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
April 14, 1980	Lowe Management Corporation, Chris L. Lowe Max O. Regensteiner, Administrative Law Judge Release No. 3-5823 File Number: 3-5823
Jan. 25, 1980	Hammon Capital Management Corporation (801-9795) and Gabe Hammon Warren E. Blair, Chief Administrative Law Judge Release No. 3-5670 File Number: 3-5670
Dec. 21, 1979	Royal W. Carson, Jr. Edward B. Wagner, Administrative Law Judge Release No. 3-5794 File Number: 3-5794
Aug. 2, 1979	Allen & Company (8-1804), Richard M. Crooks (William H. Langfield, II) Jerome K. Soffer, Administrative Law Judge Release No. 3-5258 File Number: 3-5258
June 18, 1979	Richard O. Bertoli, Catherine Bertoli, Alfred B. Averell, Jr., Raydop Corporation, Freelton Investments Limited Max O. Regensteiner, Administrative Law Judge Release No. 3-4618 File Number: 3-4618
June 18, 1979	Stilwell Coker & Co., Inc., S.C. Associates, Inc., First South Carolina Corp., Charles D. Stilwell, Stephen C. Coker, Vincent P. Kane, Howard Spencer Hart, Donald R. Huffman, Joan H. Schumann, Alfred R. Hughes, Jr., Margaret C. Thornal Irving Schiller, Administrative Law Judge Release No. 3-5439 File Number: 3-5439
April 17, 1979	Donald & Co. Securities, Inc., et al. (8-20952) Edward B. Wagner, Administrative Law Judge Release No. 3-5433 File Number: 3-5433
March 28, 1979	Steven S. Mitchell, Clyde Reynolds Mahnke, Lawrence Dennis Dougherty, Michael W. Engmann, Noam Rand, Richard James French, Rainbow Options, Geoffrey B. Haynes, Ethan Aldridge Co., Inc., Herbert C. Kurlan, Jose C. Pascual Irving Schiller, Administrative Law Judge Release No. 3-5302 File Number: 3-5302
March 7, 1979	William R. Carter and Charles J. Johnson, Jr. Ralph Hunter Tracy, Administrative Law Judge Release No. 3-5464 File Number: 3-5464
Feb. 5, 1979	Potomac Investment Advisors, Ltd., Willard John Miller, John Scott Miller Max O. Regensteiner, Administrative Law Judge Release No. 3-5492 File Number: 3-5492
Jan. 16, 1979	First Pittsburgh Securities Corporation, Salvatore F. Geswaldo, Donald R. Kohl, Carl B. Benson, Bernard H. Golling, Charles Krzywicki David J. Markun, Administrative Law Judge Release No. 3-5435 File Number: 3-5435
Jan. 3, 1979	Oppenheimer & Company, Inc. Irving Schiller, Administrative Law Judge Release No. 3-5244 File Number: 3-5244
Nov. 29, 1978	The Vanguard Group, Inc., et al. Max O. Regensteiner, Administrative Law Judge Release No. 3-5281 File Number: 3-5281
Oct. 2, 1978	Robert Berkson, Maurice Rind, James Gallentine Irving Sommer, Administrative Law Judge Release No. 3-5208 File Number: 3-5208
Sept. 11, 1978	Bullington-Schas & Co., Inc., Edward J. Blumenfeld, and A. Dulaney Tipton, Jr. Irving Sommer, Administrative Law Judge Release No. 3-5282 File Number: 3-5282
Sept. 1, 1978	The Boston Company Institutional Investors, Inc., John W. Bristol & Co., Inc., Raymond L. Dirks, The Dreyfus Corporation, Manning & Napier, Tomlin, Zimmerman & Parmelee, Inc. David J. Markun, Administrative Law Judge Release No. 3-5068 File Number: 3-5068
Sept. 1, 1978	Delger Corporation (8-9914), Capital Planning Securities Company, Inc. (8-16856), Thomas A. Sartain, Sr. Ralph Hunter Tracy, Administrative Law Judge Release No. 3-5226 File Number: 3-5226
