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ALJ Decisions & Orders:
Administrative Law Judges
Archives 1983

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
3-6222 Dec. 28, 1983 Charles Schwab & Co., Inc.
David J. Markun,
Administrative Law Judge
3-6183 Dec. 19, 1983 Raymond L. Dirks, John D. Sullivan
Irving Schiller,
Administrative Law Judge
3-6238 Dec. 12, 1983 David R. Williams
(International Securities, Inc.)
Ralph Hunter Tracy,
Administrative Law Judge
3-6268 Dec. 9, 1983 Steven R. Grayson
Warren E. Blair,
Chief Administrative Law Judge
Third Quarter
3-6165 Sep. 6, 1983 Robert Blakeney Stevenson
(Spaulding Securities Corporation)
Jerome K. Soffer,
Administrative Law Judge
3-6142 Aug. 29, 1983 Pagel, Inc. (File No. 8-16764), Jack W. Pagel, Duane A. Markus
Ralph Hunter Tracy,
Administrative Law Judge
3-6219 Jul. 25, 1983 Financial Planning Center of Greater Washington, Inc. (801-15007), Walter H.T. Seager
Warren E. Blair,
Chief Administrative Law Judge
3-6149 Jul. 7, 1983 A. L. Williamson & Co., Grover MacConnell
Max O. Regensteiner,
Administrative Law Judge
Second Quarter
3-6180 May 25, 1983 Keith E. Wentz, Ronald P. Bynum
Max O. Regensteiner,
Administrative Law Judge
3-6148 Apr. 29, 1983 Joseph Eugene Polk, Individually and doing business as Equity Investments, Ltd. (801-11790)
Jerome K. Soffer,
Administrative Law Judge
3-6150 Apr. 11, 1983 Harbine Financial Service (801-11538), Jesse Rosenblum
Warren E. Blair,
Chief Administrative Law Judge
First Quarter
3-6091 Mar. 23, 1983 Thomas J. Furnari
Jerome K. Soffer,
Administrative Law Judge
3-6076 Mar. 21, 1983 Larry D. Blavin, Individually and d/b/a Providence Investment Advisory
Ralph Hunter Tracy,
Administrative Law Judge
3-6119 Feb. 7, 1983 Wall Street West, Inc. (8-22329), General Bond & Share Co. (8-7303), Theodore V. Abbruzzese, John L. Brown, Walter G. Asmus, Kenneth W. Sandberg, Sam C. Pandolfo
Ralph Hunter Tracy,
Administrative Law Judge

http://www.sec.gov/alj/aljdec/aljdecarchive/aljdecarc1983.shtml


Modified: 10/16/2014