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ALJ Decisions & Orders:
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| Release No. | Date | Respondents |
| Fourth Quarter | ||
| 3-5148 | Dec. 12, 1977 | Hinkle Northwest, Inc., et al. (8-6561 & 801-8941)
Edward B. Wagner, Administrative Law Judge |
| 3-4976 | Dec. 5, 1977 | John P. Decker (The Forum Corporation) Max O. Regensteiner, Administrative Law Judge |
| 3-5230 | Dec. 5, 1977 | Strategic Management, Inc. (801-11009), Preferential Brokerage, Inc. (8-17210), Leroy S. Brenna
Irving Sommer, Administrative Law Judge |
| 3-5150 | Dec. 2, 1977 | Revere Management Co., Inc. (8-8021), American Fund Services, Ltd., William N. Hess, Albert Kuhn
Ralph Hunter Tracy, Administrative Law Judge |
| 3-5127 | Oct. 7, 1977 | E. L. Aaron & Co., Inc., et al. (8-9601)
Ralph Hunter Tracy, Administrative Law Judge |
| 3-5232 | Oct. 6, 1977 | Harbine Financial Service (803-3)
Jerome K. Soffer, Administrative Law Judge |
| Third Quarter | ||
| 3-5175 | Sep. 23, 1977 | Lawrence A. Luebbe (Benchmark Securities, Inc.) Max O. Regensteiner, Administrative Law Judge |
| 3-5102 | Jul. 22, 1977 | Dudley Diggs Morgan
Ralph Hunter Tracy, Administrative Law Judge |
| Second Quarter | ||
| 3-5164 | Jun. 24, 1977 | Parco Managers Corporation and United Parcel Service of America, Inc.
Max O. Regensteiner, Administrative Law Judge |
| 3-5048 | Jun. 2, 1977 | International Research & Management Corp. (801-8827), Richard D. Braverman
Irving Sommer, Administrative Law Judge |
| 3-4981 | May 27, 1977 | Douglass and Co., Inc. et al.
David J. Markun, Administrative Law Judge |
| 3-5090 | Apr. 14, 1977 | Benjamin Levy Securities, Inc. (8-20948), A.M.V. Capital Consultants, Ltd., Michael A. Alpert
Warren E. Blair, Chief Administrative Law Judge |
| First Quarter | ||
| 3-5018 | Mar. 28, 1977 | Charles C. Carlson
Jerome K. Soffer, Administrative Law Judge |
| 3-5007 | Mar. 24, 1977 | FAI Investment Analysts, Inc. (8-14658), Financial Analysts, Inc., Richard F. Bridges
Ralph Hunter Tracy, Administrative Law Judge |
| 3-4424 | Mar. 15, 1977 | Joseph A. Buongiorno, JAB Securities Co., Inc. (8-13252)
Irving Schiller, Administrative Law Judge |
| 3-5037 | Mar. 11, 1977 | Shaw Hooker & Co., Arthur A. Gambarasi, Leroy Zack Taylor (File No. 8-2213)
Irving Sommer, Administrative Law Judge |
| 3-5031 | Mar. 3, 1977 | Stanton L. Whitney
Warren E. Blair, Chief Administrative Law Judge |
| 3-4726 | Feb. 22, 1977 | Walter W. Irwin and Leary C. Willis, Jr. (Ambassador Church Finance/Development Group, Inc.) Jerome K. Soffer, Administrative Law Judge |
http://www.sec.gov/litigation/aljdec/aljdecarchive/aljdecarc1977.shtml
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