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ALJ Decisions & Orders:
Administrative Law Judges
Archives 1997

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

Release No. Date Respondents
Fourth Quarter
118 Oct. 10, 1997 Robert Sayegh, Thomas Core, and John J. Cranley, Jr.;
Brenda P. Murray,
Chief Administrative Law Judge
File No. 3-9019
(Note: Finality Order;
Opinion)
Third Quarter
117 Sep. 25, 1997 Matt Matson;
Lillian A. McEwen, Administrative Law Judge
File No. 3-9279
(Note: Finality Order)
116 Sep. 9, 1997 Ira William Scott;
Brenda P. Murray,
Chief Administrative Law Judge
File No. 3-9105
(Note: Opinion: Release No. IA-1752)
115 Aug. 18, 1997 Warren G. Trepp;
Carol Fox Foelak, Administrative Law Judge
File No. 3-8833
(Note: Order Dismissing Proceedings)
114 Aug. 18, 1997 Douglas W. Osborne;
Brenda P. Murray,
Chief Administrative Law Judge
File No. 3-9008
(Note: Finality Order)
113 Aug. 6, 1997 Frederick C. Gartz;
Brenda P. Murray,
Chief Administrative Law Judge
File No. 3-9060
(Note: Finality Order)
112 Aug. 5, 1997 Marc N. Geman;
G. Marvin Bober, Administrative Law Judge
File No. 3-9032
(Note: Opinion)
111 Jul. 2, 1997 Valicenti Advisory Services, Inc. and Vincent R. Valicenti;
Carol Fox Foelak, Administrative Law Judge
File No. 3-8854
(Note: Opinion)
Second Quarter
110 Apr. 10, 1997 Kenneth J. Schulte;
Brenda P. Murray,
Chief Administrative Law Judge
File No. 3-9051
(Note: Finality Order)
First Quarter
109 Mar. 25, 1997 James Thornton and Payne Thornton, Inc., d/b/a Retirement Investment Group;
Brenda P. Murray, Chief Administrative Law Judge
File No.3-9046
(Note: Opinion)
See also:  Court of Appeals Opinion
108 Mar. 19, 1997 David L. Arnold, W. David East, and Jerry Payne;
Lillian A. McEwen, Administrative Law Judge
File No. 3-8955
(Note: Opinion)
107 Mar. 7, 1997 Terry T. Steen and Rodger E. Thornton;
Carol Fox Foelak, Administrative Law Judge
File No. 3-8749
(Note: Opinion; Initial Decision)
106 Feb. 25, 1997 M. Rimson & Co., Inc., Moshe Rimson, Jonathan Mende & Associates, Inc., Jonathan Aurielio Mende, Todd Levaughn Hickman, Christian Jean-Marie Girodet, Mitchell Aguirre, Claudio Peter Iodice, III, Alex David Shindman, Yevgeny G. Shkilko, David Feyjin and Roger Dantoni, III;
Lillian A. McEwen, Administrative Law Judge
File No. 3-8772
(Note: Finality Order)
105 Feb. 7, 1997 James J. Pasztor;
Carol Fox Foelak, Administrative Law Judge
File No. 3-8511
(Note: Opinion)

http://www.sec.gov/alj/aljdec/aljdecarchive/aljdecarc1997.shtml


Modified: 10/16/2014