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ALJ Decisions & Orders:
Administrative Law Judges
Archives 1969

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

Fourth Quarter | Third Quarter | Second Quarter | First Quarter

Additional Archives

AP No. Date Respondents
Fourth Quarter
3-1596 and
3-1597
Dec. 31, 1969 John Hardy, Richard Clark Anderson; Folger, Nolan, Fleming & Co., Inc., (8-3335) and Edward Sinclair; Filor, Bullard & Smyth (8-87)
Sidney L. Feiler,
Hearing Examiner
(Note: Opinion)
3-2113 Dec. 19, 1969 Paul M. Kaufman
Warren E. Blair,
Hearing Examiner
(Note: Opinion)
3-1888 Dec. 5, 1969 Darrel G. Hafen, d/b/a Western Securities Co. (801-5383)
David J. Markun,
Hearing Examiner
3-1825 Nov. 28, 1969 The National Association of Small Business Investment Companies, et al. (812-2297)
Sidney Ullman,
Hearing Examiner
(Note: Opinion)
3-1511 Nov. 14, 1969 Investors Institute Inc., George W. Beck, III (801-2858)
Irving Schiller,
Hearing Examiner
Third Quarter
3-1947 Sep. 26, 1969 Jackpot Exploration Corp. (24S-2168)
Sidney L. Feiler,
Hearing Examiner
(Note: Opinion)
3-2056 Sep. 2, 1969 Manney & Company, Inc. (8-1772), Irving Manney
Sidney Gross,
Hearing Examiner
3-1868 Aug. 5, 1969 The Susquehanna Corporation
File No. 1-5515-2A
Sidney Ullman,
Hearing Examiner
(Note: Opinion)
Second Quarter
3-1961 Jun. 2, 1969 Dunhill Securities Corporation, Patrick R. Reymaud, Edward Flinn (8-11616)
David J. Markun,
Hearing Examiner
(Note: Opinion)
3-329 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
(Note: Opinion)
3-533 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
(Note: Opinion)
First Quarter
3-250 Mar. 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
(Note: Opinion)
3-1372 Mar. 21, 1969 California Securities Corporation, Scott Douglas Kellogg, 8-12587
David J. Markun,
Hearing Examiner
3-1510 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
(Note: Opinion)
3-1758 Jan. 29, 1969 Louis P. Nichols & Company (8-14103)
Samuel Binder,
Hearing Examiner
3-1793 Jan. 22, 1969 Volante, Behar and Sperling, Guido Volante, Jacques Behar, Herman Sperling (8-14167)
Sidney L. Feiler,
Hearing Examiner

http://www.sec.gov/alj/aljdec/aljdecarchive/aljdecarc1969.shtml


Modified: 10/16/2014