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ALJ Decisions & Orders:
Administrative Law Judges
Archives 1973

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
3-3253 Dec. 12, 1973 Koss Securities Corporation, Theodore Koss
David J. Markun,
Administrative Law Judge
3-3981 Dec. 3, 1973 Doorley & Company, Inc., William F. Doorley
File No. 8-13068
Sidney Ullman,
Administrative Law Judge
3-4256 Nov. 8, 1973 Comtech Venture Fund, Inc.
24W-3104
Sidney Ullman,
Administrative Law Judge
3-3276 Nov. 1, 1973 Midwestern Securities Corporation (8-13821), Lloyd D. Sahley, Louis Goldblatt
Sidney Ullman,
Administrative Law Judge
3-3015 Oct. 24, 1973 United Securities Company of America (8-15516), Melvin Y. Zucker,
Charles I. Black
Sidney Ullman,
Administrative Law Judge
3-4305 Oct. 18, 1973 Cooperative Oil Investments, Inc.
File No. 20-1806A4
Ralph Hunter Tracy,
Administrative Law Judge
3-4124 Oct. 10, 1973 The Registration Statement of I.M.H. - One
File No. 2-45093
Edward B. Wagner,
Administrative Law Judge
3-3870 Oct. 1, 1973 Goffe-Carkener-Blackford Securities Corp. (8-9562), A. Vincent Blackford
Warren E. Blair,
Chief Administrative Law Judge
Third Quarter
3-3668 Sep. 7, 1973 Cotzin, Woolf & Co., Alexander H. Woolf, File Nos. 8-16029, 8-12452
Edward B. Wagner,
Administrative Law Judge
3-3261 Aug. 31, 1973 Frank J. Crimmins
David J. Markun,
Administrative Law Judge
3-2621 Aug. 6, 1973 Gilbert F. Tuffli, Jr., Stanley Radler, Stephen A. Cahen, Stanley J. Stewart,
Charles S. Goldy, Eugene F. Lemoine, Calvin Yudin, Sidney Gelber, Robert Forman, George Wasson
Sidney Ullman,
Administrative Law Judge
3-1476 Jul. 18, 1973 American Electric Power Company, Inc. (70-4596)
Irving Schiller,
Administrative Law Judge
3-4117 Jul. 18, 1973 Spence & Green Chemical Company (24FW-1555)
Ralph Hunter Tracy,
Administrative Law Judge
3-2409 Jul. 16, 1973 Fred L.G. Kuehm
(McDonnell & Co., Inc.) 8-7300
Sidney L. Feiler,
Administrative Law Judge
3-4032 Jul. 16, 1973 Property Underwriters, Inc., Calvin A. Merriman
File No. 8-16242
Edward B. Wagner,
Administrative Law Judge
Second Quarter
3-3115 Jun. 29, 1973 Robert F. Lynch
David J. Markun,
Administrative Law Judge
3-3277 May 17, 1973 Naftalin & Co., Inc., Neil T. Naftalin
Warren E. Blair,
Chief Administrative Law Judge
3-4070 May 8, 1973 Wall Street Corporation of America, Inc., Marie A. Peterson, Thomas V. McCaul, Jr. (8-10718)
Edward B. Wagner,
Administrative Law Judge
3-2451 Apr. 30, 1973 Paul L. Rice
David J. Markun,
Administrative Law Judge
3-3680 Apr. 24, 1973 Samuel H. Sloan d/b/a Samuel H. Sloan & Co. (8-15750)
Ralph Hunter Tracy,
Administrative Law Judge
3-3815 Apr. 17, 1973 David B. McEwan (8-13633)
Edward B. Wagner,
Administrative Law Judge
3-3272 Apr. 6, 1973 Collins Securities Corporation, Timothy Collins, Vern Kornelsen, Garry Smith
Sidney Ullman,
Administrative Law Judge
3-2971 Apr. 3, 1973 Sierega & Company, Inc. (8-13052), Sierega Management & Research Company, Inc. (801-4169), Donald L. Sierega
Ralph Hunter Tracy,
Administrative Law Judge
3-3083 Apr. 2, 1973 Pelissier Associates, Inc. (8-14557), Gerald Pelissier
Warren E. Blair,
Chief Administrative Law Judge
First Quarter
3-1789 Mar. 8, 1973 Wellington Hunter d/b/a Wellington Hunter Associates (File No. 8-1271), Dunhill Securities Corp. (File No. 8-11616), Patrick Reynaud, Griffith C. Lindquist d/b/a Lindquist Securities Co. (File No. 8-4126), Alfred Blumberg
Sidney L. Feiler,
Administrative Law Judge
3-2869 Feb. 16, 1973 Newport Securities Corp. (8-14255), A. Gurdon Wolfson, Martin Susson, Roy O. Dawson
Ralph Hunter Tracy,
Administrative Law Judge
3-3167 Feb. 1, 1973 John R. Brick & Company (801-5796), John R. Brick, Joseph C. Maurer, William J. Caho, Clarence J. Liataud
Warren E. Blair,
Chief Administrative Law Judge
3-3156 Jan. 18, 1973 Henry Gellis, Frederick Munzer, Harold Shapiro
David J. Markun,
Administrative Law Judge
3-3620 Jan. 3, 1973 Dinky's Inc. (24SF-3852)
Warren E. Blair,
Chief Administrative Law Judge

http://www.sec.gov/alj/aljdec/aljdecarchive/aljdecarc1973.shtml


Modified: 10/16/2014