ALJ Initial Decisions: Administrative Law Judges

Administrative Law Judges issued the following Initial Decisions pursuant to 5 U.S.C § 557 and 17 C.F.R. § 201.360(a).

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ALJ Initial Decisions: Administrative Law Judges Table

Date	Respondents
Date: Sept. 9, 1997	Respondents: Ira William Scott; Brenda P. Murray, Chief Administrative Law Judge Release No. 116 See Also: Opinion File Number: 3-9105
Date: Aug. 18, 1997	Respondents: Douglas W. Osborne; Brenda P. Murray, Chief Administrative Law Judge Release No. 114 See Also: Finality Order File Number: 3-9008
Date: Aug. 18, 1997	Respondents: Warren G. Trepp; Carol Fox Foelak, Administrative Law Judge Release No. 115 See Also: Order Dismissing Proceedings File Number: 3-8833
Date: Aug. 6, 1997	Respondents: Frederick C. Gartz; Brenda P. Murray, Chief Administrative Law Judge Release No. 113 See Also: Finality Order File Number: 3-9060
Date: Aug. 5, 1997	Respondents: Marc N. Geman; G. Marvin Bober, Administrative Law Judge Release No. 112 See Also: Opinion File Number: 3-9032
Date: July 2, 1997	Respondents: Valicenti Advisory Services, Inc. and Vincent R. Valicenti; Carol Fox Foelak, Administrative Law Judge Release No. 111 See Also: Opinion File Number: 3-8854
Date: April 10, 1997	Respondents: Kenneth J. Schulte; Brenda P. Murray, Chief Administrative Law Judge Release No. 110 See Also: Finality Order File Number: 3-9051
Date: March 25, 1997	Respondents: James Thornton and Payne Thornton, Inc., d/b/a Retirement Investment Group; Brenda P. Murray, Chief Administrative Law Judge Release No. 109 See Also: Opinion , Court of Appeals Opinion File Number: 3-9046
Date: March 19, 1997	Respondents: David L. Arnold, W. David East, and Jerry Payne; Lillian A. McEwen, Administrative Law Judge Release No. 108 See Also: Opinion File Number: 3-8955
Date: March 7, 1997	Respondents: Terry T. Steen and Rodger E. Thornton; Carol Fox Foelak, Administrative Law Judge Release No. 107 See Also: Opinion , ALJ Initial Decision Release File Number: 3-8749
Date: Feb. 25, 1997	Respondents: 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 Release No. 106 See Also: Finality Order File Number: 3-8772
Date: Feb. 7, 1997	Respondents: Sharon M. Graham, Stephen C. Voss, James J. Pasztor; Glenn Robert Lawrence, Administrative Law Judge Release No. 105 See Also: Opinion File Number: 3-8511
Date: Dec. 31, 1996	Respondents: William F. Lincoln; Brenda P. Murray, Chief Administrative Law Judge Release No. 104 See Also: Opinion File Number: 3-8998
Date: Dec. 13, 1996	Respondents: John Francis D'Acquisto; Lillian A. McEwen, Administrative Law Judge Release No. 103 See Also: Opinion File Number: 3-8899
Date: Dec. 4, 1996	Respondents: Russell Ponce; Lillian A. McEwen, Administrative Law Judge Release No. 102 See Also: Opinion
Date: Nov. 12, 1996	Respondents: Joseph J. Barbato, Neal C. Harper and Frederick J. Krause; Burton S. Kolko, Administrative Law Judge Release No. 101 See Also: Opinion File Number: 3-8575
Date: Nov. 7, 1996	Respondents: Daniel D. Dietrich and Robert J. Judge; Carol Fox Foelak, Administrative Law Judge Release No. 100 See Also: Finality Order File Number: 3-9050
Date: Nov. 4, 1996	Respondents: James A. Sehn and Samuel O Forson; Lillian A. McEwen, Administrative Law Judge Release No. 99 See Also: Opinion File Number: 3-8234