Aug. 22, 1978	Marcus, Schloss & Co., Inc. (8-17563), Frank S. Groseclose, Ronald R. Michno (8-18749), Robert A. Podesta (8-18739) Irving Sommer, Administrative Law Judge Release No. 3-5350 File Number: 3-5350
Aug. 14, 1978	Institutional Securities of Colorado, Inc., et al. Release No. 3-5104 File Number: 8-16443
Aug. 4, 1978	Allen Mansfield Warren E. Blair, Chief Administrative Law Judge Release No. 3-4504 File Number: 3-4504
July 24, 1978	Michael E. Tennenbaum (Bear, Stearns & Co. 8-00293) Ralph Hunter Tracy, Administrative Law Judge Release No. 3-5797 File Number: 3-5797
June 1, 1978	Risers' Venture Management Co., Inc. (24NY-8038) Jerome K. Soffer, Administrative Law Judge Release No. 3-5218 File Number: 3-5218
May 25, 1978	Emer-Go Corporation (24D-3462) Irving Sommer, Administrative Law Judge Release No. 3-5273 File Number: 3-5273
April 3, 1978	New South Securities, Inc., et al. Max O. Regensteiner, Administrative Law Judge Release No. 3-5389 File Number: 3-5389
March 6, 1978	Charles Michael West Sidney Ullman, Administrative Law Judge Release No. 3-5255 File Number: 3-5255
Jan. 30, 1978	M. Kimelman & Co. (812-4070) Jerome K. Soffer, Administrative Law Judge Release No. 3-5225 File Number: 3-5225
Jan. 16, 1978	Peter D. Giachini, John J. Murphy (812-4054) Irving Sommer, Administrative Law Judge Release No. 3-5169 File Number: 3-5169
Dec. 12, 1977	Hinkle Northwest, Inc., et al. (8-6561 & 801-8941) Edward B. Wagner, Administrative Law Judge Release No. 3-5148 File Number: 3-5148
Dec. 5, 1977	Strategic Management, Inc. (801-11009), Preferential Brokerage, Inc. (8-17210), Leroy S. Brenna Irving Sommer, Administrative Law Judge Release No. 3-5230 File Number: 3-5230
Dec. 5, 1977	John P. Decker (The Forum Corporation) Max O. Regensteiner, Administrative Law Judge Release No. 3-4976 File Number: 3-4976
Dec. 2, 1977	Revere Management Co., Inc. (8-8021), American Fund Services, Ltd., William N. Hess, Albert Kuhn Ralph Hunter Tracy, Administrative Law Judge Release No. 3-5150 File Number: 3-5150
Oct. 7, 1977	E. L. Aaron & Co., Inc., et al. (8-9601) Ralph Hunter Tracy, Administrative Law Judge Release No. 3-5127 File Number: 3-5127
Oct. 6, 1977	Harbine Financial Service (803-3) Jerome K. Soffer, Administrative Law Judge Release No. 3-5232 File Number: 3-5232
Sept. 23, 1977	Lawrence A. Luebbe (Benchmark Securities, Inc.) Max O. Regensteiner, Administrative Law Judge Release No. 3-5175 File Number: 3-5175
July 22, 1977	Dudley Diggs Morgan Ralph Hunter Tracy, Administrative Law Judge Release No. 3-5102 File Number: 3-5102
June 24, 1977	Parco Managers Corporation and United Parcel Service of America, Inc. Max O. Regensteiner, Administrative Law Judge Release No. 3-5164 File Number: 3-5164
June 2, 1977	International Research & Management Corp. (801-8827), Richard D. Braverman Irving Sommer, Administrative Law Judge Release No. 3-5048 File Number: 3-5048
May 27, 1977	Douglass and Co., Inc. et al. David J. Markun, Administrative Law Judge Release No. 3-4981 File Number: 3-4981
April 14, 1977	Benjamin Levy Securities, Inc. (8-20948), A.M.V. Capital Consultants, Ltd., Michael A. Alpert Warren E. Blair, Chief Administrative Law Judge Release No. 3-5090 File Number: 3-5090
