[Federal Register Volume 61, Number 68 (Monday, April 8, 1996)]
[Notices]
[Pages 15533-15537]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-8625]
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SECURITIES AND EXCHANGE COMMISSION
[Release No. IA-1559]
Notice of Intention To Cancel Registrations of Certain Investment
Advisers
April 3, 1996.
Notice is given that the Securities and Exchange Commission (the
``Commission'') intends to issue an order, pursuant to Section 203(h)
of the Investment Advisers Act of 1940 (the ``Act''), cancelling the
registrations of those investment advisers whose names appear in the
attached Appendix.
Section 203(h) provides, in pertinent part, that if the Commission
finds that any person registered under Section 203, or who has pending
an application for registration filed under that section, is no longer
in existence, or is not engaged in business as an investment adviser,
the Commission shall by order, cancel the registration of such person.
Paragraph (b) of Rule 204-1, requires an investment adviser to file
promptly an amendment to its application for registration (Form ADV)
when its address changes or when certain other information becomes
inaccurate in a material manner.\1\ The Commission has been sending all
registrants a booklet of registration materials annually since 1987.
Each booklet contains copies of Forms ADV, ADV-S, ADV-E and ADV-W.\2\
These forms, when properly filed, are used to update the Commission's
records. Since the 1992 mailing, the Commission has had correspondence
for each of the registrants listed in the Appendix returned as
``undeliverable'' (addressee unknown, forwarding order expired, or no
longer at this address) by the U.S. Postal Service. The Commission's
records indicate that these registrants have not filed amendments to
their registration, reflecting their current business and/or mailing
addresses, as required by Rule 204-1(b). The Commission's records also
indicate that many of these registrants have not made annual filings of
Form ADV-S, as required by Rule 204-1(c). Accordingly, the Office of
Compliance Inspections and Examinations and the Division of Investment
Management believe that reasonable grounds exist for a finding that
these registrants are no longer in existence or are no longer engaged
in business as investment advisers.
\1\ Under Section 204 of the Act and Rule 204-1 thereunder, an
investment adviser must also file an annual supplement (Form ADV-S)
providing the Commission with certain information about its business
activities.
\2\ Form ADV-E is used by accountants for certification of
client funds and securities in the possession of an adviser. Form
ADV-W is used to voluntarily withdraw from registration as an
investment adviser.
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Notice is also given that any interested person may, by May 17,
1996, at 5:30 p.m., submit to the Commission in writing a request for a
hearing on the cancellations, accompanied by a statement as to the
nature of his interest, the reason for such request, and the issues, if
any, of fact or law proposed to be controverted, and he may request
that he be notified if the Commission should order a hearing thereon.
Any such communication should be addressed: Secretary, Securities and
Exchange Commission, Washington, D.C. 20549.
At any time after May 17, 1996, the Commission may issue an order
cancelling any or all of the investment advisers listed in the
Appendix, upon the basis of the information stated above, unless an
order for a hearing on the cancellation shall be issued upon request or
upon the Commission's own motion. Persons who requested a hearing, or
to be advised as to whether a hearing is ordered, will receive any
notices and orders issued in this matter, including the date of the
hearing (if ordered) and any postponements thereof.
For further information contact: Robert L. Lewis, Staff
Accountant at (202) 942-0517 (Office of Compliance Inspections and
Examinations).
For the Commission, by the Office of Compliance Inspections and
Examinations, pursuant to delegated authority.
Margaret H. McFarland,
Deputy Secretary.
Appendix--Northeast Region (Formerly: Boston, New York and Philadelphia
Regional Offices)
Boston
801-04035 American Investors Corp
801-09993 Atlantic Capital & Research Inc.
801-10021 Day, Thomas Ewing
801-12909 Blank, Russell Eugene
801-14112 Investment Research Board Inc.
801-14669 Capen, Samuel Walker
801-15501 Growth Stock Services Inc.
[[Page 15534]]
801-15575 Pell Rudman & Co., Inc.
801-15888 Mahoney, Andrew Jackson
801-16300 Perry, Ami
801-18211 LFP Advisory Corp
801-20216 Marshall Group Inc.
801-20322 Boudreaux Financial Corp
801-23057 Cousin, Edward Joseph
801-23242 Duff, Timothy David
801-24127 Fietz, Robert Glenn
801-25538 Vidette, Michael Patrick
801-25714 Wealth Planning Consultants Inc.
