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ALJ Decisions & Orders:
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AP No. | Date | Respondents |
Fourth Quarter | ||
3-1958 | Dec. 21, 1971 | Robert Stead, Edwin Gomer Jones, Jr., Theodore Avchen, Merrill, Lynch, Pierce, Fenner & Smith, Inc., John Clarke, George Stromberg, Billy Neighbors
Irving Schiller, Hearing Examiner |
3-2391 | Dec. 10, 1971 | Alessandrini & Co. (8-14370), Wellington Hunter d/b/a Wellington Hunter Associates (8-1271), Louis B. Meadows & Co., Inc. (8-13243), Philip S. Budin & Co., Inc. (8-13488), Raymond I. Weiss, Ralph H. Weseman, Morton Kantrowitz, Philip S. Budin, Paul P. Alessandrini
David J. Markun, Hearing Examiner (Note: Opinion) |
3-2606 | Oct. 29, 1971 | Irwin L. Germaise and Thomas F. Quinn
David J. Markun, Hearing Examiner (Note: Finality Order) |
Third Quarter | ||
3-3142 | Sep. 21, 1971 | White & Company, Inc. (8-565), Edward A. White, White Capital Corporation, Ivan A. Ezrine
Ralph Hunter Tracy, Hearing Examiner |
3-617 | Sep. 7, 1971 | Pennzoil Company, United Gas Corporation, Pennzoil United, Inc. (File Nos. 54-239; 59-112) Sidney Ullman, Hearing Examiner (Note: Finality Order) |
3-2451 | Aug. 27, 1971 | Stone Summers & Company, Alexander J. Stone, Thomas E. Summers, Bobby Layne Summers, (8-13804)
David J. Markun, Hearing Examiner (Note: Opinion) |
3-2974 | Aug. 27, 1971 | Iowa Beef Processors, Inc. (81-108)
Warren E. Blair, Chief Hearing Examiner |
Second Quarter | ||
3-1788 | Jun. 30, 1971 | Providence Church Plan, Inc., Floyd M. Davis, et al. |
3-2156 | Jun. 11, 1971 | Arthur Lipper Corporation, Arthur Lipper III (8-13182)
Warren E. Blair, Chief Hearing Examiner (Note: Opinion) |
3-2428 | May 28, 1971 | The National Association of Securities Dealers, Inc. File No. 16-1-1 David J. Markun, Hearing Examiner |
3-2027 | May 21, 1971 | Mann and Company, Inc., Herman M. Solomon, Burton J. Rosenblatt (8-12902) Ralph Hunter Tracy, Hearing Examiner |
3-2267 | May 7, 1971 | Securities Planners Associates, Inc., L. Dexter Flounce, Howard Smolar (8-8934)
Ralph Hunter Tracy, Hearing Examiner (Note: Opinion) |
Second Quarter | ||
3-2246 | Mar. 31, 1971 | John B. Licata & Co. (8-13655), John B. Licata
David J. Markun, Hearing Examiner |
3-2338 | Mar. 10, 1971 | Conrad & Company, Inc. (8-8408), Thomas D. Conrad, Jr., Margaret J. Conrad, Roland L. Gonzales, Jr., Gary G. Booker
Sidney Ullman, Hearing Examiner (Note: Opinion) |
First Quarter | ||
No decisions issued for this quarter |
http://www.sec.gov/alj/aljdec/aljdecarchive/aljdecarc1971.shtml
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