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ALJ Orders Archive 2003
The Office of Administrative Law Judges considers the following rulings noteworthy.
Fourth Quarter | Third Quarter | Second Quarter | First Quarter
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AP No. |
Date |
Respondents |
Fourth Quarter |
3-11330 |
Dec. 24, 2003 |
Rita J. McConville and Kevin M. Harris, C.P.A. |
3-11084 |
Dec. 18, 2003 |
Harrison Securities, Inc., Frederick C. Blumer, and Nebrissa Song |
3-11330 |
Dec. 17, 2003 |
Rita J. McConville and Kevin M. Harris, C.P.A. |
3-11330 |
Dec. 8, 2003 |
Rita J. McConville and Kevin M. Harris, C.P.A. |
3-11283 |
Dec. 4, 2003 |
Shane Ferras |
3-11317 |
Dec. 3, 2003 |
Putnam Investment Management, LLC |
3-10624 |
Nov. 25, 2003 |
Hunter Adams, et al. |
3-11063 |
Nov. 24, 2003 |
Pattinson Hayton |
3-11201 |
Nov. 18, 2003 |
Nevis Capital Management, LLC, David R. Wilmerding, III, and Jon C. Baker |
3-11201 |
Nov. 18, 2003 |
Nevis Capital Management, LLC, David R. Wilmerding, III, and Jon C. Baker |
3-11194 |
Nov. 14, 2003 |
Philip L. Pascale, CPA |
3-11201 |
Nov. 10, 2003 |
Nevis Capital Management, LLC, David R. Wilmerding, III, and Jon C. Baker |
3-11213 |
Nov. 6, 2003 |
Wendell D. Belden |
3-11210 |
Nov. 5, 2003 |
Darius L. Lee |
3-11259 |
Oct. 30, 2003 |
Michael Batterman and Randall B. Batterman, III |
3-11179 |
Oct. 22, 2003 |
IFG Network Securities, Inc. |
3-11179 |
Oct. 10, 2003 |
IFG Network Securities, Inc., William Kissinger, Kissinger
Advisory, Inc., Bert Miller, Glenn Wilkinson, and David Ledbetter |
3-11229 |
Oct. 9, 2003 |
Castle Securities Corp. and Michael T. Studer |
3-11084 |
Oct. 7, 2003 |
Harrison Securities, Inc., Frederick C. Blumer, and Nebrissa Song |
3-11084 |
Oct. 3, 2003 |
Harrison Securities, Inc., Frederick C. Blumer, and Nebrissa Song |
3-9793 |
Oct. 1, 2003 |
Jean-Paul Bolduc, et al. |
Third Quarter |
3-11247 |
Sep. 24, 2003 |
Steven Wise and Larry Vindman |
3-11221 |
Sep. 23, 2003 |
Cyrus Industries, Inc. |
3-11225 |
Sep. 17, 2003 |
Louis W. Ratfield |
3-11223 |
Sep. 17, 2003 |
John DelPrince |
3-11179 |
Sep. 12, 2003 |
IFG Network Securities, Inc., William Kissinger, Kissinger Advisory, Inc., Bert Miller,
Glenn Wilkinson, and David Ledbetter |
3-11179 |
Sep. 12, 2003 |
IFG Network Securities, Inc., William Kissinger, Kissinger Advisory, Inc., Bert Miller,
Glenn Wilkinson, and David Ledbetter |
3-11182 |
Sep. 10, 2003 |
Xaibe, Inc. and Lowell Nicholas |
3-11210 |
Sep. 8, 2003 |
Darius L. Lee |
3-11010 |
Aug. 25, 2003 |
Kevin H. Goldstein and Jackwest Corporation |
3-11181 |
Aug. 25, 2003 |
Global Telemedia International, Inc. |
3-11183 |
Aug. 19, 2003 |
RGW Acquisition Corporations I through X |
3-11087 |
Jul. 17, 2003 |
Liberty National Securities, Inc., Robert J. Guyer, and Sonia Howe Radencovici |
Second Quarter |
3-11087 |
Jun. 30, 2003 |
Liberty National Securities, Inc., Robert J. Guyer, and Sonia Howe Radencovici |
3-9793 |
Jun. 27, 2003 |
Jean-Paul Bolduc, et al. |
3-11012 |
Jun. 25, 2003 |
James F. Glaza, D/B/A Falcon Financial Services, Inc. |
3-11104 |
Jun. 24, 2003 |
Iosif Pak, a/k/a Joseph Pak, and Roman Sakharovich, a/k/a Roman Sakh |
3-11104 |
Jun. 16, 2003 |
Iosif Pak, a/k/a Joseph Pak, and Roman Sakharovich, a/k/a Roman Sakh |
3-10229 |
May 5, 2003 |
Salvatore Piazza, et al. |
