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ALJ Decisions & Orders:
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Release No. | Date | Respondents |
Fourth Quarter | ||
3-6222 | Dec. 28, 1983 | Charles Schwab & Co., Inc.
David J. Markun, Administrative Law Judge |
3-6183 | Dec. 19, 1983 | Raymond L. Dirks, John D. Sullivan
Irving Schiller, Administrative Law Judge |
3-6238 | Dec. 12, 1983 | David R. Williams (International Securities, Inc.) Ralph Hunter Tracy, Administrative Law Judge |
3-6268 | Dec. 9, 1983 | Steven R. Grayson
Warren E. Blair, Chief Administrative Law Judge |
Third Quarter | ||
3-6165 | Sep. 6, 1983 | Robert Blakeney Stevenson (Spaulding Securities Corporation) Jerome K. Soffer, Administrative Law Judge |
3-6142 | Aug. 29, 1983 | Pagel, Inc. (File No. 8-16764), Jack W. Pagel, Duane A. Markus
Ralph Hunter Tracy, Administrative Law Judge |
3-6219 | Jul. 25, 1983 | Financial Planning Center of Greater Washington, Inc. (801-15007), Walter H.T. Seager
Warren E. Blair, Chief Administrative Law Judge |
3-6149 | Jul. 7, 1983 | A. L. Williamson & Co., Grover MacConnell
Max O. Regensteiner, Administrative Law Judge |
Second Quarter | ||
3-6180 | May 25, 1983 | Keith E. Wentz, Ronald P. Bynum
Max O. Regensteiner, Administrative Law Judge |
3-6148 | Apr. 29, 1983 | Joseph Eugene Polk, Individually and doing business as Equity Investments, Ltd. (801-11790)
Jerome K. Soffer, Administrative Law Judge |
3-6150 | Apr. 11, 1983 | Harbine Financial Service (801-11538), Jesse Rosenblum
Warren E. Blair, Chief Administrative Law Judge |
First Quarter | ||
3-6091 | Mar. 23, 1983 | Thomas J. Furnari
Jerome K. Soffer, Administrative Law Judge |
3-6076 | Mar. 21, 1983 | Larry D. Blavin, Individually and d/b/a Providence Investment Advisory
Ralph Hunter Tracy, Administrative Law Judge |
3-6119 | Feb. 7, 1983 | Wall Street West, Inc. (8-22329), General Bond & Share Co. (8-7303), Theodore V. Abbruzzese, John L. Brown, Walter G. Asmus, Kenneth W. Sandberg, Sam C. Pandolfo
Ralph Hunter Tracy, Administrative Law Judge |
http://www.sec.gov/litigation/aljdec/aljdecarchive/aljdecarc1983.shtml
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