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ALJ Decisions & Orders:
Administrative Law Judges
Archives 1978

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
3-5281 Nov. 29, 1978 The Vanguard Group, Inc., et al.
Max O. Regensteiner,
Administrative Law Judge
3-5208 Oct. 2, 1978 Robert Berkson, Maurice Rind, James Gallentine
Irving Sommer,
Administrative Law Judge
Third Quarter
3-5282 Sep. 11, 1978 Bullington-Schas & Co., Inc., Edward J. Blumenfeld, and A. Dulaney Tipton, Jr.
Irving Sommer,
Administrative Law Judge
3-5226 Sep. 1, 1978 Delger Corporation (8-9914), Capital Planning Securities Company, Inc. (8-16856), Thomas A. Sartain, Sr.
Ralph Hunter Tracy,
Administrative Law Judge
3-5068 Sep. 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
3-5350 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
3-5104 Aug. 14, 1978 Institutional Securities of Colorado, Inc., et al. (File No. 8-16443)
Edward B. Wagner,
Administrative Law Judge
3-4504 Aug. 4, 1978 Allen Mansfield
Warren E. Blair,
Chief Administrative Law Judge
3-5797 Jul. 24, 1978 Michael E. Tennenbaum
(Bear, Stearns & Co. 8-00293)
Ralph Hunter Tracy,
Administrative Law Judge
Second Quarter
3-5218 Jun. 1, 1978 Risers' Venture Management Co., Inc.
(24NY-8038)
Jerome K. Soffer,
Administrative Law Judge
3-5273 May 25, 1978 Emer-Go Corporation (24D-3462)
Irving Sommer,
Administrative Law Judge
3-4424 Apr. 27, 1978 Joseph A. Buongiorno, JAB Securities Co., Inc. (8-13252)
Irving Schiller,
Administrative Law Judge
3-5389 Apr. 3, 1978 New South Securities, Inc., et al.
Max O. Regensteiner,
Administrative Law Judge
First Quarter
3-5255 Mar. 6, 1978 Charles Michael West
Sidney Ullman,
Administrative Law Judge
3-5225 Jan. 30, 1978 M. Kimelman & Co. (812-4070)
Jerome K. Soffer,
Administrative Law Judge
3-5169 Jan. 16, 1978 Peter D. Giachini, John J. Murphy (812-4054)
Irving Sommer,
Administrative Law Judge

http://www.sec.gov/alj/aljdec/aljdecarchive/aljdecarc1978.shtml


Modified: 10/16/2014