March 28, 1977	Charles C. Carlson Jerome K. Soffer, Administrative Law Judge Release No. 3-5018 File Number: 3-5018
March 24, 1977	FAI Investment Analysts, Inc. (8-14658), Financial Analysts, Inc., Richard F. Bridges Ralph Hunter Tracy, Administrative Law Judge Release No. 3-5007 File Number: 3-5007
March 15, 1977	Joseph A. Buongiorno, JAB Securities Co., Inc. (8-13252) Irving Schiller, Administrative Law Judge Release No. 3-4424 File Number: 3-4424
March 11, 1977	Shaw Hooker & Co., Arthur A. Gambarasi, Leroy Zack Taylor Release No. 3-5037 File Number: 8-2213
March 3, 1977	Stanton L. Whitney Warren E. Blair, Chief Administrative Law Judge Release No. 3-5031 File Number: 3-5031
Feb. 22, 1977	Walter W. Irwin and Leary C. Willis, Jr. (Ambassador Church Finance/Development Group, Inc.) Jerome K. Soffer, Administrative Law Judge Release No. 3-4726 File Number: 3-4726
Nov. 11, 1976	Robert N. Campbell Irving Sommer, Administrative Law Judge Release No. 3-4743 File Number: 3-4743
Nov. 5, 1976	Daycon Investors Associates, Inc., Joseph P. D'Angelo Jerome K. Soffer, Administrative Law Judge Release No. 3-5098 File Number: 3-5098
Oct. 28, 1976	Nassar and Company, Inc. (8-20862) Irving Schiller, Administrative Law Judge Release No. 3-5074 File Number: 3-5074
Sept. 8, 1976	Amswiss International Corp. (8-14349), Glenn Woo Jerome K. Soffer, Administrative Law Judge Release No. 3-4733 File Number: 3-4733
Sept. 3, 1976	Executive Securities Corp. (8-13526), Richard O. Bertoli, Arnold L. Freilich Ralph Hunter Tracy, Administrative Law Judge Release No. 3-4694 File Number: 3-4694
Aug. 30, 1976	Carob Securities, Inc. and Robert A. Schilleman (8-20294) Edward B. Wagner, Administrative Law Judge Release No. 3-4980 File Number: 3-4980
Aug. 19, 1976	Jay Rutledge (Stephenson, Leydecker & Co.) David J. Markun, Administrative Law Judge Release No. 3-4724 File Number: 3-4724
Aug. 12, 1976	Research Automation Corporation (24NY-7584) Irving Sommer, Administrative Law Judge Release No. 3-4890 File Number: 3-4890
July 19, 1976	Investors Research Corporation, Mullaney, Wells and Company, James E. Stowers, Richard H. Driehaus Ralph Hunter Tracy, Administrative Law Judge Release No. 3-4669 File Number: 3-4669
July 9, 1976	Berkley Land and Investment Corporation (24W-3169) David J. Markun, Administrative Law Judge Release No. 3-4837 File Number: 3-4837
June 25, 1976	Lamb Brothers, Inc. (8-17965), Clyde C. Lamb, Jr. Warren E. Blair, Chief Administrative Law Judge Release No. 3-4706 File Number: 3-4706
May 28, 1976	Mitchum, Jones & Templeton, Inc. (Laidlaw & Co., Inc.) Max O. Regensteiner, Administrative Law Judge Release No. 3-4506 File Number: 3-4506
May 20, 1976	First California Co., et al. Jerome K. Soffer, Administrative Law Judge Release No. 3-4647 File Number: 3-4647
May 6, 1976	Application for Unlisted Trading Privileges in Common Stock of Ludlow Corporation by the Boston Stock Exchange, Release No. 3-4646 File Number: 7-4596
April 12, 1976	Edward J. Mawod & Company (8-14068), Edward Joseph Mawod, John William Airsman Ralph Hunter Tracy, Administrative Law Judge Release No. 3-4547 File Number: 3-4547
Feb. 23, 1976	A.J. Carno Co., Inc. (8-8936), Anthony Nadino Ralph Hunter Tracy, Administrative Law Judge Release No. 3-4516 File Number: 3-4516
