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).

Related Resources:


Date Sort ascending	Respondents
June 2, 1969	Dunhill Securities Corporation, Patrick R. Reymaud, Edward Flinn (8-11616) David J. Markun, Hearing Examiner Release No. 3-1961 See Also: Opinion File Number: 3-1961
May 23, 1969	D.H. Blair & Co. (8-8239), Robert W. Miller, Charles J. Miller, Ralph J. Trapani, Ronald Neumark, Seymour Katz, Carl M. Loeb Rhoades & Co. (8-279), Goodbody & Co. (8-301), Richard V. Miller, Troster, Singer & Co. (8-1219), Sidney Woolwich Irving Schiller, Hearing Examiner Release No. 3-329 See Also: Opinion File Number: 3-329
May 15, 1969	Hodgdon & Co., Inc. (8-8427), A. Dana Hodgdon, James F. Haight, Burton Kitain, W. Lyles Carr, Jr., David M. Adam, Jr., James W. Harper, III, Homer E. Davis, Robert F. Kibler, Louis S. Amann, James L. Roper, Harvey A. Baskin Sidney Gross, Hearing Examiner Release No. 3-533 See Also: Opinion File Number: 3-533
March 21, 1969	California Securities Corporation, Scott Douglas Kellogg, 8-12587 David J. Markun, Hearing Examiner Release No. 3-1372 File Number: 3-1372
March 21, 1969	M.G. Davis & Co., Inc. (8-9237), Lawrence Levine, Walter Wax, Morris Kopel, Harold R. Rosenberg, Crerie & Co., Inc. (8-9152), Frank Crerie, Mario Trombone Associates, Inc. (801-2872), Mario Trombone Samuel Binder, Hearing Examiner Release No. 3-250 See Also: Opinion File Number: 3-250
Feb. 5, 1969	Abbett, Sommer & Co., Inc., Charles W. Sommer, III, Kyle M. Drollinger, Jr., Abbett, Sommer & Company Mortgage Corporation (8-7035) David J. Markun, Hearing Examiner Release No. 3-1510 See Also: Opinion File Number: 3-1510
Jan. 29, 1969	Louis P. Nichols & Company (8-14103) Samuel Binder, Hearing Examiner Release No. 3-1758 File Number: 3-1758
Jan. 22, 1969	Volante, Behar and Sperling, Guido Volante, Jacques Behar, Herman Sperling (8-14167) Sidney L. Feiler, Hearing Examiner Release No. 3-1793 File Number: 3-1793
Dec. 24, 1968	Babcock & Co., Louis W. Babcock and Robert T. Stead (8-11902) David J. Markun, Hearing Examiner Release No. 3-1512 See Also: Opinion File Number: 3-1512
Nov. 5, 1968	General Electric Company, General Electric S & S Program Mutual Fund (813-26) Sidney L. Feiler, Hearing Examiner Release No. 3-1057 See Also: Finality Order File Number: 3-1057
Oct. 24, 1968	The Trust Fund Sponsored by the Episcopal School Foundation College Award Program, Inc. (812-2229) Sidney Gross, Hearing Examiner Release No. 3-1374 See Also: Commission Order Discontinuing Proceeding File Number: 3-1374
Aug. 27, 1968	Kennedy, Cabot & Co., Inc., David Paul Kane, Linda D. Tallen (8-8621) Sidney L. Feiler, Hearing Examiner Release No. 3-326 See Also: Opinion File Number: 3-326
Aug. 26, 1968	Jaffee & Company, Wilton L. Jaffee, Jr. (8-11472), Greene & Company, Irving A. Greene, Robert Topol, Bernard Horn (8-702), M. L. Lee & Co., Inc., Martin L. Levy (8-8226) Sidney Ullman, Hearing Examiner Release No. 3-570 See Also: Opinion File Number: 3-570
March 18, 1968	American Steel and Pump Corporation (812-2141) Irving Schiller, Hearing Examiner Release No. 3-1246 See Also: Finality File Number: 3-1246