Date: Oct. 18, 1996	Respondents: Danny G. Pinkerton and Kevin N. Campbell; Brenda P. Murray, Chief Administrative Law Judge Release No. 98 See Also: Order File Number: 3-8805
Date: Sept. 27, 1996	Respondents: Greg G. Anderson and Russell G. Koch; Carol Fox Foelak, Administrative Law Judge Release No. 97 See Also: Opinion File Number: 3-8832
Date: Aug. 20, 1996	Respondents: Frederick Entman, Norman B. Rothstein, Frank Louis Palumbo, Jacob Wonsover, Howard Richard Perles, M. Rimson & Co., Inc., and Moshe Rimson; Burton S. Kolko, Administrative Law Judge Release No. 96 See Also: Opinion File Number: 3-8584
Date: Aug. 12, 1996	Respondents: Milton Puryear; Brenda P. Murray, Chief Administrative Law Judge Release No. 95 See Also: Finality Order File Number: 3-8766
Date: Aug. 2, 1996	Respondents: Daniel L. Zessinger; Carol Fox Foelak, Administrative Law Judge Release No. 94 See Also: Finality Order File Number: 3-8838
Date: July 22, 1996	Respondents: William Edwin Somdahl; Brenda P. Murray, Chief Administrative Law Judge Release No. 93 See Also: Finality Order File Number: 3-8698
Date: June 27, 1996	Respondents: Richard J. Adams; Lillian A. McEwen, Administrative Law Judge Release No. 92 See Also: Order Dismissing Proceedings File Number: 3-8327
Date: June 19, 1996	Respondents: Alan E. Rosenthal; Brenda P. Murray, Chief Administrative Law Judge Release No. 91 See Also: Opinion File Number: 3-8642
Date: June 5, 1996	Respondents: Norsul Oil & Mining, Ltd., and Wayne E. Fowler; Brenda P. Murray, Chief Administrative Law Judge Release No. 90 See Also: Finality Order File Number: 3-8556
Date: May 28, 1996	Respondents: Robert I. Moses; Carol Fox Foelak, Administrative Law Judge Release No. 89 See Also: Opinion File Number: 3-8841
Date: May 2, 1996	Respondents: Thorn, Alvis, Welch, Inc., John E. Thorn, Jr., and Derryl W. Peden; Brenda P. Murray, Chief Administrative Law Judge Release No. 88 See Also: Commission Order File Number: 3-8400
Date: April 1, 1996	Respondents: Demitrios Julius Shiva; Carol Fox Foelak, Administrative Law Judge Release No. 87 See Also: Opinion File Number: 3-8803
Date: March 11, 1996	Respondents: Benjamin G. Sprecher; Brenda P. Murray, Chief Administrative Law Judge Release No. 86 See Also: Opinion File Number: 3-8230
Date: Jan. 26, 1996	Respondents: Robin Rushing And Harold ("B.J.") Gallison, Jr.; Burton S. Kolko, Administrative Law Judge Release No. 85 See Also: Finality Order File Number: 3-8593
Date: Jan. 4, 1996	Respondents: Gary A. Smith; Brenda P. Murray, Chief Administrative Law Judge Release No. 84 See Also: Finality Order File Number: 3-8755
Date: Jan. 3, 1996	Respondents: F.N. Wolf & Co., Inc., Hibbard Brown & Co., Inc., L.C. Wegard & Co., Inc., Franklin N. Wolf, Richard P. Brown, And Leonard B. Greer; Glenn Robert Lawrence, Administrative Law Judge Release No. 83 See Also: Opinion File Number: 3-8533
Date: Dec. 28, 1995	Respondents: Sharon M. Graham, Stephen C. Voss, James J. Pasztor; Glenn Robert Lawrence, Administrative Law Judge Release No. 82 See Also: Opinion File Number: 3-8511
Date: Dec. 22, 1995	Respondents: Bank Of Boston Corp.; Brenda P. Murray, Chief Administrative Law Judge Release No. 81 File Number: 3-8270
