ALJ Initial Decisions

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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Date Sort ascending	Respondents
Dec. 21, 1990	J. Baker Tuttle Corp., Tuttle & Co., Jason Baker Tuttle, Sr. Brenda P. Murray, Administrative Law Judge Release No. 13 File Number: 3-7091
Dec. 13, 1990	Rick Edward Myers, d/b/a, Rick Edward Myers, CFP Warren E. Blair, Chief Administrative Law Judge Release No. 11 File Number: 3-7287
Oct. 24, 1990	Charles Phillip Elliott Warren E. Blair, Chief Administrative Law Judge Release No. 10 File Number: 3-7280
Oct. 19, 1990	Michael J. Fee Jerome K. Soffer, Administrative Law Judge Release No. 9 File Number: 3-7023
Oct. 17, 1990	Robert E. Iles, Sr. Warren E. Blair, Chief Administrative Law Judge Release No. 8 File Number: 3-7261
Aug. 3, 1990	William H. Mathis Brenda P. Murray, Administrative Law Judge Release No. 7 File Number: 3-7153
July 19, 1990	John F. Garvan Jerome K. Soffer, Administrative Law Judge Release No. 6 File Number: 3-7272
June 28, 1990	Ernst & Whinney and Michael L. Ferrante, C.P.A. Jerome K. Soffer, Administrative Law Judge Release No. 5 File Number: 3-6579
April 27, 1990	Blinder, Robinson & Co., Inc., Meyer Blinder David J. Markun, Administrative Law Judge Release No. 4 File Number: 3-6380
Feb. 15, 1990	Bacardi Corporation Max O. Regensteiner, Administrative Law Judge Release No. 3 File Number: 3-7019
Jan. 17, 1990	William R. Beach Brenda P. Murray, Administrative Law Judge Release No. 2 File Number: 3-7206
Jan. 8, 1990	Jason Baker Tuttle, Sr., J.B.T. Management, Inc., d/b/a Tuttle Incorporated, Jason Baker Tuttle, Jr. Brenda P. Murray, Administrative Law Judge Release No. 1 File Number: 3-7289
Sept. 20, 1989	William A. Calvo, III Max O. Regensteiner, Administrative Law Judge Release No. 3-7038 File Number: 3-7038
Sept. 5, 1989	David J. Checkosky, Norman A. Aldrich Brenda P. Murray, Administrative Law Judge Release No. 3-6776 File Number: 3-6776
March 6, 1989	Richard E. Moyer, T. Marshall Swartwood, Swartwood, Hesse, Inc. Brenda P. Murray, Administrative Law Judge Release No. 3-6985 File Number: 3-6985
Feb. 23, 1989	CSW Credit, Inc. and Central and South West Corporation Warren E. Blair, Chief Administrative Law Judge Release No. 3-7027 File Number: 3-7027
Feb. 21, 1989	William L. Kicklighter, Jr., Robert Q. Brown, Terry G. Eurich (Hereth, Orr & Jones, Inc., Release No. 3-6803 File Number: 8-19296
Dec. 29, 1988	Philip S. Wilson, d/b/a, Wilson Associates Max O. Regensteiner, Administrative Law Judge Release No. 3-6938 File Number: 3-6938
Dec. 2, 1988	Donald T. Sheldon, et al. Max O. Regensteiner, Administrative Law Judge Release No. 3-6626 File Number: 3-6626
Nov. 14, 1988	George C. Kern, Jr. (Allied Stores Corporation) Warren E. Blair, Chief Administrative Law Judge Release No. 3-6869 File Number: 3-6869
Oct. 5, 1988	Gallagher & Co., Russell K. Gallagher and Laura K. Gallagher Brenda P. Murray, Administrative Law Judge Release No. 3-6907 File Number: 3-6907
Sept. 30, 1988	George Inserra, John Inserra, Nicholas J. Gentile (John Giura) Jerome K. Soffer, Administrative Law Judge Release No. 3-6691 File Number: 3-6691
June 3, 1988	Charles W. Streicher Warren E. Blair, Chief Administrative Law Judge Release No. 3-6856 File Number: 3-6856
May 31, 1988	Russell Anthony Phipps David J. Markun, Administrative Law Judge Release No. 3-6802 File Number: 3-6802
May 10, 1988	Joseph A. Lugo David J. Markun, Administrative Law Judge Release No. 3-6740 File Number: 3-6740