801-26370 Kingbridge Management Co. Inc.
801-26910 Kent, Dennis Brian
801-28425 Crestview Investment Advisors Inc.
801-28829 Shea Associates Inc.
801-28916 Ing, Kelvin Kum Sun
801-30999 Reiss, Hans Fredrick
801-32136 Smith, Kevin Arthur
801-32185 Fund Management Associates Inc.
801-32311 Feeley, Joseph Clement
801-32591 Carroll, Edward Roberts
801-32760 Shea Financial Group Inc.
801-32897 Grant, Lisa Phyliss
801-33121 State Street Capital Advisors Inc.
801-33736 Constantine, Arthur T.
801-34891 Von Kohom & Associates Inc.
801-34913 Dabre, Edgar Reginald
801-35394 North Asset Management Inc.
801-35536 Buckles, Thomas Brian
801-36637 A.J. Investments Limited Partnership
801-38285 Balances Inc.
801-38474 Shea, Robert Stephen
801-38702 Hershberg, Matthew Charles
801-39010 West, Bernard Terrance
801-39474 Jimenez, Stephen
801-40087 IRC Investments Inc.
801-40108 Prism Enterprises Inc.
801-40152 Business Funding Group Inc.
801-40445 Toffey, John James
801-40464 Neilan, James John Jr.
801-40915 R.E. Partnership Services Inc.
801-41673 Meridien Capital Management Ltd.
801-41843 CP Consulting Ltd.
801-41895 Kelso, Douglas Scott
801-42881 Herminghaus, Henry Donald
801-44938 Ray Dirks Advisory Inc.
New York
801-07514 Investors Security Services Inc.
801-09217 UST Advisory Co. Inc.
801-12477 TA Management Co
801-13411 Levine, Alfred
801-15075 Ostaros Market Newsletter
801-15934 Josephthal & Co., Inc.
801-16534 Zabronsky, Alan
801-17050 Reed, James William
801-18280 Manhattan Capital Management Inc.
801-19217 Klinger, Mandel
801-20158 American Foresight Inc.
801-22705 Applied Portfolio Disciplines Inc.
801-23374 Simon, Stanley Harvey
801-24271 Schulman, Daniel B.
801-24355 King, D.L.
801-24494 Ahrens, Peter
801-26633 Trustee Management Inc.
801-28497 Hanseatic American Group Inc.
801-28660 Financial Planning Store Inc.
801-28693 Kolinsky, Steven Ira
801-28861 Clancy Capital Management Inc.
801-29237 Immediato, Peter Joseph
801-29401 Turner, Herman Alfred
801-29514 Joyce, Marjorie Andras
801-30276 L&M Financial Services Inc.
801-30965 Thorpe, Barbara Ann
801-31132 Nestegg Associates Inc.
801-31166 Mitchell, Robert Emmet
801-31800 Simpson Martin Asset Management Inc.
801-31904 Thompson, Maria Markham
801-32422 Procorp Advisory Inc.
801-32763 Gallagher & Associates Inc.
801-32827 Krieger Investments Ltd.
801-34338 Zuck, Peter & Co., Inc.
801-34477 Innovative Financial Planners Inc.
801-35064 Kim, Jerry Taek
801-35617 Reynolds Organization Inc.
801-35789 Wilson Associates Capital Corp
801-36177 Sowarby, John Associates Inc.
801-36716 Druz, Dan Adlai
801-38080 Chapin Draco Inc.
801-38388 Jackson Financial Services Inc.
801-38518 International Strategy & Investment Bond Group Inc.
801-38694 Westreich, Philip Donald
801-38697 Berkeley Capital Management Inc.
801-38790 Bloom, Charles Leonard
801-38940 New Trends Capital Management Corp
801-39046 Gross, Bernard Leon
801-39128 Mitchell & Henry Inc.
801-39570 Tip Top Planning Services Inc.
801-39667 Bradbury Financial Group Inc.
801-39906 Bockler, Stuart
801-41176 Coastal Investment Management Corp
801-41229 Schreiber, James
801-41740 Latef, Javed Anver
801-41761 Network Advisory Services Inc.
801-41768 BFM Japan Inc.
801-41906 Chunduru, Ravi Kumar
801-42102 Educators Financial Management Inc.
