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ALJ Decisions & Orders:
Administrative Law Judges
Archives 1999

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
155 Dec. 17, 1999 Wheat First Securities Inc. F/K/A First Union Capital Markets Corp.; Teressa L. Cawley;
Herbert Grossman, Administrative Law Judge
File Nos. 3-9688 and 3-9794
Note: Erratum (File name: id155a.htm);
Opinion)
154 Dec. 8, 1999 Ronnie R. Neihart;
Robert G. Mahony, Administrative Law Judge
File No. 3-9982
(Note: Finality Order)
153 Oct. 29, 1999 County of Nevada, City of Ione, Wasco Public Financing Authority, Virginia Horler, and William McKay;
Brenda P. Murray, Chief Administrative Law Judge
File No. 3-9542
(Note: Finality Order)
152 Oct. 28, 1999 George J. Kolar;
James T. Kelly, Administrative Law Judge
File No. 3-9570
(Note: Opinion)
Third Quarter
151 Sep. 30, 1999 Richardt-Alyn & Co., Richard B. Feinberg, and Alan S. Feinberg;
Carol Fox Foelak, Administrative Law Judge
File No. 3-9099(Note: Order Making Findings, Imposing Remedial Sanctions and Ordering Respondents to Cease and Desist)
150 Sep. 27, 1999 Russell W. Stein, Ford D. Albritton, Jr., and Dover and Associates, Inc.;
Lillian A. McEwen, Administrative Law Judge
File No. 3-9309
(Note: Order granting reconsideration and dismissing proceeding;
Opinion)
149 Sep. 21, 1999 Seaboard Investment Advisers, Inc. and Eugene W. Hansen;
Brenda P. Murray,
Chief Administrative Law Judge
File No. 3-9725
(Note: Opinion)
148 Sep. 21, 1999 Sandra Simpson and Daphne Pattee;
Robert G. Mahony, Administrative Law Judge
File No. 3-9458
(Note: Opinion)
147 Aug. 6, 1999 John J. Kenny and Nicholson/Kenny Capital Management, Inc.;
Stephen L. Grossman, Administrative Law Judge
File No. 3-9611
(Note: Erratum (File name: id147a.htm);
Opinion)
146 Aug. 2, 1999 Certain Broker-Dealers who failed to file all or part of Form BD-Y2K;
Brenda P. Murray,
Chief Administrative Law Judge
File No. 3-9759
(Note: Finality Order, Release No. 34-41844; Finality Order, Release No. 34-41845; Opinion: Release No. 34-44933)
145 Jul. 26, 1999 Alfred Avasso and Robert Schulman;
Robert G. Mahony, Administrative Law Judge
File No. 3-9162
(Note: Finality Order)
144 Jul. 22, 1999 Fu-Sung Peter Wu;
Lillian A. McEwen, Administrative Law Judge
File No. 3-9024
(Note: Opinion)
Second Quarter
143 Jun. 9, 1999 D.E. Wine Investments, Inc., W. Randal Miller, Kenneth B. Karpf, and Duncan E. Wine;
Brenda P. Murray,
Chief Administrative Law Judge
File No. 3-8543
(Note: Opinion)
142 May 6, 1999 Joseph F. Reese;
Carol Fox Foelak, Administrative Law Judge
File No. 3-9439
(Note: Finality Order)
141 Apr. 12, 1999 Quest Capital Strategies, Inc., and David Chen Yu;
Lillian A. McEwen, Administrative Law Judge
File No. 3-8966
(Note: Opinion)
140 Apr. 1, 1999 Terence Michael Coxon, Alan Michael Sergy, World Money Managers, and World Money Securities, Inc.;
Brenda P. Murray,
Chief Administrative Law Judge
File No. 3-9218
(Note: Opinion)
First Quarter
139 Mar. 30, 1999 Hudson Investors Fund, Inc., Hudson Advisers, Inc., Javed Anver Latef, and Larry Alan Stockett;
G. Marvin Bober, Administrative Law Judge
File No. 3-9374
(Note: Finality Order;
Opinion)
138 Mar. 24, 1999 Nicholas P. Howard;
Carol Fox Foelak, Administrative Law Judge
File No. 3-8873
(Note: Opinion)
137 Mar. 5, 1999 Sky Scientific, Inc., W.A. Dorow, Jr., Jerry L. Foster, Gilbert Marshall & Co., Inc., Michael A. Usher, Strategic Resource Management, Inc., William A. Moler, Daniel R. Lehl, Thomas Patrick Meehan, Douglas A. Glaser, Smith, Benton & Hughes, Inc., Michael Zaman, George T. Hellen, Robert Schlien, American Capital Network, Inc., Philip M. Georgeson, Melvin L. Levine, and William David Jones;
Robert G. Mahony, Administrative Law Judge
File No. 3-9201
(Note: Opinion)
136 Mar. 2, 1999 Russo Securities, Inc., Patrick Russo, and Kimberly Kent;
G. Marvin Bober, Administrative Law Judge
File No. 3-9484
(Note: Opinion)
135 Jan. 28, 1999 Abraham and Sons Capital, Inc. and Brett G. Brubaker;
Robert G. Mahony, Administrative Law Judge
File No. 3-9448
(Note: Opinion)
134 Jan. 7, 1999 Alfred M. Bauer and J.Stephen Stout;
Carol Fox Foelak, Administrative Law Judge
File No. 3-9034
(Note: Opinion)

http://www.sec.gov/alj/aljdec/aljdecarchive/aljdecarc1999.shtml


Modified: 10/16/2014