May 9, 1988	Malcolm Kanan Warren E. Blair, Chief Administrative Law Judge Release No. 3-6847 File Number: 3-6847
March 31, 1988	Investors Portfolio Management, Inc. Warren E. Blair, Chief Administrative Law Judge Release No. 3-6729 File Number: 3-6729
March 9, 1988	Edward Michael Furlong David J. Markun, Administrative Law Judge Release No. 3-6831 File Number: 3-6831
Feb. 12, 1988	Cosentino & Defelice, Inc., Elizabeth Bamberg, et al. David J. Markun, Administrative Law Judge Release No. 3-6599 File Number: 3-6599
Dec. 15, 1987	Arthur James Huff David J. Markun, Administrative Law Judge Release No. 3-6700 File Number: 3-6700
Aug. 18, 1987	John G. Rinaldo David J. Markun, Administrative Law Judge Release No. 3-6743 File Number: 3-6743
Aug. 4, 1987	David D. Carey Jerome K. Soffer, Administrative Law Judge Release No. 3-6556 File Number: 3-6556
July 31, 1987	Thomas J. Fittin, Jr. David J. Markun, Administrative Law Judge Release No. 3-6571 File Number: 3-6571
July 1, 1987	Robert G. Leigh Max O. Regensteiner, Administrative Law Judge Release No. 3-6738 File Number: 3-6738
June 26, 1987	Robert J. Check (Advest, Inc., 3-21409) Warren E. Blair, Chief Administrative Law Judge Release No. 3-6783 File Number: 3-6783
April 23, 1987	Louis R. Trujillo Jerome K. Soffer, Administrative Law Judge Release No. 3-6555 File Number: 3-6555
March 30, 1987	James E. Cavallo Max O. Regensteiner, Administrative Law Judge Release No. 3-6562 File Number: 3-6562
March 9, 1987	Michael David Marant d/b/a, Light Investment Company Warren E. Blair, Chief Administrative Law Judge Release No. 3-6793 File Number: 3-6793
Jan. 7, 1987	Bill R. Thomas David J. Markun, Administrative Law Judge Release No. 3-6618 File Number: 3-6618
Sept. 30, 1986	Eugene Mulvihill David J. Markun, Administrative Law Judge Release No. 3-6612 File Number: 3-6612
Sept. 23, 1986	Adrian Antoniu Warren E. Blair, Chief Administrative Law Judge Release No. 3-6566 File Number: 3-6566
Aug. 14, 1986	Registration Statement of Petrofab International, Inc. Max O. Regensteiner, Administrative Law Judge Release No. 3-6461 File Number: 3-6461
June 23, 1986	Norman Behar (801-25751) Warren E. Blair, Chief Administrative Law Judge Release No. 3-6586 File Number: 3-6586
April 29, 1986	Registration Statement of M-Zero Corporation Max O. Regensteiner, Administrative Law Judge Release No. 3-6615 File Number: 3-6615
March 10, 1986	New Capital Properties Florida, Inc., d/b/a New Capital Properties Jerome K. Soffer, Administrative Law Judge Release No. 3-6495 File Number: 3-6495
Feb. 12, 1986	Teletest Corporation (24NY-8628) Ralph Hunter Tracy, Administrative Law Judge Release No. 3-6540 File Number: 3-6540
Jan. 6, 1986	Henderson, Inc., William Orr Henderson Ralph Hunter Tracy, Administrative Law Judge Release No. 3-6542 File Number: 3-6542
Dec. 13, 1985	Richard Hirschfeld Warren E. Blair, Chief Administrative Law Judge Release No. 3-6544 File Number: 3-6544
Aug. 30, 1985	Blinder, Robinson & Co., Inc., Meyer Blinder David J. Markun, Administrative Law Judge Release No. 3-6380 File Number: 3-6380
June 27, 1985	Military Robot Corporation David J. Markun, Administrative Law Judge Release No. 3-6493 File Number: 3-6493
June 4, 1985	RFG Options Company (8-24148), Eugene V. Rintels, Andor A. Fleischman, Dennis G. Guy Ralph Hunter Tracy, Administrative Law Judge Release No. 3-6370 File Number: 3-6370
May 24, 1985	Rooney, Pace Inc., et al. Max O. Regensteiner, Administrative Law Judge Release No. 3-6332 File Number: 3-6332