801-43179 Tip Top Financial Management Inc.
Philadelphia
801-09109 Gunn & Howard Investors Services
801-15183 Kincaid, Douglas Wexler
801-15818 Moran, M.P. & Assoc. Inc.
801-15964 Hermann, Edward Ronald
801-16222 Spectrum Systems Inc.
801-18257 Collins Investment Corp
801-19421 Hall, Nancy Lee
801-19685 Brickman, Myrtle
801-20217 Mensh, Jeffrey C.
801-20463 Soens, Robert Paul
801-20673 First Financial Management Corp
801-21610 Hidden Value
801-21785 Johnson, Glenn Owen
801-22054 Kuperman, David Arnold
801-22111 Bridges, James Martin
801-23101 Cizinsky, Ludvik
801-23175 Switzer, William Wayne
801-25289 Derand Wealth Advisors Inc.
801-25311 Taylor, Dahri Louise Hill
801-25523 Hopkins, Laura Sue
801-25920 USF&G Review Management Corp
801-26510 Rosals Tax Service Inc.
801-26957 Murphy, Michael John
801-27466 Robinson, M. & Associates
801-27514 Stahlschmidt, Frank Ford
801-27596 Arrington, Edwin Shelbum
801-27651 VDL Ltd.
801-27944 Smithy Braedon Property Co
801-28344 Jones, Jimmie Dene
801-28346 Yen, Chi Lin
801-28745 Cord, Joseph Anthony
801-29030 Newtown Assocs. Investment Advisory Services Inc.
801-29390 Investment Counselors of Roland Park Inc.
801-30461 Huber, Joan J.
801-31235 Eisenberg, Sandra Harol
801-31873 Edmondson, Tad W.
801-32120 Hall, Dywane Alberto
801-32753 Fisher, Clark W. Jr.
801-32956 Douse, George Hunt
801-33258 Markex Inc.
801-33514 Washington Asset Management Inc.
801-33549 Roller Consulting Co., Inc.
801-33758 Edmondson Capital Management, LP
801-34992 Holmes, Allen Edgar
801-35147 Smithy Braedon Realty Investors, Inc.
801-35298 Featherston, Dean Cobb
801-35385 Fravell, Charles Bobbie
801-36163 Osterneck, Alexander
801-36263 Stock Market Research Inc.
801-36298 Boing European Capital Management, Inc.
801-36376 Childers, Roland Dexter, Jr.
801-36385 Meikle, Mark Gregory
801-37121 Graffius, Gordon Marlyn
801-37196 Churchville Financial Service Corp
801-37292 Kashyap, Hans
801-37353 Chaze, Jean Pierre Joseph
801-37408 CEC Advisors, Inc.
801-37682 Patterson, R.R. & Co.
801-37803 Prophter Co., Inc.
801-37995 Wright, Veralynn Laverna
801-38012 Schwartz, Michael Louis
801-38562 Terry, Christopher Daniel Barratt
801-38977 Bretschneider Pauley & Tyndall, Inc.
801-39252 Princeton Asset Management, Inc.
801-39480 Decker, Timothy Jay
801-39526 Faxfolio, Inc.
801-39800 Linder, Raymond Terence
801-39903 Gordon, Lawrence Jay
801-39963 Kretsch, Gerald Peter
801-40630 Dolan, Michael Francis
801-40837 First State Financial Advisors, Inc.
801-41053 Goodwin, Harry Hobbs
801-41338 College Planning Services, Inc.
801-41647 Garris, James Thomas
801-43375 Blount, Martin Conrad
801-43445 Regent Capital Advisors, Inc.
801-43541 Jernigan, Edward Earl
801-43724 Premier Bank Services Corp
801-44139 Mahler, George Carl, Jr.
801-44817 Maryland Financial Corp
Southeast Region (formerly: Atlantic Regional Office)
Atlanta
801-06813 Williams & Williams Financial Management, Inc.
801-10048 Carlisle Asher Management Co.
801-10187 Consensus of Insiders, Inc.
[[Page 15535]]
801-11100 Life Insurance Co. of Virginia
801-13687 Fairburn, John Alden
801-13997 Russer, Maximillan Francis
801-14141 Masingill, A.C. & Associates, Inc.
801-15269 Financial Systems Advisors, Inc.
801-15371 Vroman, Lawrence Henry
801-16642 Husserl, Henry Paul
801-16651 Davidson, Robert N.
