 1999
  Lloyd's Financial Services and Lloyd J Wilson

• Alliance Trust  (PDF: 105 KB / 2 pages)
  Orders Issued: November 8, 1999
  Alliance Trust, Chemical Trust, U.S. Guarantee Corp., Clifton Wilkinson, Lewey L. Cato III, Alvin A. Tang, and O. J. Peavey

•   Retirement Foundations Inc.  (PDF: 48 KB / 1 page)
  Order Issued: November 8, 1999

•   David J. Yeazel  (PDF: 86 KB / 2 pages)
  Order Issued: October 28, 1999

•   Timothy D Morales  (PDF: 43 KB / 1 page)
  Order Issued: October 27, 1999

•   James D. Christiansen and Montfort Building Center  (PDF: 109 KB / 3 pages)
  Order Issued: October 4, 1999

•   Sun Broadcasting Systems, Inc. (PDF: 48 KB / 1 page)
  Orders Issued: September 23, 1999
  Sun Broadcasting Systems, Inc. and John Sloan

•   Technical Support Services, Inc. (PDF: 142 KB / 2 pages)
  Orders Issued: September 23, 1999
  Technical Support Services, Inc. and Fred J. Foster

•   Seleta J Nelson LLC (PDF: 34 KB / 1 page)
  Orders Issued: September 22, 1999
  Seleta J Nelson LLC and Seleta J Nelson

•   Caffe Diva Group, Ltd.  (PDF: 51 KB / 1 page)
  Orders Issued: September 16, 1999
  Caffe Diva Group, Ltd., Ronald A. Davis, and Belinda Davis

•   The American Taco Company (PDF: 48 KB / 1 page)
  Order Issued: September 10, 1999
  

•   Nationwide Wireless Communications, Inc. (PDF: 71 KB / 2 pages)
  Orders Issued: September 8, 1999
  Nationwide Wireless Communications, Inc. and Sara Jane "Sally" Peck
  

•   Aqcess Technologies, Inc. (PDF: 98 KB / 2 pages)
  Orders Issued: August 25, 1999
  Aqcess Technologies, Inc., Jon-Eric Prichard, Thomas R Patton, Lenny Vainberg, Thomas R. Sanford, Phillip Lang, and David A. Phillips

•   Pro One Janitorial, Inc. (PDF: 220 KB / 4 pages)
  Order Issued: August 13, 1999
  Pro One Janitorial, Inc., Thomas M. Verboncouer, and Jean C. Verboncouer
  

•   Merrill Lynch Pierce Fenner & Smith Inc (PDF: 49 KB / 1 page)
  Order Issued: August 13, 1999
  

•   Natural Food Technologies, Inc. (PDF: 79 KB / 2 pages)
  Order Issued: August 6, 1999
  Natural Food Technologies, Inc. and Charles Stad
  

•   Lakeside Trading (PDF: 43 KB / 1 page)
  Order Issued: August 4, 1999
  

•   Sebastian International Enterprises, Inc. (PDF: 76 KB / 2 pages)
  Orders Issued: August 4, 1999
  Sebastian International Enterprises, Inc., Ferd B. Sebastian III, Jan L. Sebastian, and Darrell J. Guilbeaux.
  

•   SafeRate Financial Services (PDF: 153 KB / 4 pages)
  Orders Issued: August 3, 1999
  SafeRate Financial Services a/k/a Miller & Associates a/k/a Capital Branch Processing Services, Inc., Alice M. Miller, Seth Miller, and Lou Ramirez Consolidated Capital LLC and Bob Ryan
  

•   CLE Diamond Mining Limited Partners (PDF: 107 KB / 2 pages)
  Orders Issued: July 28, 1999
  CLE Diamond Mining Limited Partners, Douglas E. Brooks, Joseph G. Bunyan, Kim Y. Bunyan, Charles L. Ellington, Errol Lambert, Gail F. Peoples, and Traci L. Funderburg
  

•   Tri-National Development Corporation (PDF: 137 KB / 3 pages)
  Orders Issued: July 28, 1999
  Tri-National Development Corporation, Johnson, Richards & Company, Inc., World Investors Credit Union, LC., Michael A. Sunstein, Jason A. Sunstein, Paul Goss, Gilbert R. Fuentes, Shane Kennedy, Jerry Parker, M.D., Jay Pasternak, Robert Rosen, M.D., Ted Takacs, Arthur Lilly, Richard Fabulich, and R. Eugene Herbert
  

•   St. Paul Film Foundation (PDF: 81 KB / 2 pages)
  Orders Issued: July 19, 1999
  Waivers Issued: July 29, 1999
  St. Paul Film Foundation, St. Clare Film Fund Capital Corporation, OnisimProductions, Stephen A. Jones, and Natalie Betancor-Leon
  

•   Jeffrey C. Buck (PDF: 66 KB / 2 pages)
  Order and Waiver Issued:  June 30, 1999
       
•   SEC Insider Trading Action Filed (PDF: 252 KB / 5 pages)
  June 23, 1999
       
•   Klein Maus & Shire, Inc. (PDF: 50 KB / 1 page)
  Order Issued:  June 22, 1999
       
•   First Liberty Financial (PDF: 91 KB / 2 pages)
  Orders Issued:  June 22, 1999
  First Liberty Financial, Donald Ryan, Anthony Sciuto, Donna Bailey, and Patrick Kavanaugh

•   David Brian Miller (PDF: 76 KB / 2 pages)
  Order Issued:  June 18, 1999
  

•   Satellite Recovery Network, Inc. (PDF: 51 KB / 1 page)
  Orders Issued:  June 18, 1999
  Satellite Recovery Network, Inc., Eric J. Aronson, and Jeremy M. Carman