March 22, 1985	Owen V. Kane (A.G. Becker, Incorporated n/k/a A.G. Becker Paribas Incorporated) Warren E. Blair, Chief Administrative Law Judge Release No. 3-6351 File Number: 3-6351
Feb. 8, 1985	First State Financial, Inc. (801-22847) David J. Markun, Administrative Law Judge Release No. 3-6451 File Number: 3-6451
Feb. 6, 1985	Lester Kuznetz Jerome K. Soffer, Administrative Law Judge Release No. 3-6356 File Number: 3-6356
Jan. 29, 1985	Butcher & Singer, Inc., Samuel J. Bennett, Thomas A. Grey David J. Markun, Administrative Law Judge Release No. 3-6324 File Number: 3-6324
Dec. 20, 1984	Bobby Bruce, Cletus Marion Hodge, John Kilpatrick, Carlos Arturo Smith, Jr., Robert Hardee Quarles, William Edward Shelton, IV (G. Weeks & Co., Inc.) (8-18520) Jerome K. Soffer, Administrative Law Judge Release No. 3-6310 See Also: Opinion, Release No. 34-66530 File Number: 3-6310
Dec. 20, 1984	C.E. Carlson, Inc. (8-25891), Charles E. Carlson Ralph Hunter Tracy, Administrative Law Judge Release No. 3-6346 File Number: 3-6346
Nov. 21, 1984	Annette Langheinrich Max O. Regensteiner, Administrative Law Judge Release No. 3-6321 File Number: 3-6321
July 23, 1984	Gary L. Jackson Jerome K. Soffer, Administrative Law Judge Release No. 3-6253 File Number: 3-6253
July 17, 1984	American Western Securities, Inc., Jack Darold Kelley, Dee Marie Knoblauch Irving Schiller, Administrative Law Judge Release No. 3-6193 File Number: 3-6193
May 23, 1984	Alan Bennett Harp Ralph Hunter Tracy, Administrative Law Judge Release No. 3-6208 File Number: 3-6208
April 20, 1984	Dean W. Cluff Irving Schiller, Administrative Law Judge Release No. 3-6182 File Number: 3-6182
April 12, 1984	Glen Copeland Max O. Regensteiner, Administrative Law Judge Release No. 3-6134 File Number: 3-6134
March 22, 1984	Frank W. Humpherys Ralph Hunter Tracy, Administrative Law Judge Release No. 3-6255 File Number: 3-6255
Feb. 24, 1984	Hammon Capital Management Corporation (801-9795) and Gabe Hammon Ralph Hunter Tracy, Administrative Law Judge Release No. 3-6228 File Number: 3-6228
Feb. 1, 1984	Bruce Paul Ralph Hunter Tracy, Administrative Law Judge Release No. 3-6271 File Number: 3-6271
Jan. 31, 1984	Trenton H. Parker & Associates, Inc. (8-18218), Trenton H. Parker & Associates Asset Management Corporation (801-12440), Trenton H. Parker Warren E. Blair, Chief Administrative Law Judge Release No. 3-6265 File Number: 3-6265
Jan. 25, 1984	Russell G. Davy Irving Schiller, Administrative Law Judge Release No. 3-6196 File Number: 3-6196
Dec. 28, 1983	Charles Schwab & Co., Inc. David J. Markun, Administrative Law Judge Release No. 3-6222 File Number: 3-6222
Dec. 19, 1983	Raymond L. Dirks, John D. Sullivan Irving Schiller, Administrative Law Judge Release No. 3-6183 File Number: 3-6183
Dec. 12, 1983	David R. Williams (International Securities, Inc.) Ralph Hunter Tracy, Administrative Law Judge Release No. 3-6238 File Number: 3-6238
Dec. 9, 1983	Steven R. Grayson Warren E. Blair, Chief Administrative Law Judge Release No. 3-6268 File Number: 3-6268
Sept. 6, 1983	Robert Blakeney Stevenson (Spaulding Securities Corporation) Jerome K. Soffer, Administrative Law Judge Release No. 3-6165 File Number: 3-6165
Aug. 29, 1983	Pagel, Inc. Release No. 3-6142 File Number: 8-16764
July 25, 1983	Financial Planning Center of Greater Washington, Inc. (801-15007), Walter H.T. Seager Warren E. Blair, Chief Administrative Law Judge Release No. 3-6219 File Number: 3-6219
July 7, 1983	A. L. Williamson & Co., Grover MacConnell Max O. Regensteiner, Administrative Law Judge Release No. 3-6149 File Number: 3-6149