Jan. 29, 1976	Mineral Exploration Company Release No. 3-3748,3-4755thru3-4768 File Number: 20-1924A5
Jan. 15, 1976	Richard John Mishlen, Morris Cohen d/b/a Marshall Company et al. (8-6420) Ralph Hunter Tracy, Administrative Law Judge Release No. 3-4536 File Number: 3-4536
Dec. 30, 1975	Edward A. Spehar (Schreiber Bosse & Co., Inc.) Irving Sommer, Administrative Law Judge Release No. 3-4449 File Number: 3-4449
Oct. 14, 1975	John O. Kvalsten (Teig Ross, Inc. 8-16864) Warren E. Blair, Chief Administrative Law Judge Release No. 3-4397 File Number: 3-4397
Oct. 6, 1975	Charles Plohn & Co., et al. (8-2756) Edward B. Wagner, Administrative Law Judge Release No. 3-4243 File Number: 3-4243
Sept. 26, 1975	J. Shapiro Co. (8-14010), Jerome H. Shapiro, Otto D. Christenson, George W. Fredericks, Edward D. Clapp, Stephen B. Goot, Herman J. Polisky Ralph Hunter Tracy, Administrative Law Judge Release No. 3-4121 File Number: 3-4121
Sept. 12, 1975	Amnon De-Nur Irving Sommer, Administrative Law Judge Release No. 3-4620 File Number: 3-4620
Aug. 25, 1975	Bruce William Zimmerman d/b/a Bruce W. Zimmerman Investments Warren E. Blair, Chief Administrative Law Judge Release No. 3-4498 File Number: 3-4498
Aug. 15, 1975	C. R. Richmond & Co., Curtis R. Richmond David S. Antrobius, Administrative Law Judge Release No. 3-4656 File Number: 3-4656
July 21, 1975	Peter Caplin, Gotham Securities Corporation, N. Carroll Mallow Irving Schiller, Administrative Law Judge Release No. 3-4403 File Number: 3-4403
June 30, 1975	All American Burger, Inc. (24SF-3932) Ralph Hunter Tracy, Administrative Law Judge Release No. 3-4587 File Number: 3-4587
June 26, 1975	Roald George Gregersen, Richard Lee Chatman (Gregersen & Co., Inc.) Max O. Regensteiner, Administrative Law Judge Release No. 3-4492 File Number: 3-4492
June 23, 1975	Willard G. Berge (Vande Vegte, Inc.) David J. Markun, Administrative Law Judge Release No. 3-4166 File Number: 3-4166
June 23, 1975	Robert E. Feeney, Harvey L. Velgersdyk, John R. Patterson (Kirsch, Chandler, Fenney & Co., Incorporated) David J. Markun, Administrative Law Judge Release No. 3-4373 File Number: 3-4373
May 16, 1975	Gotham Securities Corp., Peter Caplin, Aurre & Co., Inc., Aurre Management Co., Inc., Gregory Aurre, Jr. David J. Markun, Administrative Law Judge Release No. 3-4352 File Number: 3-4352
April 24, 1975	J. R. Radin & Co., Inc., et al. Edward B. Wagner, Administrative Law Judge Release No. 3-4271 File Number: 3-4271
April 10, 1975	Hale Securities Corp., Joseph Elkind, Richard Greenberg Ralph Hunter Tracy, Administrative Law Judge Release No. 3-4334 File Number: 3-4334
April 10, 1975	International Shareholders Services Corporation (8-16150), Howard M. Jenkins Irving Sommer, Administrative Law Judge Release No. 3-4473 File Number: 3-4473
March 25, 1975	Leo Glassman Edward B. Wagner, Administrative Law Judge Release No. 3-3758 File Number: 3-3758
Feb. 28, 1975	Cohen Goren Equities, Inc., L.M. Rosenthal & Co., Inc., Irving Atherton, Stephen Irwin Fischgrund, Daniel S. Brier & Co., Inc., Daniel S. Brier, Robert W. Steven Corp., Robert Isaac Konigsberg, Schweickart & Co., John Radin, Singer & Mackie, Inc., Nathan Shapiro, Barid Patrick & Co., Daniel Lanktree Ralph Hunter Tracy, Administrative Law Judge Release No. 3-4330 File Number: 3-4330