3-11002 |
May 1, 2003 |
David Edwards, James Edwards, Kevin Lynds and Gerald J. Stock |
3-10765 |
Apr. 29, 2003 |
Edgar B. Alacan and Mayer Dallal |
3-11059 |
Apr. 22, 2003 |
Hexagon Consolidated Companies of America, Inc. |
3-9933 |
Apr. 17, 2003 |
A.S. Goldmen & Co., Inc., Anthony J. Marchiano, Stuart E. Winkler, John T. Diasabeyagunawardena, (a.k.a. John Abbey), John P. Delcioppo, Christopher M. Delcioppo, Vincent J. Lia, Duane P. Taylor, and Charles Trento |
3-11037 |
Apr. 10, 2003 |
William E. Kraemer |
3-11044 |
Apr. 3, 2003 |
Eduardo Villar |
First Quarter |
3-10936 |
Mar. 31, 2003 |
Jeffrey R. Patterson and Terrance Turman |
3-9933 |
Mar. 26, 2003 |
A.S. Goldmen & Co., Inc., Anthony J. Marchiano, Stuart E. Winkler, John T. Diasabeyagunawardena,
(a.k.a. John Abbey), John P. Delcioppo, Christopher M. Delcioppo, Vincent J. Lia, Duane P. Taylor, and Charles Trento |
3-10997 |
Mar. 24, 2003 |
Jeffrey M. Goldberg |
3-10765 |
Mar. 21, 2003 |
J.W. Barclay & Co., Inc., John A. Bruno, Michael J. Wills, Edgar B. Alacan, Emmanuel P. Cube
Mayer Dallal, Danoo Noor, Sr., Emanuele A. Scarso, and Michael B. Scott |
3-10933 |
Mar. 20, 2003 |
Ernst & Young LLP |
3-10765 |
Mar. 19, 2003 |
J.W. Barclay & Co., Inc., John A. Bruno, Michael J. Wills, Edgar B. Alacan, Emmanuel P. Cube
Mayer Dallal, Danoo Noor, Sr., Emanuele A. Scarso, and Michael B. Scott |
3-10945 |
Mar. 18, 2003 |
Sharad Kapoor
|
3-10936 |
Mar. 13, 2003 |
Jeffrey R. Patterson and Terrance Turman |
3-10933 |
Mar. 11, 2003 |
Ernst & Young LLP |
3-9793 |
Mar. 10, 2003 |
Jean-Paul Bolduc, et al. |
3-9793 |
Mar. 4, 2003 |
Jean-Paul Bolduc, et al. |
3-11016 |
Feb. 25, 2003 |
Igor Fleyshmakher a.k.a. Isaac Flash a.k.a. Isaac Marks |
3-11017 |
Feb. 25, 2003 |
Eric Peremen |
3-10936 |
Feb. 21, 2003 |
Jeffrey R. Patterson and Terrance Turman |
3-10933 |
Feb. 20, 2003 |
Ernst & Young LLP |
3-10936 |
Feb. 19, 2003 |
Jeffrey R. Patterson and Terrance Turman |
3-10884 |
Feb. 19, 2003 |
Leslie A. Arouh |
3-10765 |
Feb. 14, 2003 |
J.W. Barclay & Co., Inc., et al. |
3-10765 |
Feb. 13, 2003 |
J.W. Barclay & Co., Inc., John A. Bruno, Michael J. Wills, Edgar B. Alacan, Emmanuel P. Cube
Mayer Dallal, Danoo Noor, Sr., Emanuele A. Scarso, and Michael B. Scott |
3-10765 |
Feb. 12, 2003 |
J.W. Barclay & Co., Inc., John A. Bruno, Michael J. Wills, Edgar B. Alacan, Emmanuel P. Cube
Mayer Dallal, Danoo Noor, Sr., Emanuele A. Scarso, and Michael B. Scott |
3-10871 |
Jan. 31, 2003 |
Ives Health Company, Inc. |
3-10946 |
Jan. 31, 2003 |
Arjun Sekhri |
3-10931 |
Jan. 28, 2003 |
Dennis S. Herula |
3-9148 |
Jan. 22, 2003 |
Jeffrey Trenk |
3-10765 |
Jan. 16, 2003 |
J.W. Barclay & Co., Inc., John A. Bruno, Michael J. Wills, Edgar B. Alacan, Emmanuel P. Cube
Mayer Dallal, Danoo Noor, Sr., Emanuele A. Scarso, and Michael B. Scott |
3-10895 |
Jan. 14, 2003 |
Oxford Capital Management, Inc. and John G. Danz, Jr. |
3-10929 |
Jan. 13, 2003 |
Robert C. Sears |
3-10996 |
Jan. 10, 2003 |
Gordon J. Rollert |
3-10927 |
Jan. 9, 2003 |
Salman Shariff |
3-10007 |
Jan. 9, 2003 |
Clarke T. Blizzard and Rudolph Abel |
3-10007 |
Jan. 6, 2003 |
Clarke T. Blizzard and Rudolph Abel |
3-10875 |
Jan. 3, 2003 |
Monica Lynn Coleman |
http://www.sec.gov/alj/aljorders/aljordersarchive/aljarc2003.shtml
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