March 11, 1968	Richard N. Cea, James C. Conklin, Kenneth E. Fisher, Robert E. Kness, Frank P. Wayhart, Keystone State Investment Securities Company, Inc. (8-12228) Samuel Binder, Hearing Examiner Release No. 3-785, AAER-1248 See Also: Opinion File Number: 3-785
Feb. 1, 1968	The National Dollar Stores, Ltd. (81-79) Sidney Ullman, Hearing Examiner Release No. 3-1212 See Also: Opinion File Number: 3-1212
Jan. 24, 1968	Nationwide Family Plans, Inc. (8-7508), William Kilroy, Louis C. Ostrer Irving Schiller, Hearing Examiner Release No. 3-717 File Number: 3-717
Dec. 22, 1967	Boettcher & Company (8-683), David F. Lawrence, Alfred A. Wiesner, Bruce C. Newman Sidney L. Feiler, Hearing Examiner Release No. 3-544 See Also: Opinion File Number: 3-544
Nov. 28, 1967	Paine, Webber, Jackson & Curtis (8-402), William P. Cowden, Ralph Martin Klopp Warren E. Blair, Hearing Examiner Release No. 3-484 See Also: Opinion File Number: 3-484
Sept. 25, 1967	Laird, Bissell and Meeds (8-18), Louis J. Sneed, Hanns E. Kuehner, Edgar F. Isaacs, Harold J. Rau; Cortlandt Investing Corporation (8-5630), Melvin Cantor, Samuel E. Stone, Max Reiter, Michael Kramer Samuel Binder, Hearing Examiner Release No. 3-133 File Number: 3-133
Aug. 14, 1967	Commonwealth Securities Corporation Release No. 8-6739 See Also: Opinion File Number: 8-6739
July 31, 1967	Southern Brokerage & Holding Co., Inc. (801-1280) d/b/a The Canadian Forecaster, Alan McDonald Munro, Peter Jeffery Irving Schiller, Hearing Examiner Release No. 3-784 File Number: 3-784
June 26, 1967	Richard J. Buck & Co. (8-4276), Arthur Gladstone, Charles Arthur Fehr, Mortimer E. Hanly, Frederick C. Stutzmann, Jr., Steve Charles Paras James G. Ewell, Hearing Examiner Release No. 3-417 See Also: Opinion File Number: 3-417
May 1, 1967	Orchard Supply Building Co. (81-41) Sidney L. Feiler, Hearing Examiner Release No. 3-789, AAER-1311 File Number: 3-789
May 1, 1967	Langley-Howard, Inc. (8-3349), John A. Howard, Mark E. O'Leary, Theodore Barnett, Richard A. Sorenson, William R. Steigerwald Sidney Ullman, Hearing Examiner Release No. 3-503 See Also: Opinion File Number: 3-503
March 31, 1967	Stanford Investment Management, Inc., a California corporation (801-2854) and Lawrence Ronald Ross (801-3404) Samuel Binder, Hearing Examiner Release No. 3-640 See Also: Opinion File Number: 3-640
Feb. 24, 1967	Armstrong, Jones & Co. (8-6057), Thomas W. Itin, George A. Reuter, Rene F. Campeau, E. Keith Owens, Charles H. Bruce, Robert O. Safford Warren E. Blair, Hearing Examiner Release No. 3-336 See Also: Opinion File Number: 3-336
Dec. 30, 1966	Charles P. Lawrence James G. Ewell, Hearing Examiner Release No. 3-609 See Also: Opinion File Number: 3-609
Dec. 27, 1966	Millard M. Mier, John E. Lalich, Geraldine C. Gillespie, Carolyn J. Hendrickson Leo G. MacLaughlin Securities Co. Release No. 8-6926 See Also: Finality Order File Number: 8-6926
Dec. 19, 1966	Richard Bruce & Co., Inc. (8-923), Melvin Hiller, George Granat, Stanley Gross, Jeanne S. Earle, Aaron Fink, Robert A. Monahan Sidney Ullman, Hearing Examiner Release No. 3-134 See Also: Opinion File Number: 3-134
Nov. 17, 1966	Balanced Programs, Ltd. (8-10459), Charles S. Sperrazza Samuel Binder, Hearing Examiner Release No. 3-543 See Also: Finality Order File Number: 3-543
Oct. 19, 1966	Roman S. Gorski (801-2400) Irving Schiller, Hearing Examiner Release No. 3-469 See Also: Opinion File Number: 3-469
