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ALJ Decisions & Orders:
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AP No. | Date | Respondents |
Fourth Quarter | ||
3-2197 | Nov. 23, 1970 | Richard W. Lord, Gerald P. Tomas (8-12588)
Irving Schiller, Hearing Examiner |
3-2511 | Nov. 16, 1970 | Security Savings and Loan (A Stock Corporation) (81-100)
Sidney L. Feiler, Hearing Examiner (Note: Opinion) |
3-2225 | Oct. 9, 1970 | Daniel J. Breslin d/b/a Daniel Breslin & Associates (File No. 8-12648), Thomas A. Connaughton, Robert Williams
Sidney L. Feiler, Hearing Examiner (Note: Opinion) |
3-2182 | Oct. 9, 1970 | Birkenmayer & Company, Inc. (File No. 8-4645), Wilson C. Birkenmayer, Arnold L. Greenberg, Katzenberg, Sour & Company (File No. 8-214), George B. Sour, Lee J. Spiegelberg, Leonard C. Kline, Francis I. du Pupont & Company (File No. 8-510), Jerry P. Oakley, John F. Coughenour, Herbert L. Wittow d/b/a Wittow & Company (File No. 8-5933) David J. Markun, Hearing Examiner (Note: Opinion) |
Third Quarter | ||
3-1916 | Sep. 16, 1970 | Bohn-Williams Securities Corporation (now known as Don Williams Securities Corporation), File No. 8-13843), Ray G. Bohn, Donald J. Williams
Sidney L. Feiler, Hearing Examiner (Note: Opinion) |
3-2175 | Aug. 26, 1970 | Ivy Fund, Inc. and Studley, Shupert & Co., Inc. of Boston (812-2469)
Sidney Gross, Hearing Examiner (Note: Opinion) |
3-2259 | Jul. 31, 1970 | Lewis Securities Company, Inc. (24B-1665)
Sidney L. Feiler, Hearing Examiner (Note: Finality Order) |
3-1982 | Jul. 15, 1970 | Monte Cristo Corporation (24D-2811)
Sidney L. Feiler, Hearing Examiner (Note: Finality Order) |
Second Quarter | ||
3-1680 | Jun. 26, 1970 | Investors Management Co., Inc., Anchor Corporation, Madison Fund, Inc., J.M. Hartwell & Co., J.M. Hartwell & Co., Inc., Hartwell Associates, Park Westlake Associates, Van Strum & Towne, Inc., Fleschner Becker Associates, A.W. Jones & Co., A.W. Jones Associates, Fairfield Partners, Burden Investors Services, Inc., William A.M. burden & Co., The Dreyfus Corporation
Warren E. Blair, Hearing Examiner (Note: Opinion) |
3-2169 | Jun. 24, 1970 | Robert F. Krisch (8-12845)
David J. Markun, Hearing Examiner |
3-2039 | Jun. 12, 1970 | Thomas D. Ledwith
Sidney L. Feiler, Hearing Examiner |
3-2079 | Jun. 11, 1970 | Augion-Unipolar Corporation (2-32923)
Warren E. Blair, Hearing Examiner (Note: Opinion) |
3-1660 | Jun. 2, 1970 | Jess H. Nealy (Pickard & Company, Incorporated, et al.) (8-10500; 801-3605) Sidney Ullman, Hearing Examiner |
3-1543 | Jun. 1, 1970 | Samuel B. Franklin & Company, Inc., Samuel B. Franklin, Richard J. Franklin, Jack J. Apple, Bruce D. Livington, Delmar Gladstone (8-11825)
Samuel Binder, Hearing Examiner |
3-2268 | May 7, 1970 | Oceanographic Ventures, Inc. (24A-1943)
Warren E. Blair, Hearing Examiner (Note: Finality Order) |
3-2256 | Apr. 30, 1970 | Intermark Investing, Inc. (811-1041)
Warren E. Blair, Hearing Examiner (Note: Settlement Acceptance and Opinion) |
3-1972 | Apr. 17, 1970 | Murray A. Kivitz
David J. Markun, Hearing Examiner (Note: Opinion) |
3-2178 | Apr. 3, 1970 | Norman F. Dacey & Associates, Inc. (8-8730), Norman F. Dacey
Warren E. Blair, Hearing Examiner |
3-1987 | Apr. 3, 1970 | L.A. Frances, Ltd. (8-11635), A. Frank Sidoti, Lawrence Martire, Louis Benjamin Meadows dba Louis B. Meadows & Co. (8-12887)
Sidney Gross, Hearing Examiner (Note: Opinion) |
First Quarter | ||
3-2135-1 | Mar. 18, 1970 | International Aerospace Associates, Inc. File No. 24B-1625 Sidney Ullman, Hearing Examiner (Note: Opinion) |
3-1793 | Mar. 4, 1970 | Volante, Behar and Sperling, Guido Volante, Jacques Behar, Herman Sperling (8-14167) Sidney L. Feiler, Hearing Examiner |
3-1961, 3-2018 |
Mar. 2, 1970 | Dunhill Securities Corporation, Patrick R. Reynaud, Edward Flinn (8-11616), and Patrick R. Reynaud De Saint Oyant, Ltd. (8-14598), Patrick Rene Reynaud De Saint Oyant (a/k/a Patrick Reynaud) (consolidated)
David J. Markun, Hearing Examiner (Note: Opinion) |
3-2023 | Jan. 30, 1970 | WCBA Investments, Inc., Peter Yates Taylor, Sr. (8-12554)
Sidney Gross, Hearing Examiner |
3-1811 | Jan. 12, 1970 | M.V. Gray Investments, Inc., Maxel V. Gray File No. 8-12190 David J. Markun, Hearing Examiner (Note: Opinion) |
http://www.sec.gov/alj/aljdec/aljdecarchive/aljdecarc1970.shtml
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