[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