Date: Dec. 11, 1995	Respondents: Ferdinand Russo, Russo Securities, Inc., Lawrence I. Mascera, Mascera & Company, Inc.; Glenn Robert Lawrence, Administrative Law Judge Release No. 80 See Also: Opinion File Number: 3-8573
Date: Dec. 8, 1995	Respondents: D.E. Wine Investments, Inc., W. Randal Miller, Kenneth B. Karpf, And Duncan E. Wine; Glenn Robert Lawrence, Administrative Law Judge Release No. 79 See Also: Opinion , Opinion File Number: 3-8543
Date: Nov. 24, 1995	Respondents: Carole L. Haynes; Glenn Robert Lawrence, Administrative Law Judge Release No. 78 File Number: 3-8512
Date: Nov. 14, 1995	Respondents: Victor H. Strevel; Glenn Robert Lawrence, Administrative Law Judge Release No. 77 File Number: 3-8727
Date: Oct. 31, 1995	Respondents: Laurie Jones Canady; Glenn Robert Lawrence, Administrative Law Judge Release No. 76 See Also: Order , Opinion File Number: 3-8531
Date: Sept. 26, 1995	Respondents: Richard M. Kulak Glenn Robert Lawrence, Administrative Law Judge Release No. 75 See Also: Opinion File Number: 3-8509
Date: Aug. 31, 1995	Respondents: New Allied Development Corp., Erica J. Hull and Grady A. Sanders Glenn Robert Lawrence, Administrative Law Judge Release No. 73 See Also: Opinion File Number: 3-8395
Date: Aug. 31, 1995	Respondents: Adrian C. Havill Glenn Robert Lawrence, Administrative Law Judge Release No. 74 See Also: Opinion File Number: 3-8510
Date: Aug. 29, 1995	Respondents: Thomas P. Gilmartin, Jr. Burton S. Kolko, Administrative Law Judge Release No. 72 File Number: 3-8675
Date: Aug. 24, 1995	Respondents: Richard D. Chema Glenn Robert Lawrence, Administrative Law Judge Release No. 71 See Also: Opinion File Number: 3-8508
Date: July 25, 1995	Respondents: Richard H. Morrow Burton S. Kolko, Administrative Law Judge Release No. 70 File Number: 3-8304
Date: July 14, 1995	Respondents: Timothy Mobley Brenda P. Murray, Chief Administrative Law Judge Release No. 69 File Number: 3-8457
Date: July 10, 1995	Respondents: Richard J. Puccio Glenn Robert Lawrence, Administrative Law Judge Release No. 68 See Also: Opinion File Number: 3-8438
Date: July 5, 1995	Respondents: Robert A. Magnan, Steven J. Labrasciano and Donald A. Roche, Jr. Brenda P. Murray, Chief Administrative Law Judge Release No. 67 See Also: Opinion File Number: 3-8370
Date: June 27, 1995	Respondents: Paul C. Kettler Glenn Robert Lawrence, Administrative Law Judge Release No. 66 File Number: 3-8206
Date: May 8, 1995	Respondents: George Craig Stayner, CPA Glenn Robert Lawrence, Administrative Law Judge Release No. 65 File Number: 3-8330
Date: May 3, 1995	Respondents: James Robert Voigtsberger and Peter Chase Advisors, Inc. Brenda P. Murray, Chief Administrative Law Judge Release No. 64 File Number: 3-8476
Date: April 27, 1995	Respondents: Suzanne L. Cook Edward J. Kuhlmann, Administrative Law Judge Release No. 63 See Also: Opinion File Number: 3-8294
Date: April 11, 1995	Respondents: Angelo P. Danna, C.P.A., and Mark P. Dentinger, C.P.A. Brenda P. Murray, Chief Administrative Law Judge Release No. 62 File Number: 3-8196
Date: Feb. 27, 1995	Respondents: Victor Teicher, Ross S. Frankel, and Victor Teicher & Co., L.P. Glenn Robert Lawrence, Administrative Law Judge Release No. 61 See Also: Opinion File Number: 3-8394
