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ALJ Decisions & Orders:
Administrative Law Judges
Archives 1976

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
3-4743 Nov. 11, 1976 Robert N. Campbell
Irving Sommer,
Administrative Law Judge
3-5098 Nov. 5, 1976 Daycon Investors Associates, Inc., Joseph P. D'Angelo
Jerome K. Soffer,
Administrative Law Judge
3-5074 Oct. 28, 1976 Nassar and Company, Inc. (8-20862)
Irving Schiller,
Administrative Law Judge
Third Quarter
3-4733 Sep. 8, 1976 Amswiss International Corp. (8-14349), Glenn Woo
Jerome K. Soffer,
Administrative Law Judge
3-4694 Sep. 3, 1976 Executive Securities Corp. (8-13526), Richard O. Bertoli, Arnold L. Freilich
Ralph Hunter Tracy,
Administrative Law Judge
3-4980 Aug. 30, 1976 Carob Securities, Inc. and Robert A. Schilleman (8-20294)
Edward B. Wagner,
Administrative Law Judge
3-4724 Aug. 19, 1976 Jay Rutledge
(Stephenson, Leydecker & Co.)
David J. Markun,
Administrative Law Judge
3-4890 Aug. 12, 1976 Research Automation Corporation
(24NY-7584)
Irving Sommer,
Administrative Law Judge
3-4669 Jul. 19, 1976 Investors Research Corporation, Mullaney, Wells and Company, James E. Stowers, Richard H. Driehaus
Ralph Hunter Tracy,
Administrative Law Judge
3-4837 Jul. 9, 1976 Berkley Land and Investment Corporation (24W-3169)
David J. Markun,
Administrative Law Judge
Second Quarter
3-4706 Jun. 25, 1976 Lamb Brothers, Inc. (8-17965), Clyde C. Lamb, Jr.
Warren E. Blair,
Chief Administrative Law Judge
3-4506 May 28, 1976 Mitchum, Jones & Templeton, Inc.
(Laidlaw & Co., Inc.)
Max O. Regensteiner,
Administrative Law Judge
3-4647 May 20, 1976 First California Co., et al.
Jerome K. Soffer,
Administrative Law Judge
3-4646 May 6, 1976 Application for Unlisted Trading Privileges in Common Stock of Ludlow Corporation by the Boston Stock Exchange, File No. 7-4596
Edward B. Wagner,
Administrative Law Judge
3-4547 Apr. 12, 1976 Edward J. Mawod & Company (8-14068), Edward Joseph Mawod,
John William Airsman
Ralph Hunter Tracy,
Administrative Law Judge
First Quarter
3-4516 Feb. 23, 1976 A.J. Carno Co., Inc. (8-8936), Anthony Nadino
Ralph Hunter Tracy,
Administrative Law Judge
3-3748, 3-4755 thru 3-4768 Jan. 29, 1976 Mineral Exploration Company
File Nos. 20-1924A5 thru 20-1924A16 (12 offering sheets)
Ralph Hunter Tracy,
Administrative Law Judge
3-4536 Jan. 15, 1976 Richard John Mishlen, Morris Cohen d/b/a Marshall Company et al. (8-6420)
Ralph Hunter Tracy,
Administrative Law Judge

http://www.sec.gov/alj/aljdec/aljdecarchive/aljdecarc1976.shtml


Modified: 10/16/2014