Oct. 17, 1966	Lawrence Securities Company (8-12017), Lawrence Jay Brown d/b/a Lawrence Securities Company (8-11971), Lawrence Jay Brown Sidney Ullman, Hearing Examiner Release No. 3-115 See Also: Finality Order File Number: 3-115
Oct. 17, 1966	Billings Associates, Inc. (8-11330), Pearne Billings, Judson Dockstader, William J. Irving, Arthur E. Laudenslager, Hedley Moore, Mitchel Steklof, Morris Cohen Warren E. Blair, Hearing Examiner Release No. 3-382 File Number: 3-382
Aug. 26, 1966	Century Securities Company (8-8623), Fred Colton, David T. Fleischman, William Reigel, Robert W. Nees, Pierre Pambrun, Jay B. Cook, Donald R. Brophy, John Desbrow Sidney Gross, Hearing Examiner Release No. 8-8623 See Also: Opinion File Number: 8-8623
July 15, 1966	International Hydrocarbons Ltd. (23S-1983) Samuel Binder, Hearing Examiner Release No. 3-200 File Number: 3-200
June 27, 1966	Strathmore Securities, Inc., Auldus H. Turner, Jr., Ronald D. Turner, T. Theodore Turner, Theodore B. Henjum, Michael R. Ventura, Louis A. Moore, Alan J. Davis, Hugh M. Casper, John J. Baginski, Ethel I. Weber Sidney L. Feiler, Hearing Examiner Release No. 8-7323 See Also: Opinion File Number: 8-7323
June 23, 1966	Dixie Land and Timber Corporation (2-2278) Samuel Binder, Hearing Examiner Release No. 3-215 See Also: Finality Order File Number: 3-215
June 22, 1966	William S. Marshall Sidney Ullman, Hearing Examiner Release No. 3-136 File Number: 3-136
May 31, 1966	Huntington Securities Co., Inc. (8-8892), Benjamin Stein, Saul Kay, Peter Fotis, James De Mammos, Erwin Gersten Sidney Ullman, Hearing Examiner Release No. 8-8892 See Also: Finality Order File Number: 8-8892
April 25, 1966	Van Hoozer & Company, Inc. (8-6810), Thomas H. Van Hoozer Samuel Binder, Hearing Examiner Release No. 3-43 See Also: Finality Order File Number: 3-43
April 7, 1966	Costello, Russotto & Co. (8-9178), Frank A. Costello, Bernard Livingston, Jerold Irwin Kantor, Martin A. Fleischman, Joseph Baron, Floyd Earl O'Gorman Sidney Gross, Hearing Examiner Release No. 3-163 See Also: Finality Order File Number: 3-163
April 4, 1966	Fabrikant Securities Corporation, et al. (8-9565) Sidney Ullman, Hearing Examiner Release No. 8-9565 See Also: Finality Order File Number: 8-9565
March 21, 1966	F. R. Burns & Company (8-4205), Floyd R. Burns Sidney L. Feiler, Hearing Examiner Release No. 3-145 See Also: Finality Order File Number: 3-145
March 16, 1966	Marketlines, Inc. (801-3091), David S. Romanoff, Harold Schreiber / Elizabeth Schreiber d/b/a Commodity Trading Advisory Service (801-3066), Harold Schreiber James G. Ewell, Hearing Examiner Release No. 3-227 See Also: Opinion File Number: 3-227
Feb. 28, 1966	Stuart Perlman (24A-1733); Clifford Perlman; Aetna Securities Corporation - Offerors; Lum's Inc. - Issuer Sidney Gross, Hearing Examiner Release No. 3-3 See Also: Opinion File Number: 3-3
Feb. 16, 1966	C.A. Benson & Company, Inc. (8-6721), Carl A. Benson Warren E. Blair, Hearing Examiner Release No. 3-148 See Also: Finality Order File Number: 3-148
Jan. 21, 1966	Thomas F. Quinn, Norman B. Babat, Martin A. Fleischman, Jack Greenberg Sidney Gross, Hearing Examiner Release No. 3-1, AAER-2367 See Also: Finality Order File Number: 3-1