Date: Jan. 17, 1995	Respondents: Meyer Blinder Brenda P. Murray, Chief Administrative Law Judge Release No. 60 See Also: Opinion File Number: 3-8305
Date: Dec. 8, 1994	Respondents: Consolidated Investment Services, Inc., Norman P. Rounds, James L. Fainter Glenn Robert Lawrence, Administrative Law Judge Release No. 59 File Number: 3-8312
Date: Nov. 4, 1994	Respondents: Michael Gartner Edward J. Kuhlmann, Administrative Law Judge Release No. 58 File Number: 3-8371
Date: Sept. 21, 1994	Respondents: Steven Telsey and First Securities Transfer Systems, Inc. Brenda P. Murray, Chief Administrative Law Judge Release No. 57 File Number: 3-8247
Date: Sept. 19, 1994	Respondents: Jay Houston Meadows Glenn Robert Lawrence, Administrative Law Judge Release No. 56 See Also: Opinion , Court of Appeals Opinion File Number: 3-8257
Date: Aug. 26, 1994	Respondents: George W. Phillips Brenda P. Murray, Chief Administrative Law Judge Release No. 55 File Number: 3-8145
Date: July 13, 1994	Respondents: David M. Haber Edward J. Kuhlmann, Administrative Law Judge Release No. 54 File Number: 3-8155
Date: June 30, 1994	Respondents: BC Financial Corp., Stuart M. Cohen, David Disner, James Snelgrove Edward J. Kuhlmann, Administrative Law Judge Release No. 53 File Number: 3-8166
Date: June 20, 1994	Respondents: Alexander V. Stein Brenda P. Murray, Chief Administrative Law Judge Release No. 52 File Number: 3-8112
Date: June 15, 1994	Respondents: John Harvey Early Glenn Robert Lawrence, Administrative Law Judge Release No. 51 File Number: 3-8213
Date: June 2, 1994	Respondents: Martin B. Sloate Glenn Robert Lawrence, Administrative Law Judge Release No. 50 See Also: Opinion File Number: 3-8232
Date: May 27, 1994	Respondents: Juan Carlos Schidlowski Edward J. Kuhlmann, Administrative Law Judge Release No. 49 File Number: 3-8186
Date: May 19, 1994	Respondents: Roberts D. Potts, CPA Edward J. Kuhlmann, Administrative Law Judge Release No. 48 See Also: Opinion , Court of Appeals Opinion File Number: 3-7998
Date: April 12, 1994	Respondents: Patricia A. Johnson Glenn Robert Lawrence, Administrative Law Judge Release No. 47 File Number: 3-8205
Date: Feb. 25, 1994	Respondents: Michael Keith Howard Warren E. Blair, Chief Administrative Law Judge Release No. 46 File Number: 3-8056
Date: Feb. 16, 1994	Respondents: Jones & Ward Securities, Inc., Ivan D. Jones, Jr., Roy P. Akers and Investment/Timing Systems, Inc. Warren E. Blair, Chief Administrative Law Judge Release No. 45 See Also: Court of Appeals Opinion File Number: 3-8037
Date: Jan. 24, 1994	Respondents: Ahmed Mohamed Soliman Brenda P. Murray, Chief Administrative Law Judge Release No. 44 File Number: 3-7954
Date: Dec. 23, 1993	Respondents: Peter C. Calcutta Edward J. Kuhlmann, Administrative Law Judge Release No. 43 File Number: 3-7856
Date: Dec. 15, 1993	Respondents: Shaw Tehrani a/k/a, Shaw Ahmadi-Tehrani Max O. Regensteiner, Administrative Law Judge Release No. 42 File Number: 3-8154
Date: Dec. 8, 1993	Respondents: Bruce B. Bowen and Thomas Q. Cannon, Jr. Edward J. Kuhlmann, Administrative Law Judge Release No. 41 File Number: 3-7988
Date: Nov. 8, 1993	Respondents: Martin Herer Engelman, Peter Paul Kim and Lawrence David Isen Warren E. Blair, Chief Administrative Law Judge Release No. 40 File Number: 3-7719
Date: Nov. 5, 1993	Respondents: Ray H. Kobayashi Max O. Regensteiner, Administrative Law Judge Release No. 39 File Number: 3-7977