801-16959 Tutchton, David W., Sr.
801-17115 Vanderbilt Capital Corp
801-17529 Consumer Research Group, Inc.
801-17643 Suncoast Investment Advisory, Inc.
801-17681 Volume Dynamics, Inc.
801-18050 Penrose Gilbert & Associates, Inc.
801-18237 Investment Planning & Management, Inc.
801-18502 Cusnier, Edward Adrian
801-19203 Greger, Edward George
801-19697 Zax, Joseph
801-20199 Argus Capital Management Corp
801-21570 Investment Advisory & Research Corp
801-21857 Smith, Robert Gabay
801-22317 Colley, Russell Huhn
801-22402 Russell, Richard D.
801-22605 Gilholm, Alec Sloan
801-22821 Olderman Investment Advisors, Inc.
801-22947 Sweeney, John Charles
801-23263 Bush, Gregory Jude
801-23595 Westmeyer, Cheryl Irene
801-24496 Lehmann, Richard & Associates, Inc.
801-24696 National Planning Corp
801-24778 Hudspeth, George Laverne, Jr.
801-24851 Casaccia, Giancarlo
801-24946 Investors Asset Management, Inc.
801-25011 Gallaty Enterprises, Inc.
801-25086 Communications Equity Associates
801-25323 Cooper, James McKinney
801-25469 Loch Ness Investment, Inc.
801-25549 LaRocca & Associates, Inc.
801-25601 Investors Financial Services of Tallahassee, Inc.
801-25760 Money Matters, Inc.
801-25791 Abis, Richard Meyer
801-25966 Palmer, Richard David
801-26122 Associates in Financial Planning, Inc.
801-26131 Financial Management Advisors, Inc.
801-26139 Morgan, Randall Neilson
801-26272 Collins, Claude Charles, Jr.
801-26286 Divins, Dennis Lee
801-26334 Teagues, J. Inc.
801-26726 Ward, John Royden
801-26808 Equitrust Securities Corporation
801-27096 Conceptual Financial Planning, Inc.
801-27222 M Securities Investment, Inc.
801-27238 Smith, Bernie Lynne, III
801-27307 Thompson, Lyle Byoir, MBA, CPA, Prof. Assoc.
801-27369 Fact Advisor Group, Inc.
801-27543 Thomas Chiles & Associates, Inc.
801-27751 WGW Investment Advisory, Inc.
801-27804 Capital Management Group, Inc.
801-27898 Financial Analysts of Florida, Inc.
801-28054 Glynco Investment Advisors, Inc.
801-28731 Financial Group, Inc. /Al/
801-28795 Johnson, David John
801-28870 Lashbrook, Garth David
801-29099 Slavic Mutual Management Corp
801-29177 Kennard, Jackson Haas
801-29291 Lincoln National Financial Planning of Florida, Inc.
801-29377 Planners, Inc.
801-29429 Roos, Stephen Lester
801-29441 Allen, Brian Michael
801-29586 Riverside Financial Services, Inc.
801-29593 Yanovitch, George
801-29987 Baker, Sharon Van Den Berg
801-30040 Realty Pension Advisor, Inc.
801-30387 Jackson, Fred Capers, Jr.
801-30501 Adamhill Financial Consultants, Inc.
801-30532 Option Trust, Inc.
801-30603 Graf, P.A., Inc.
801-30676 Nelson, Stephen Craig
801-30951 Dekle, Neel Randolph
801-31003 Pearson, Gloria
801-31145 Mitchell, Thomas Howard, Jr.
801-31353 Edney, Sam C. Co., Inc.
801-31424 Cheesman, David Harry
801-31502 Ell, George
801-31818 Consortium International, Inc.
801-31906 Yegge, Mark Edward
801-31960 Cornerstone Capital Management, Inc. /AL/
801-32031 Lacour, Bennett Joseph, III
801-32251 Hoad, William George
801-32395 American Investors Alliance
801-32546 Market Timers, Inc.
801-32595 Louis Anthony Advisory Group, Inc.
801-33142 Hamilton, Hugh Ford Smith
801-33149 Wiegand Carroll & Associates, Inc.
801-33342 Shine, Randolph Jefferson
801-33460 Burdin, John Wallace, III
801-33513 Ripley & Co.