•   World Vision Entertainment, Inc. (PDF: 63 KB / 2 pages)
  Orders Issued:  June 16, 1999
  World Vision Entertainment, Inc., Alfred Michael Jaillett, and Jamie Piromalli

•   Diagnostic Professional Imaging Services Inc. (PDF: 46 KB / 1 page)
  Orders Issued:  May 28, 1999
  Diagnostic Professional Imaging Services Inc., Michael Danilovich, and Gene Arnold

•   International Capital Management, Inc. (PDF: 115 KB / 3 pages)
  Orders Issued:  May 20, 1999
  International Capital Management, Inc., John Schembari, Nelson Schembari, Lawrence T. Tripoli, Jared L. D'Argenio, Steven M. Leppert and Robyn Sachs

•   Zuban Productions, Inc. (PDF: 101 KB / 2 pages)
  Orders Issued:  May 13, 1999
  Zuban Productions, Inc., Film Three, LP, Film 3, Ruben Preuss, Mark Robert Lane, Bill Evans, and Bruce Robinson

•   Gold Country Securities, Inc.  (PDF: 52 KB / 1 page)
  Order Issued:  May 13, 1999

•   International Currency Trading Corporation (PDF: 112 KB / 3 pages)
  Orders Issued:  May 13, 1999
  International Currency Trading Corporation, Lawrence S. Freedberg and Dennis Day

•   Norman T Christenson (PDF: 40 KB / 1 page)
  Order Issued:  May 13, 1999

•   The Basket Connection Inc (PDF: 81 KB / 2 pages)
  Orders Issued:  May 13, 1999
  The Basket Connection Inc. and Joanne Winthrop

•   Seleta J. Nelson LLC (PDF: 115 KB / 2 pages)
  Orders Issued:  May 13, 1999
  Seleta J. Nelson and Seleta J. Nelson LLC a/k/a SJN LLC

•   Royal Palm Investments, Ltd. (PDF: 97 KB / 2 pages)
  Orders Issued:  May 11, 1999
  Royal Palm Investments, Ltd., Roland I. Greenspan, and Christopher L. Miano

•   Douglas M. Trumbower (PDF: 235 KB / 4 pages)
  Order Issued:  May 4, 1999

•   William C. Seitz (PDF: 41 KB / 1 page)
  Order Issued:  May 4, 1999

•   Mark A. Gallagher (PDF: 48 KB / 1 page)
  Order Issued:  April 28, 1999

•   First United Equity Group a/k/a First United, Ltd. (PDF: 92 KB / 2 pages)
  Orders Issued:  April 26, 1999
  First United Equity Group a/k/a First United, Ltd. and Arthur E. Weinstein

•   AAA-Auction.Com, Inc. (PDF: 143 KB / 3 pages)
  Orders Issued:  April 14, 1999
  AAA-Auction.Com, Inc., Cosco Capital, Inc., Kenneth R. Weare, Clay Lambert, Geoffrey R. Gordon, Allen L. Irwin, Steven Costin, Larry Hearn, Michael A. Hart, and Marty Cohen

•   Interactive Technologies Corporation, Inc. (PDF: 176 KB / 3 pages)
  Orders Issued:  April 9, 1999
  Interactive Technologies Corporation, Inc., Airtech International Corporation, Airtech International Group, Inc., John Edwin Potter, Cengiz Jan Comu a/k/a C. J. Comu, Paul Williams, Douglas S. Keane, Scott W. Pollock, Scott McCleskey, and Wallace C. Finch a/k/a Wally Finch

•   Wireless Depot of Boston, LLP d/b/a Wireless Depot (PDF: 138 KB / 3 pages)
  Orders Issued:  April 8, 1999
  Wireless Depot of Boston, LLP d/b/a Wireless Depot, Nationwide Wireless Communications, Inc., Uni-Call Communications, Inc., Sara Jane "Sally" Peck, Warren H Blanck, William A Gale and Ed Buehler

•   Phoenix Financial Services Corp. f/k/a Delta Financial Distributors, Inc. (PDF: 47 KB / 1 page)
  Order Issued:  March 29, 1999

•   Pacific Cortez Securities, Incorporated f/k/a La Jolla Capital Corporation (PDF: 56 KB / 1 page)
  Order Issued:  March 26, 1999

•   Oleg Alec Feldman (PDF: 51 KB / 1 page)
  Order Issued:  March 26, 1999

•   Continuum Capital, Inc. (PDF: 44 KB / 1 page)
  Order Issued:  March 17, 1999

•   Creative Entertainment Group (PDF: 49 KB / 1 page)
  Order Issued:  February 12, 1999
  Creative Entertainment Group, Linda S. York, Daniel T. Loewenthal, and Francine Bergman

•   Engine World, Inc. (PDF: 42 KB / 1 page)
  Order Issued:  February 3, 1999
  Engine World, Inc., Phil C. Meisinger, Gene Stinson, Edwin W. "Bud" Wheeler

•   Commercial Express, LLC (PDF: 93 KB / 2 pages)
  Orders Issued: January 14, 1999
  Commercial Express, LLC, A & E Productions, Progressive Financial, Inc., Creative Entertainment Group, Joel A. Fein, Mark A. Ellison, Mark D. McClafferty, Grace Na, Jerry L. Aubrey, Timothy M. Hazzard, Linda S. York, Daniel T. Loewenthal, and Francine Bergman

•   National Communications Marketing, Inc. (PDF: 122 KB / 2 pages)
  Orders Issued: January 8, 1999
  National Communications Marketing, Inc., Thomas E. Murray, Stephen D. Wolfe, and Jerry Klemp