Date: Sept. 1, 1993	Respondents: Bruce L. Newberg Brenda P. Murray, Administrative Law Judge Release No. 38 File Number: 3-7651
Date: Aug. 4, 1993	Respondents: Richard D. Demaio Edward J. Kuhlmann, Administrative Law Judge Release No. 37 See Also: Errata File Number: 3-7912
Date: July 14, 1993	Respondents: Counsellors Tandem Securities Fund, Inc., Sequoia Partners, L.P. Edward J. Kuhlmann, Administrative Law Judge Release No. 36 File Number: 3-7900
Date: May 26, 1993	Respondents: Seahawk Deep Ocean Technology, Inc. Edward J. Kuhlmann, Administrative Law Judge Release No. 35 File Number: 3-7958
Date: May 18, 1993	Respondents: Kevin Upton Max O. Regensteiner, Administrative Law Judge Release No. 34 File Number: 3-7604
Date: April 28, 1993	Respondents: Kenneth E. Hassebroek Brenda P. Murray, Administrative Law Judge Release No. 33 File Number: 3-7714
Date: March 17, 1993	Respondents: The Stuart-James Co., Inc., et al. Max O. Regensteiner, Administrative Law Judge Release No. 32 See Also: Opinion File Number: 3-7164
Date: Feb. 24, 1993	Respondents: Raphael Bloom Warren E. Blair, Chief Administrative Law Judge Release No. 31 File Number: 3-7661
Date: Dec. 10, 1992	Respondents: George Salloum Jerome K. Soffer, Administrative Law Judge Release No. 30 File Number: 3-7402
Date: July 23, 1992	Respondents: Thomas F. White Warren E. Blair, Chief Administrative Law Judge Release No. 29 File Number: 3-7584
Date: July 20, 1992	Respondents: Ernest E. Michaud and Brandon Securities & Investments, Inc. Brenda P. Murray, Administrative Law Judge Release No. 28 File Number: 3-7613
Date: June 23, 1992	Respondents: Steven Erik Johnston, Patricia Ann Griffith, Albert Vincent O'Neal Brenda P. Murray, Administrative Law Judge Release No. 27 File Number: 3-7528
Date: Feb. 14, 1992	Respondents: Allen R. Asker Jerome K. Soffer, Administrative Law Judge Release No. 26 File Number: 3-7401
Date: Jan. 22, 1992	Respondents: Roger J. Houdek Warren E. Blair, Chief Administrative Law Judge Release No. 25 File Number: 3-7534
Date: Nov. 14, 1991	Respondents: Kingsley, Jennison, McNulty & Morse, Inc. et al. Max O. Regensteiner, Administrative Law Judge Release No. 24 File Number: 3-7446
Date: Oct. 10, 1991	Respondents: Ellwyn Fischbach, Rourke M. O'Brien, David S. Elliott, Gordon C. Martin Jerome K. Soffer, Administrative Law Judge Release No. 23 File Number: 3-7384
Date: Aug. 5, 1991	Respondents: Robert C. Gleave Brenda P. Murray, Administrative Law Judge Release No. 22 File Number: 3-7399
Date: June 19, 1991	Respondents: Comebellick, Reynolds & Russell, Inc., Richard D. Angell, Raymond R. Russell, Jr. Jerome K. Soffer, Administrative Law Judge Release No. 21 File Number: 3-7187
Date: June 6, 1991	Respondents: Walter F. Curran Brenda P. Murray, Administrative Law Judge Release No. 20 File Number: 3-7403
Date: May 22, 1991	Respondents: V.F. Minton Securities, Inc. and Vernon F. Minton Brenda P. Murray, Administrative Law Judge Release No. 19 File Number: 3-7391
Date: April 8, 1991	Respondents: Robert L. Ridenour Warren E. Blair, Chief Administrative Law Judge Release No. 18 File Number: 3-7419
Date: Feb. 11, 1991	Respondents: Robert D. Boose Brenda P. Murray, Administrative Law Judge Release No. 15 File Number: 3-7333