801-33720 Springer, Larry Earl
801-33810 Equi Planners of Florida, Inc.
801-33812 Guzman & Co.
801-34038 Reed, Doyal Lamont
801-34056 Brooks, Carl Alan
801-34380 Bames, Stuart Francis
801-34724 Strategic Estate Concepts, Inc.
801-34893 Fagin Advisory Services, Inc.
801-34984 Russell, Mark Clinton
801-35336 Northern Financial Group, Inc.
801-35384 Terry, Alvin France
801-35393 Southeastern Capital Group, Inc.
801-35405 RBN Company
801-35436 Seagull Equivest Management, Inc.
801-35472 Rutledge, Richard Lorne
801-35484 Salud, Violeta B. & Associates, Inc.
801-35911 Hirsh, H.L. & Associates, Inc.
801-35951 Burgan Investment Management Associates
801-36428 Eli, Mitchell Evan
801-36441 Primus Advisory Corp
801-36557 DLS Financial Planning, Inc.
801-36611 Boushall & Associates, Inc.
801-36624 Trendex Capital Management Corp
801-36681 Sextant Asset Allocation, Inc.
801-36753 CC&Q Capital Management Group, Inc.
801-36761 O'Connor, Thomas John
801-37007 Argyle Asset Management Corp
801-37066 Nunn, Winston
801-37069 Priority Financial Corp
801-37094 Taylor, John Paul
801-37097 Paradise Financial Services Inc.
801-37167 McDaniel Corp
801-37317 International Investment Management Group Inc
801-37508 R2 Investment Strategies Inc.
801-37529 Solomon & Associates Inc.
801-37534 Block Capital Management Inc
801-37768 Smith, Michael Edward
801-37789 Freeman, Fount Nerone
801-37891 Analytic Capital Management Inc.
801-37929 Megy Advisors Inc.
801-38152 Miner Securities Inc.
801-38214 Institutional Treasury Management Inc.
801-38403 Jones, Donald Willett
801-38576 Maritime Holdings Inc.
801-38654 Creative Financial Planning Concepts Inc.
801-39132 Wells, Sally Ann
801-39489 Giniger, Jerome Bruce
801-39781 World Invest Corp
801-39825 Ostrowski, Donald Raymond
801-40096 Hassenger, Richard Mark
801-40137 Anchor Management Group Inc.
801-40492 Roberts Financial Corp
801-40495 Hinkle, Darryl Lee
801-40553 Diversified Financial Strategies Inc.
801-40628 Conte, Vincent Marion
801-40649 Retirement Plan Systems Inc.
801-40848 Public Asset Advisors Inc.
801-40947 French, Margo Ann
801-40969 Summit Financial Advisory
801-41043 Capital Growth Concepts Inc.
801-41067 Cornerstone Assurance Group
801-41317 Little, Paul Gibson
801-41442 Pullen & Trease
801-41680 Womack, Taft Jr.
801-41788 Midhurst Asset Management Inc.
801-41798 Americas Capital Management Inc.
801-41818 Capital Research Management Inc.
801-41835 Mayo Industries Ltd.
801-41842 Tactical Capital Management Inc.
801-42224 Denison Financial Services Inc.
801-42239 Material Ideas Inc.
801-42272 Meyers, Richard Craig
801-42275 Wilson, Richard Joseph
801-42447 Altenhoff, Norman Richard
801-42464 Internatioanl Benefit Consultant Corp
801-42620 Stiles Financial Group Inc.
801-42641 Madson, Steven Douglas
801-42802 Kehoe, Michael Aloyious
801-42806 Durland, Stephen Howard
801-42818 Houtz, Patricia Ann
801-43259 Marina Securities Inc.
801-43468 Wallace, Robert Lee
801-43516 Connors, Phillip Harry
801-43674 Lipton Capital Management Inc.
801-43893 AIBC Investment Advisors Inc.
801-44090 National Center for Financial Strategies
801-44382 Mrozinski, Phillip David
801-44396 KSquared Diversified Inc.
801-44788 Leigh & Co. Inc.
801-45061 Awad & Associates Inc.
[[Page 15536]]
801-45171 Abely, Gary Stephen
801-45371 Southern Capital Enterprises
Midwest Region (formerly: Chicago Regional Office)
Chicago
801-03045 Trendway Advisory Services Inc.
801-11557 Ruth, Thomas Lenore Jr.