Jan. 4, 1966	Christopher & Co., Inc. (8-9380), Jospeh Cannistraci, Peter Lobkowicz, a/k/a Leblovic, Alfred Miller, Theodore Sotell, William V. Simone, Irving Sherer, Bernard Freimark, Salvatore J. Ambrosino, Thomas Souran Irving Schiller, Hearing Examiner Release No. 8-9380 See Also: Finality Order File Number: 8-9380
Jan. 3, 1966	Waldman & Co. (8-11460), Seymour Waldman, Elliot Rose, Bernard Portnoy, Frank Engelman, Julius Gladstein, Samuel Lewis, Stuart Davis, Louis Pilnick, Reubin Ehrlich, Martin A. Fleishman, Norman B. Babat, Norman Pollisky, Aaron J. Gabriel, Allan Harris Warren E. Blair, Hearing Examiner Release No. 3-364 See Also: ALJ Initial Decision Release , Finality Order File Number: 3-364
Dec. 22, 1965	J.P. Howell & Co., Inc., Michael La Marca, Charles Hoffman, Benjamin Greene, Joel Kaplan, Stephen Negri, Philip Waldman, Edward Vanasco Release No. 8-5548 See Also: Opinion File Number: 8-5548
Dec. 2, 1965	Owen K. Taylor, Inc. (801-3675) Sidney Gross, Hearing Examiner Release No. 3-35 See Also: Finality Order File Number: 3-35
Nov. 30, 1965	George A. Brown, dba Brown & Company Release No. 8-7953 See Also: Opinion File Number: 8-7953
Nov. 19, 1965	J. Brad David, Ltd. (8-10598) James G. Ewell, Hearing Examiner Release No. 8-10598 See Also: Opinion File Number: 8-10598
Nov. 15, 1965	J.E. Marken & Co., Inc. (8-10657), John E. Marken, Morris Cipris, Jack Perlow, Nat Horowitz Irving Schiller, Hearing Examiner Release No. 8-10657 See Also: Finality Order File Number: 8-10657
Nov. 15, 1965	Kamen & Company, Abraham Kamen, Release No. 8-4175 See Also: Opinion File Number: 8-4175
Oct. 20, 1965	Reed, Whitney & Stonehill, Inc., Leonard Lazaroff, Milton Steinberg, Seymour Tankleff, Russell Siebach Release No. 3-14 See Also: Finality Order File Number: 8-9837
Oct. 15, 1965	Harris Clare & Co., Inc. (8-10474), Harris Clare & Co. (8-11753), Towne Harris & Co., Inc. (8-10377), Bruce Shapiro (8-10474), Martin Clare, Melvin Winslow (8-11753), Robert Summers, Harris Freedman (8-10377) Irving Schiller, Hearing Examiner Release No. 8-10474 See Also: Opinion , Finality Order File Number: 8-10474
Oct. 6, 1965	Copley and Company (8-5248), Ralph E. Cook, Charles A. Schoenecke, J. Blaine Corry, Theodore B. Gazarian, Leonard J. Tillotson William W. Swift, Hearing Examiner Release No. 8-5248 See Also: Finality Order File Number: 8-5248
Aug. 30, 1965	Atlantic Equities Company Release No. 8-8415 See Also: Opinion File Number: 8-8415
Aug. 5, 1965	R. Baruch & Company, et al. (Files. 8-8712, et al.) Sidney L. Feiler, Hearing Examiner Release No. 8-8712 See Also: Opinion File Number: 8-8712
July 26, 1965	Hayden Lynch & Co., Inc. Release No. 8-11990 See Also: Opinion File Number: 8-11990
July 6, 1965	Assurance Investment Company, Paul A. Miller, Harold M. Pelton Release No. 8-11787 See Also: Opinion File Number: 8-11787
June 10, 1965	Uneeda Vending Service, Inc. Release No. 24NY-5678 See Also: Opinion File Number: 24NY-5678
May 21, 1965	Allstate Petroleum, Inc., Release No. 8-10775 See Also: Opinion File Number: 8-10775
May 10, 1965	San Francisco Mining Exchange, Release No. 10-38 See Also: Opinion File Number: 10-38
May 5, 1965	F. S. Johns & Co., Inc. Release No. 8-8759 See Also: Opinion File Number: 8-8759