Feb. 28, 1975	Intersearch Technology, Inc. Release No. 3-2991 File Number: 801-6220
Feb. 21, 1975	Business Equity Corp. (8-16273), Gaston R. Desautels Warren E. Blair, Chief Administrative Law Judge Release No. 3-3683 File Number: 3-3683
Feb. 21, 1975	Du-Tel Investment Co., Inc. (8-14336), Gaston R. Desautels Warren E. Blair, Chief Administrative Law Judge Release No. 3-3759 File Number: 3-3759
Feb. 21, 1975	Ralph M. Nordstrom (M.L. Fallick & Co., Inc.) Max O. Regensteiner, Administrative Law Judge Release No. 3-4481 File Number: 3-4481
Feb. 7, 1975	Robert W. Herko (Ferruggia, Lippman & Coyle, Inc.) Max O. Regensteiner, Administrative Law Judge Release No. 3-4375 File Number: 3-4375
Jan. 27, 1975	The Geier Letter, Inc. (801-4391), Michael S. Geier David J. Markun, Administrative Law Judge Release No. 3-3989 File Number: 3-3989
Jan. 21, 1975	A.J. White & Co., Allan J. White, James A. Noon, Richard J. McDermott Release No. 3-4390 File Number: 8-11962
Jan. 3, 1975	Walston & Co., Inc. (8-4824), Ronald W. Dundon, Richard L. Feldman, Ray K. Rabin Ralph Hunter Tracy, Administrative Law Judge Release No. 3-4233 File Number: 3-4233
Dec. 30, 1974	E. F. Henderson & Co., Inc., et al. (8-7439) Edward B. Wagner, Administrative Law Judge Release No. 3-4268-1 File Number: 3-4268-1
Dec. 26, 1974	James J. Chica, Carrol P. Teig, Peter R. Super (First Minneapolis Investment Corp., 8-15965) Warren E. Blair, Chief Administrative Law Judge Release No. 3-4368 File Number: 3-4368
Dec. 20, 1974	Steadman Security Corporation, Steadman Investment Services Corporation (8-14704), Republic Securities Corporation (8-13223), The Steadman Corporation of America (8-13955), Aberdeen Management Corporation (8-1867), Charles W. Steadman David J. Markun, Administrative Law Judge Release No. 3-3101 File Number: 3-3101
Dec. 13, 1974	Lincoln Securities, et al. (8-15573) Edward B. Wagner, Administrative Law Judge Release No. 3-2848 File Number: 3-2848
Dec. 3, 1974	Delta Steel Corporation (24SF-4052) Max O. Regensteiner, Administrative Law Judge Release No. 3-4495 File Number: 3-4495
Nov. 15, 1974	Richard R. Carta (Smith & Medford, Inc., 8-15976) Ralph Hunter Tracy, Administrative Law Judge Release No. 3-4388 File Number: 3-4388
Sept. 13, 1974	Maxwell Bentley Warren E. Blair, Chief Administrative Law Judge Release No. 3-4401 File Number: 3-4401
Aug. 2, 1974	Midland Securities Corporation, Richard B. Berdahl, Robert O. Knutson, William H. Harrison, Bruce L. Hankerson, James R. Ehlen David J. Markun, Administrative Law Judge Release No. 3-4283 File Number: 3-4283
July 15, 1974	Scientronic Corporation (24W-3141) Ralph Hunter Tracy, Administrative Law Judge Release No. 3-4395 File Number: 3-4395
July 12, 1974	Black & Company, Inc., Lawrence S. Black, Roy A. Pitt, Jr., R.W. Pressprich & Co., Inc. David J. Markun, Administrative Law Judge Release No. 3-3460 File Number: 3-3460
June 28, 1974	Robert Hoffman, Walston & Co., Inc. (8-4824), Sydney Senior Smith, Daniel T. Cullen Sidney L. Feiler, Administrative Law Judge Release No. 3-3492 File Number: 3-3492

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