801-13572 Cohen, Charlotte Smith
801-14100 Cooke, Walter & Co
801-14347 Hurley, Robert George
801-15915 American Appraisal Capital Services Inc.
801-16627 Field, Larry A. Agency
801-16979 Financial Management Strategies Inc.
801-17292 Resource Management International Inc.
801-19226 GIMG Inc.
801-19946 Fayram, David J.
801-20022 Ely, Thomas V.
801-21291 Oak Financial Advisors Inc.
801-21451 Holtan, Paul Milton
801-22155 Watson, Marilyn
801-22300 Geier & Associates Inc.
801-22450 Christopher, B.C. Securities Co
801-22503 Elan Group Financial Advisors Corp
801-22659 Vanden Plas, Mark Albert
801-22874 Financial Planning Advisor Ltd.
801-23437 Holt, Roger F., Jr.
801-23722 Creative Retirement Plans Inc.
801-23730 Miller Financial Corp
801-23752 SR&A Ltd.
801-24409 Financial Consulting Services Inc.
801-24649 Price Associates Investments Ltd.
801-24892 Croydon Investment Corp
801-25097 Dennis, Richard J. & Co
801-25144 Giblin, Louis Edward
801-25421 Financial Success Advisors Inc.
801-25436 Laatsch, Arthur A.
801-26450 DSI Financial Services Inc.
801-26817 Lundine, Lucinda Raye
801-27551 Meyer Kohn & Co
801-27660 White, John William
801-28393 Vilona La Bonne, Irene Marie
801-28806 Bookbinder & Assoc. Inc.
801-28969 Miller, Kenneth William II
801-29638 Weeks, Ronald Keith
801-29978 Cayce, Benjamin Fleming
801-30646 Sveum Financial Services Inc.
801-31094 Paisley, David Means
801-31431 Investment Watch Inc.
801-31589 Wright, Roy W. Investment Advisory Inc.
801-31603 Strategic Advisers Inc.
801-31853 Serpe, Stephen Michael
801-31897 Howell Group Inc.
801-32344 Hoyt, Douglas Keith
801-32495 Yao, Jonathan Wu Chuan
801-33420 Brown, Jeffrey Langdon
801-33671 Zabkiewicz, Fred Stanley
801-33859 Weinberg Financial Co
801-33991 Connaught Muse Ltd.
801-34168 Liss, J.E. & Co., Inc.
801-34388 Hoffman Financial Planning Ltd.
801-34601 Palmitier, Jeffrey Alan
801-34809 Kahn, Richard Low
801-35103 McCrary Capital Management Inc.
801-35604 Zonca, Todd Alan
801-35892 Metro South Financial Inc.
801-36139 Jones, David Calhoun Jr.
801-36487 Stern Brothers & Co.
801-37149 Geldermann, James Joseph
801-37172 Peake, Charles Stephen
801-37430 Hawthorn Investment Services Inc.
801-37502 Cahn Way Enterprises Inc.
801-37727 Miller, Craig Alan
801-37918 Beta Financial Services
801-38103 Union Heritage Capital Mgmt. Inc.
801-38280 Adrian, Milan Vlaisavljecvich
801-38352 Erickson, James Edward
801-38467 Sherman, Florence Anne
801-38496 Culham, Steven Edward
801-38531 Werman, Michael Bruce
801-39492 Haynes, Howard Thomas
801-39746 Ficon Inc.
801-40003 Brooks Capital Management Inc.
801-40429 Shepherd & Vitek Inc.
801-40474 First Siouxland Financial Inc.
801-40933 Patrick Michael Richard & James Inc.
801-40972 Divall Realty Advisors Inc.
801-41274 Stauffer Group Inc.
801-41998 Butler Finances Unlimited Inc.
801-42012 SCK Investment Group Inc.
801-42206 Reckmann, Curtis Blair
801-42953 Returns Unlimited Inc.
801-43456 Carver, Gary Daryle
801-44729 Trela, David John
Central Region (Formerly: Denver and Fort Worth Regional Offices)
Denver
801-02272 Flumiani, Carlo M.
801-11729 US Denver Management Inc.
801-12316 Regional Securities Corp
801-19514 Financial Planning Consultants
801-21120 Carlson Financial Services Inc.
801-22164 Aiim Financial Ltd.
