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ALJ Decisions & Orders:
Administrative Law Judges
Archives 2001

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
197 Dec. 31, 2001 Kent T. Black, Joel L. Hurst, David E. Lynch, Larry E. Muller, and Robert L. McCook
Lillian A. McEwen,
Administrative Law Judge
File No. 3-9440
(Note: Finality Order;
Opinion)
196 Dec. 20, 2001 Jeffrey M. Steinberg and John Geron
Robert G. Mahony,
Administrative Law Judge
File No. 3-9608
(Note: Finality Order)
195 Nov. 26, 2001 Laurie Jones Canady
Brenda P. Murray,
Chief Administrative Law Judge
File No. 3-8531 D
(Note: Order; Opinion)
See also: Court of Appeals Decision
194 Oct. 31, 2001 Clarence Z. Wurts
Carol Fox Foelak,
Administrative Law Judge
File No. 3-9114
(Note: Opinion)
Third Quarter
193 Sept. 28, 2001 Aubrey O'Connor, Rick Pierson, James Winter, Gregory Bowen and Kenneth Ward
Lillian A. McEwen,
Administrative Law Judge
File No. 3-9327
(Note: Opinion)
See also: Court of Appeals Decision
192 Sept. 25, 2001 Jerome M. Wenger
Carol Fox Foelak,
Administrative Law Judge
File No. 3-10444
(Note: Finality Order)
191 Sept. 21, 2001 Michael J. Marrie, CPA and Brian L. Berry, CPA
James T. Kelly, Administrative Law Judge
File No. 3-9966
(Note: Opinion)
See also: Court of Appeals Decision
190 Sept. 14, 2001 Christopher A. Lowry
Brenda P. Murray, Chief Administrative Law Judge
File No. 3-10390
(Note: Opinion)
See also:  Court of Appeals Opinion
189 Sep. 5, 2001 John L. Banach, f/k/a/ J. Leo Lawson, Robert Thomas Clawson, Trent David Gribben, Tariq Samad Khan, Terry Lee Lewis, Ronald Troy Mikulka, Reagan Burton Richmond, Randle William Villa, Woodbridge & Associates, Kevin Lee Woodbridge, and 381143 Alberta Ltd.
Robert G. Mahony, Administrative Law Judge
File No. 3-9208
(Note: Opinion)
188 Aug. 14, 2001 Del Mar Financial Services, Inc., Kevin C. Dills, Private Brokers Corporation, Robert A. Roberts, Matthew R. Jennings, Philip S. Brandon, and Jai Chaudhuri
Carol Fox Foelak, Administrative Law Judge
File No. 3-9959
(Note: Modifying Order and Finality Order; Opinion)
187 Aug. 7, 2001 Joseph P. Galluzzi
James T. Kelly, Administrative Law Judge
File No. 3-10209
(Note: Opinion)
186 Jul. 27, 2001 Kevin G. Quinn
Robert G. Mahony, Administrative Law Judge
File No. 3-10098
(Note: Finality Order)
Second Quarter
185 Jun. 22, 2001 The City of Miami, Florida, Cesar Odio and Manohar Surana; Brenda P. Murray, Chief Administrative Law Judge
File No. 3-10022
(Note: Opinion)
184 May 22, 2001 Albert Glenn Yesner, CPA;
Robert G. Mahony, Administrative Law Judge
File No. 3-9586
(Note: Finality Order)
183 May 3, 2001 Barry C. Scutillo, CPA, and Mark F. Jensen, CPA;
James T. Kelly, Administrative Law Judge
File No. 3-9863
(Note: Opinion)
First Quarter
182 Mar. 23, 2001 Shirley A. McKinney, Darlan Gordon, Michael J. McEvoy, Francis A. Taylor, IV, Douglas Parks, and John S. Brownson;
Carol Fox Foelak, Administrative Law Judge
File No. 3-10295
(Note: Finality Order;
Opinion)
181 Mar. 9, 2001 The Rockies Fund, Inc., Stephen G. Calandrella, Charles M. Powell, Clifford C. Thygesen, and John C. Power;
Brenda P. Murray,
Chief Administrative Law Judge
File No. 3-9615
(Note: Order denying motion for reconsideration;
Opinion)
See also: Court of Appeals Decision
180 Jan. 29, 2001 Fundamental Portfolio Advisors, Inc., Lance M. Brofman, and Fundamental Service Corporation;
Carol Fox Foelak, Administrative Law Judge
File No. 3-9461
(Note: Opinion)
179 Jan. 22, 2001 Dean Witter Reynolds Inc., Henry L. Auwinger, and Dennis W. Peterson;
Robert G. Mahony, Administrative Law Judge
File No. 3-9686
(Note: Finality Order)

http://www.sec.gov/alj/aljdec/aljdecarchive/aljdecarc2001.shtml


Modified: 10/16/2014