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ALJ Decisions & Orders:
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AP No. | Date | Respondents |
Fourth Quarter | ||
3-1596 and 3-1597 |
Dec. 31, 1969 | John Hardy, Richard Clark Anderson; Folger, Nolan, Fleming & Co., Inc., (8-3335) and Edward Sinclair; Filor, Bullard & Smyth (8-87)
Sidney L. Feiler, Hearing Examiner (Note: Opinion) |
3-2113 | Dec. 19, 1969 | Paul M. Kaufman
Warren E. Blair, Hearing Examiner (Note: Opinion) |
3-1888 | Dec. 5, 1969 | Darrel G. Hafen, d/b/a Western Securities Co. (801-5383)
David J. Markun, Hearing Examiner |
3-1825 | Nov. 28, 1969 | The National Association of Small Business Investment Companies, et al. (812-2297)
Sidney Ullman, Hearing Examiner (Note: Opinion) |
3-1511 | Nov. 14, 1969 | Investors Institute Inc., George W. Beck, III (801-2858)
Irving Schiller, Hearing Examiner |
Third Quarter | ||
3-1947 | Sep. 26, 1969 | Jackpot Exploration Corp. (24S-2168)
Sidney L. Feiler, Hearing Examiner (Note: Opinion) |
3-2056 | Sep. 2, 1969 | Manney & Company, Inc. (8-1772), Irving Manney
Sidney Gross, Hearing Examiner |
3-1868 | Aug. 5, 1969 | The Susquehanna Corporation File No. 1-5515-2A Sidney Ullman, Hearing Examiner (Note: Opinion) |
Second Quarter | ||
3-1961 | Jun. 2, 1969 | Dunhill Securities Corporation, Patrick R. Reymaud, Edward Flinn (8-11616)
David J. Markun, Hearing Examiner (Note: Opinion) |
3-329 | May 23, 1969 | D.H. Blair & Co. (8-8239), Robert W. Miller, Charles J. Miller, Ralph J. Trapani, Ronald Neumark, Seymour Katz, Carl M. Loeb Rhoades & Co. (8-279), Goodbody & Co. (8-301), Richard V. Miller, Troster, Singer & Co. (8-1219), Sidney Woolwich
Irving Schiller, Hearing Examiner (Note: Opinion) |
3-533 | May 15, 1969 | Hodgdon & Co., Inc. (8-8427), A. Dana Hodgdon, James F. Haight, Burton Kitain, W. Lyles Carr, Jr., David M. Adam, Jr., James W. Harper, III, Homer E. Davis, Robert F. Kibler, Louis S. Amann, James L. Roper, Harvey A. Baskin
Sidney Gross, Hearing Examiner (Note: Opinion) |
First Quarter | ||
3-250 | Mar. 21, 1969 | M.G. Davis & Co., Inc. (8-9237), Lawrence Levine, Walter Wax, Morris Kopel, Harold R. Rosenberg, Crerie & Co., Inc. (8-9152), Frank Crerie, Mario Trombone Associates, Inc. (801-2872), Mario Trombone
Samuel Binder, Hearing Examiner (Note: Opinion) |
3-1372 | Mar. 21, 1969 | California Securities Corporation, Scott Douglas Kellogg, 8-12587
David J. Markun, Hearing Examiner |
3-1510 | Feb. 5, 1969 | Abbett, Sommer & Co., Inc., Charles W. Sommer, III, Kyle M. Drollinger, Jr., Abbett, Sommer & Company Mortgage Corporation (8-7035)
David J. Markun, Hearing Examiner (Note: Opinion) |
3-1758 | Jan. 29, 1969 | Louis P. Nichols & Company (8-14103)
Samuel Binder, Hearing Examiner |
3-1793 | Jan. 22, 1969 | Volante, Behar and Sperling, Guido Volante, Jacques Behar, Herman Sperling (8-14167)
Sidney L. Feiler, Hearing Examiner |
http://www.sec.gov/alj/aljdec/aljdecarchive/aljdecarc1969.shtml
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