801-26194 Peters, Charles Arthur
801-26385 Financial Management & Consulting Inc.
801-28259 Lynch, James Fredrick
801-28260 Lynch Municipal Advisory Inc.
801-32257 Marketrends Investment Corp
801-33341 Cathey, James Wilton Jr.
801-34921 Lynch Advisors Inc.
801-35089 Wall, Lucius J.
801-35776 C & S Financial Technology Inc.
801-36296 Poise Inc.
801-36766 Caldemeyer, Terry Lee
801-37361 Vista Del Sol Corp
801-38086 Rest, Hillard Charles
801-39366 Preferred Financial Group Inc.,
801-39366 Trading Desk Inc.
801-39374 Gomez, Michael Gerald
801-39472 Sundance Asset Management Inc.
801-39613 First National Brokerage Services Inc.
801-42077 Avey, John Jacob
801-42244 Campbell, James Butler
801-42687 Taylor, Michael John & Co
801-44695 Journey Investment Group Inc.
Fort Worth
801-10578 Carey, Richard J.
801-18281 Private Ledger Planning Corp
801-22137 Mattei, R.S. & Co., Inc.
801-24046 Schaefer, Joseph P.
801-24927 United Financial Investment Advisors Inc.
801-26506 Krocker, Dan Werland
801-26967 Benchmark Asset Management Inc.
801-27500 Futures Management Inc.
801-28449 Ainsworth & Lambert CPA
801-28687 Austin Equity Management Group Inc.
801-29212 Atlas Bookkeeping & Associates Inc.
801-29583 Reed, Richard Lee
801-30041 Security Investors Corp
801-30408 Garrett Advisory Corp
801-30436 Kavanaugh Securities Inc.
801-31324 Paulsel, Lee Allen
801-31686 Glankler & Robert
801-34347 IMS CPAs & Associates
801-34864 Advanced Advisory Inc.
801-35570 Mumm, Robert Joseph
801-36022 Sims & Sims CPAs, PC
801-36516 Guillory, Stephanie Moreau
801-39282 Karau, Jon Olin
801-39637 Shaheen, Ricky Seaid
801-40237 Still, A.K. & Co
801-41037 Wear, Craig Gordon
801-41121 New England Financial Advisors Dallas
801-41548 Flores, Ruben
801-42238 Mallicote, James McLean
801-42755 Cox, Doug P.
Pacific Region (Formerly: Los Angeles and Seattle Regional Offices)
Los Angeles
801-08511 Hadady Corp
801-14924 Levin, Roy Stuart
801-15324 Athletic Financial Planning Inc.
801-15494 Vest Corp of California
801-16058 Corsair Asset Management Inc.
801-16458 BMI Financial Group
801-16753 French, Richard James
801-16767 Mulligan, Martha Jane
801-17107 Felten, Gene & Associates Inc.
801-17278 Crowell, Richard Fred
801-18261 Katersky Financial
801-18533 Sandoval, Dennis Michael
801-19637 Trask, Richard Henry
801-21234 Abts, H.W. & Associates
801-22010 Spectrum Advisory Services Inc.
801-22167 Cash Flow Co., Inc.
801-22191 Bockstein, Solomon Aaron
801-22471 Price, Marvin F.
801-23069 Novkov, Mark William
801-23125 McDonald, Garland William
801-23316 Tax & Financial Strategies Inc.
801-23432 Wilson, Eugene Hubert
801-23457 Reynolds, David Charles
801-23464 Economic Profiles Inc.
801-23562 Liguori, Frank C.
801-24367 Princeton, J.M. Co., Inc.
801-25069 Tehachapi Tax Service
801-25118 Gordon, Maryann Spicer
801-25336 Lee, Gary Dwayne
801-25818 Lefcourt Financial Group Inc.
801-26037 Fremer, Lisa R.
801-26307 Chang, Antony Wan Tung
801-26309 Coordinated Financial Services Ltd.
801-26909 Petrossi, Louis Franklin
801-26948 Tishman West Management Corp
801-27097 Taylor, Kathryn Ann
801-27132 Evergreen Investors Inc.
801-27315 Preston Securities Inc.
801-27545 PAI Investments Inc.
801-27908 Otto, Judith M.
