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ALJ Decisions & Orders:
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Release No. | Date | Respondents |
Fourth Quarter | ||
No actions this quarter. | ||
Third Quarter | ||
133 | Sep. 29, 1998 | Terry T. Steen;
Carol Fox Foelak, Administrative Law Judge File No. 3-8798 (Note: Finality Order) |
132 | Sep. 23, 1998 | Rita Villa;
Robert G. Mahony, Administrative Law Judge File No. 3-8527-EAJ (Note: Amended Order; Opinion; Opinion) |
131 | Sep. 3, 1998 | Parnassus Investments, Jerome L. Dodson, Marilyn Chou, and David L. Gibson;
Robert G. Mahony, Administrative Law Judge File No. 3-9317 (Note: Finality Order) |
130 | Aug. 11, 1998 | Stires & Co., Inc. and Sidney H. Stires;
Brenda P. Murray, Chief Administrative Law Judge File No. 3-9120 (Note: Finality Order) |
129 | Aug. 3, 1998 | Michael J. Markowski;
Lillian A. McEwen, Administrative Law Judge File No. 3-9277 (Note: Opinion) |
128 | Jul. 23, 1998 | Patricia Ann Bellows;
Lillian A. McEwen, Administrative Law Judge File No. 3-8951 (Note: Finality Order) |
127 | Jul. 21, 1998 | Orlando Joseph Jett;
Carol Fox Foelak, Administrative Law Judge File No. 3-8919 (Note: Opinion) |
Second Quarter | ||
126 | May 29, 1998 | First Jersey Securities, Inc. and Robert E. Brennan;
Brenda P. Murray, Chief Administrative Law Judge File No. 3-8699 (Note: Finality Order; Opinion) |
125 | Apr. 15, 1998 | Edward D. Jones & Co., Donald E. Walter, Steven T. Roberts, Ronald L. Gorgen, and
Charles R. Larimore;
Brenda P. Murray, Chief Administrative Law Judge File No. 3-9181 (Note: Finality Order) |
First Quarter | ||
124 | Mar. 24, 1998 | Martin Kaiden;
Robert G. Mahony, Administrative Law Judge File No. 3-9403 (Note: Opinion: Release No. 34-41629) |
123 | Mar. 20, 1998 | Philadelphia Investors, LTD. and Clarence Z. Wurts;
G. Marvin Bober, Administrative Law Judge File No. 3-9114 (Note: Finality Order; Opinion: Release No. 34-43842) |
122 | Mar. 9, 1998 | Russo Securities, Inc. and Ferdinand Russo;
Brenda P. Murray, Chief Administrative Law Judge File No. 3-8573-EAJ (Note: Opinion: Release No. 34-42121) |
121 | Feb. 24, 1998 | Al Rizek;
G. Marvin Bober, Administrative Law Judge File No. 3-9041 (Note: Opinion: Release No. 34-41725) See also: Court of Appeals Opinion |
120 | Feb. 9, 1998 | Ted Harold Westerfield;
G. Marvin Bober, Administrative Law Judge File No. 3-9355 (Note: Opinion: Release No. 34-41126) |
119 | Jan. 12, 1998 | IMS/CPAs & Associates, Vernon T. Hall, Stanley E. Hargrave, and
Jerome B. Vernazza;
Brenda P. Murray, Chief Administrative Law Judge File No. 3-9042 (Note: Opinion: Release Nos. 33-8031, 34-45019, IA-1994) |
http://www.sec.gov/alj/aljdec/aljdecarchive/aljdecarc1998.shtml
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