March 30, 1965	Sunshine Securities, Inc., Lillian Grossbard Release No. 8-8595 See Also: Opinion File Number: 8-8595
March 29, 1965	Seaboard Securities Corporation (8-9753), Leon Nash, Harold Ignatoff Irving Schiller, Hearing Examiner Release No. 3-10, AAER-3731 See Also: Opinion File Number: 3-10
March 17, 1965	G. H. Musekamp & Co. Release No. 8-8635 See Also: Opinion File Number: 8-8635
March 2, 1965	Broadwall Securities, Inc., Arnold Mahler, Jack Einiger, Alexander Lapidus, Stanley Miller Release No. 3-5 See Also: Opinion File Number: 8-11096
Feb. 3, 1965	Nathan Salinger, d/b/a Salinger Investment Co. Release No. 8-10740 See Also: Opinion File Number: 8-10740
Jan. 19, 1965	Harold E. Winterhalter d/b/a Harold E. Winterhalter Company Release No. 8-6717 See Also: Opinion File Number: 8-6717
Dec. 28, 1964	Sandkuhl & Company, Inc. Release No. 8-7582 File Number: 8-7582
Nov. 30, 1964	Schmidt, Sharp, McCabe & Company, Inc. Release No. 8-8261 File Number: 8-8261
Nov. 27, 1964	A. J. Davis Company Release No. 8-9883 File Number: 8-9883
Nov. 18, 1964	Crow, Brourman & Chatkin, Inc., Release No. 8-9763 File Number: 8-9763
July 31, 1964	Albion Securities Company, Inc. Release No. 8-7831 File Number: 8-7831
July 30, 1964	M. J. Merritt & Co., Inc., Release No. 8-7416 File Number: 8-7416
July 29, 1964	Linder, Bilotti & Co., Inc., Release No. 8-9570 File Number: 8-9570
June 19, 1964	Capital Gains Institute, Inc. Release No. 801-1917 File Number: 801-1917
May 27, 1964	Financial Counsellors, Inc. Release No. 8-11276 File Number: 8-11276
May 15, 1964	R. L. Colburn Company Release No. 8-3680 File Number: 8-3680
April 22, 1964	Del Consolidated Industries, Inc. Release No. 24SF-3102 File Number: 24SF-3102
April 17, 1964	Victor R. Redstone d/b/a Vanguard Investment Company Release No. 8-7989 File Number: 8-7989
March 27, 1964	American Mutual Funds Service, Inc. (now known as) E. H. Jansen Company, Release No. 8-7031 File Number: 8-7031
Nov. 6, 1963	George Harmon Company, Inc., Release No. 24SF-2922 File Number: 24SF-2922
Oct. 11, 1963	Market Values, Inc., Release No. 8-10535 File Number: 8-10535
Sept. 19, 1963	Capital Funds, Inc., Release No. 8-10968 File Number: 8-10968
July 31, 1963	Diotron, Incorporated, Release No. 24W-2492 File Number: 24W-2492
June 17, 1963	Wright, Myers & Bessell, Inc., Release No. 8-9533 File Number: 8-9533
April 15, 1963	Measurements Spectrum, Inc., Release No. 24SF-2959 File Number: 24SF-2959
April 5, 1963	Herbert Rapp, d/b/a Webster Securities Company, Release No. 8-4722 File Number: 8-4722
March 8, 1963	J. A. Winston & Co., Inc., Release No. 8-4594 File Number: 8-4594
March 5, 1963	Norman Joseph Adams, d/b/a Adams & Company, Release No. 8-9318 File Number: 8-9318
Jan. 25, 1963	Sidney Tager, dba The Tager Company Release No. 8-6736 File Number: 8-6736
Jan. 11, 1963	Precision Microwave Corporation, Release No. 2-18720 File Number: 2-18720
Oct. 2, 1962	R. J. Hayes & Co., Inc., Release No. 8-10478 File Number: 8-10478
Aug. 6, 1962	Harwyn Securities, Inc., Release No. 8-8648 File Number: 8-8648
Feb. 12, 1962	Reilly, Hoffman & Co., Inc., Release No. 8-4932 File Number: 8-4932

Rules & Regulations

Enforcement & Litigation

Compliance

ALJ Initial Decisions

More in About

Breadcrumb

ALJ Initial Decisions