801-28119 Iacopi, John Timothy
[[Page 15537]]
801-28646 Pacific Inland Securities Corp
801-28720 Lindsay, Gary Lee
801-29145 O'Mara, John Francis
801-29225 Mitchell, Walter Lee
801-29380 Hummer, Robert Charles
801-29555 Reserve Financial Strategies Corp
801-29676 American Insurance Brokerage Ltd.
801-29848 Abina, Armando Arellano
801-29913 DWS Securities Corp
801-31116 Daly, E.F. Financial Group
801-31126 Hutton, Jeffrey Robert
801-31430 Palmer, Donald Dwayne
801-31486 Alsin & Co
801-31576 Boulden, James Baynard
801-31715 Financial Concepts Inc.
801-31755 Strategic Equities Corp
801-32673 Bixler, Robert Warren
801-33024 Managed Portfolio Research Inc.
801-33412 Plan Design Center Inc.
801-33585 Burroughs, John Cordell
801-33874 Morehouse, John Charles
801-34245 Financial Coalition Inc.
801-34397 Dravo, Edward Johnson, Jr.
801-34698 Henriques, Allan Inc.
801-34960 New Centruy Securities Inc.
801-35387 Balistrieri, Frank & Associates Inc.
801-35824 Kendrick, James Anthony
801-36459 Deuel Group Inc.
801-36535 Abas, Mamdoh Aziz
801-36707 Fund for Life Advisors Inc.
801-36909 Plesha, Richard Edward
801-36940 Leedha Inc.
801-37521 Morrison, Marc M.
801-37573 Matthew, A.G. & Co
801-38090 Esquire Investment Partners Ltd.
801-38422 Dewey, John Richard
801-38506 Lamkins, Gail Robin
801-38773 Carcel, Denise Pauline
801-39006 Yano, William T.
801-39264 Frazer, Steven George
801-40147 Cole, Lee Francis
801-40251 Zwicker, Theodore Benedikt
801-41056 Terranova, Ann Jennie
801-41126 Nash, McKinley Merchand
801-41225 Pine, Neil Marcell
801-41684 Clark, Victor Robert
801-41812 Kumar, Sukhandra
801-42263 Shing, Michael Shang Tung
801-42311 Podbelsek, Frank Jr.
801-43251 Stillwell Financial Service Corp
801-44903 Alexander, Richard Leroy
Seattle
801-18277 McLaurin, Donald Lee, Jr.
801-20318 Evergreen Financial Center Inc.
801-20346 Walker, Earl Martin
801-20848 Nielsen & Nielsen Inc.
801-21642 Provisor Corp
801-23846 Neir, Paul Randolph
801-24325 Century Financial Service of Western Washington
801-24380 Bidwell, Renald Jennings
801-25862 Cascade Asset Management Co., Inc.
801-26088 Maffeo, Paul Alfred
801-26140 Shuster, Lowell Edward
801-26813 Phillips, George Craig
801-27327 Shulman Investment Advisors Inc.
801-27472 Malinowski, Mark Thomas
801-28327 Roth, Nancy Scott
801-28814 Ackerman, John Frederick
801-30099 Prange, Roy Helmut
801-30230 Snetsinger, Patrick Michael
801-30849 Allegra, Arlene Beatrice
801-30872 Coordinated Planning Services Inc.
801-31958 Fenter, Stephen Lloyd
801-32852 Levine, Robert L. Accountancy Corp
801-33106 Excel Financial Advisory Services Inc.
801-33840 Unique Investment Advisory Co
801-34348 CMC Services Inc.
801-34718 R&R Financial Advisors Inc.
801-35079 Mastascusa, Mary Berg
801-36680 Copeland Dunham Financial Group
801-36729 Potter, Donn E. CPA
801-37475 Camden, Steven M., CPA
801-38062 Federiuk, Nancy Ruth
801-38622 Dukart, Delmar D.
801-40155 Hamilton Capital Management Ltd.
801-40209 Koenig, Gregory Alan
801-40412 Sporar, Thomas Robert
801-41588 Integrated Wealth Management Inc.
801-43444 Smith Mitchell Asset Mgmt. Services Group Ltd.
Foreign
801-10073 Nikko Research Center Ltd.
801-13687 Fairburn, John Adlen
801-33604 Gan Conseil
801-34239 Turk Merchant Bank, AS
801-40020 Metaxis, S.A.
[FR Doc. 96-8625 Filed 4-5-96; 8:45 am]
BILLING CODE 8010-01-M