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ALJ Decisions & Orders:
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Release No. | Date | Respondents |
Fourth Quarter | ||
118 | Oct. 10, 1997 | Robert Sayegh, Thomas Core, and John J. Cranley, Jr.;
Brenda P. Murray, Chief Administrative Law Judge File No. 3-9019 (Note: Finality Order; Opinion) |
Third Quarter | ||
117 | Sep. 25, 1997 | Matt Matson;
Lillian A. McEwen, Administrative Law Judge File No. 3-9279 (Note: Finality Order) |
116 | Sep. 9, 1997 | Ira William Scott;
Brenda P. Murray, Chief Administrative Law Judge File No. 3-9105 (Note: Finality Order; Opinion) |
115 | Aug. 18, 1997 | Warren G. Trepp;
Carol Fox Foelak, Administrative Law Judge File No. 3-8833 (Note: Order Dismissing Proceedings) |
114 | Aug. 18, 1997 | Douglas W. Osborne;
Brenda P. Murray, Chief Administrative Law Judge File No. 3-9008 (Note: Finality Order) |
113 | Aug. 6, 1997 | Frederick C. Gartz;
Brenda P. Murray, Chief Administrative Law Judge File No. 3-9060 (Note: Finality Order) |
112 | Aug. 5, 1997 | Marc N. Geman;
G. Marvin Bober, Administrative Law Judge File No. 3-9032 (Note: Opinion) |
111 | Jul. 2, 1997 | Valicenti Advisory Services, Inc. and Vincent R. Valicenti;
Carol Fox Foelak, Administrative Law Judge File No. 3-8854 (Note: Opinion) |
Second Quarter | ||
110 | Apr. 10, 1997 | Kenneth J. Schulte;
Brenda P. Murray, Chief Administrative Law Judge File No. 3-9051 (Note: Finality Order) |
First Quarter | ||
109 | Mar. 25, 1997 | James Thornton and Payne Thornton, Inc., d/b/a Retirement Investment Group;
Brenda P. Murray, Chief Administrative Law Judge File No.3-9046 (Note: Opinion) |
108 | Mar. 19, 1997 | David L. Arnold, W. David East, and Jerry Payne;
Lillian A. McEwen, Administrative Law Judge File No. 3-8955 (Note: Opinion) |
107 | Mar. 7, 1997 | Terry T. Steen and Rodger E. Thornton;
Carol Fox Foelak, Administrative Law Judge File No. 3-8749 (Note: Opinion) |
106 | Feb. 25, 1997 | M. Rimson & Co., Inc., Moshe Rimson, Jonathan Mende & Associates, Inc., Jonathan Aurielio Mende, Todd Levaughn Hickman, Christian Jean-Marie Girodet, Mitchell Aguirre, Claudio Peter Iodice, III, Alex David Shindman, Yevgeny G. Shkilko, David Feyjin and Roger Dantoni, III;
Lillian A. McEwen, Administrative Law Judge File No. 3-8772 (Note: Finality Order) |
105 | Feb. 7, 1997 | James J. Pasztor;
Carol Fox Foelak, Administrative Law Judge File No. 3-8511 (Note: Opinion) |
http://www.sec.gov/alj/aljdec/aljdecarchive/aljdecarc1997.shtml
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