May 25, 1983	Keith E. Wentz, Ronald P. Bynum Max O. Regensteiner, Administrative Law Judge Release No. 3-6180 File Number: 3-6180
April 29, 1983	Joseph Eugene Polk, Individually and doing business as Equity Investments, Ltd. (801-11790) Jerome K. Soffer, Administrative Law Judge Release No. 3-6148 File Number: 3-6148
April 11, 1983	Harbine Financial Service (801-11538), Jesse Rosenblum Warren E. Blair, Chief Administrative Law Judge Release No. 3-6150 File Number: 3-6150
March 23, 1983	Thomas J. Furnari Jerome K. Soffer, Administrative Law Judge Release No. 3-6091 File Number: 3-6091
March 21, 1983	Larry D. Blavin, Individually and d/b/a Providence Investment Advisory Ralph Hunter Tracy, Administrative Law Judge Release No. 3-6076 File Number: 3-6076
Feb. 7, 1983	Wall Street West, Inc. (8-22329), General Bond & Share Co. (8-7303), Theodore V. Abbruzzese, John L. Brown, Walter G. Asmus, Kenneth W. Sandberg, Sam C. Pandolfo Ralph Hunter Tracy, Administrative Law Judge Release No. 3-6119 File Number: 3-6119
Dec. 30, 1982	Paine Webber Jackson & Curtis, Incorporated (BD 8-016267) David J. Markun, Administrative Law Judge Release No. 3-6074 File Number: 3-6074
Dec. 29, 1982	First Multifund Advisory Corp., Milton Mound Irving Schiller, Administrative Law Judge Release No. 3-5881 File Number: 3-5881
Dec. 20, 1982	Alstead, Strangis & Dempsey, Inc. (8-14697) Warren E. Blair, Chief Administrative Law Judge Release No. 3-6135 File Number: 3-6135
Sept. 24, 1982	Investors Financial Planning, Inc. Release No. 3-6071 File Number: 8-15278
Sept. 10, 1982	Advanced Chemical Corporation Jerome K. Soffer, Administrative Law Judge Release No. 3-6085 File Number: 3-6085
Aug. 27, 1982	Richard W. Suter and Richard W. Suter d/b/a National Investment Publishing Company David J. Markun, Administrative Law Judge Release No. 3-6038 File Number: 3-6038
Aug. 2, 1982	Jay W. Kaufmann & Co., Raphael David Bloom Irving Schiller, Administrative Law Judge Release No. 3-6084 File Number: 3-6084
March 4, 1982	James S. Doyle, Thomas F. Ryan David J. Markun, Administrative Law Judge Release No. 3-6063 File Number: 3-6063
Jan. 29, 1982	Morton Paul Kominsky d/b/a Morton Kominsky, Morton Kominsky David J. Markun, Administrative Law Judge Release No. 3-6046 File Number: 3-6046
Jan. 14, 1982	James F. Novak Ralph Hunter Tracy, Administrative Law Judge Release No. 3-6022 File Number: 3-6022
June 30, 1981	G.C. George Securities, Inc., et al. (8-11682) Edward B. Wagner, Administrative Law Judge Release No. 3-5086 File Number: 3-5086
April 17, 1981	Peter J. Kisch, George R. Zenanko Ralph Hunter Tracy, Administrative Law Judge Release No. 3-5950 File Number: 3-5950
Sept. 4, 1980	James E. Ryan (National Securities Corporation) Max O. Regensteiner, Administrative Law Judge Release No. 3-5845 File Number: 3-5845
Aug. 18, 1980	Ronald L. Brownlow (Oppenheimer & Co., Inc., et al. ) Edward B. Wagner, Administrative Law Judge Release No. 3-5860 File Number: 3-5860
Aug. 14, 1980	Michael Joseph Boylan, Harold Harris Ralph Hunter Tracy, Administrative Law Judge Release No. 3-5448 File Number: 3-5448
June 30, 1980	Don A. Long Jerome K. Soffer, Administrative Law Judge Release No. 3-5788 File Number: 3-5788
June 9, 1980	Transamerican Securities, Inc. (8-21839), Transamerican Investment Company, Ltd., Carl E. Blyskal and Rolfe H. McCollister Edward B. Wagner, Administrative Law Judge Release No. 3-5810 File Number: 3-5810

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ALJ Initial Decisions