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ALJ Orders Archive 2003

The Office of Administrative Law Judges considers the following rulings noteworthy.

Fourth Quarter | Third Quarter | Second Quarter | First Quarter

Additional Archives

AP No. Date Respondents
Fourth Quarter
3-11330 Dec. 24, 2003 Rita J. McConville and Kevin M. Harris, C.P.A.
3-11084 Dec. 18, 2003 Harrison Securities, Inc., Frederick C. Blumer, and Nebrissa Song
3-11330 Dec. 17, 2003 Rita J. McConville and Kevin M. Harris, C.P.A.
3-11330 Dec. 8, 2003 Rita J. McConville and Kevin M. Harris, C.P.A.
3-11283 Dec. 4, 2003 Shane Ferras
3-11317 Dec. 3, 2003 Putnam Investment Management, LLC
3-10624 Nov. 25, 2003 Hunter Adams, et al.
3-11063 Nov. 24, 2003 Pattinson Hayton
3-11201 Nov. 18, 2003 Nevis Capital Management, LLC, David R. Wilmerding, III, and Jon C. Baker
3-11201 Nov. 18, 2003 Nevis Capital Management, LLC, David R. Wilmerding, III, and Jon C. Baker
3-11194 Nov. 14, 2003 Philip L. Pascale, CPA
3-11201 Nov. 10, 2003 Nevis Capital Management, LLC, David R. Wilmerding, III, and Jon C. Baker
3-11213 Nov. 6, 2003 Wendell D. Belden
3-11210 Nov. 5, 2003 Darius L. Lee
3-11259 Oct. 30, 2003 Michael Batterman and Randall B. Batterman, III
3-11179 Oct. 22, 2003 IFG Network Securities, Inc.
3-11179 Oct. 10, 2003 IFG Network Securities, Inc., William Kissinger, Kissinger Advisory, Inc., Bert Miller, Glenn Wilkinson, and David Ledbetter
3-11229 Oct. 9, 2003 Castle Securities Corp. and Michael T. Studer
3-11084 Oct. 7, 2003 Harrison Securities, Inc., Frederick C. Blumer, and Nebrissa Song
3-11084 Oct. 3, 2003 Harrison Securities, Inc., Frederick C. Blumer, and Nebrissa Song
3-9793 Oct. 1, 2003 Jean-Paul Bolduc, et al.
Third Quarter
3-11247 Sep. 24, 2003 Steven Wise and Larry Vindman
3-11221 Sep. 23, 2003 Cyrus Industries, Inc.
3-11225 Sep. 17, 2003 Louis W. Ratfield
3-11223 Sep. 17, 2003 John DelPrince
3-11179 Sep. 12, 2003 IFG Network Securities, Inc., William Kissinger, Kissinger Advisory, Inc., Bert Miller, Glenn Wilkinson, and David Ledbetter
3-11179 Sep. 12, 2003 IFG Network Securities, Inc., William Kissinger, Kissinger Advisory, Inc., Bert Miller, Glenn Wilkinson, and David Ledbetter
3-11182 Sep. 10, 2003 Xaibe, Inc. and Lowell Nicholas
3-11210 Sep. 8, 2003 Darius L. Lee
3-11010 Aug. 25, 2003 Kevin H. Goldstein and Jackwest Corporation
3-11181 Aug. 25, 2003 Global Telemedia International, Inc.
3-11183 Aug. 19, 2003 RGW Acquisition Corporations I through X
3-11087 Jul. 17, 2003 Liberty National Securities, Inc., Robert J. Guyer, and Sonia Howe Radencovici
Second Quarter
3-11087 Jun. 30, 2003 Liberty National Securities, Inc., Robert J. Guyer, and Sonia Howe Radencovici
3-9793 Jun. 27, 2003 Jean-Paul Bolduc, et al.
3-11012 Jun. 25, 2003 James F. Glaza, D/B/A Falcon Financial Services, Inc.
3-11104 Jun. 24, 2003 Iosif Pak, a/k/a Joseph Pak, and Roman Sakharovich, a/k/a Roman Sakh
3-11104 Jun. 16, 2003 Iosif Pak, a/k/a Joseph Pak, and Roman Sakharovich, a/k/a Roman Sakh
3-10229 May 5, 2003 Salvatore Piazza, et al.
3-11002 May 1, 2003 David Edwards, James Edwards, Kevin Lynds and Gerald J. Stock
3-10765 Apr. 29, 2003 Edgar B. Alacan and Mayer Dallal
3-11059 Apr. 22, 2003 Hexagon Consolidated Companies of America, Inc.
3-9933 Apr. 17, 2003 A.S. Goldmen & Co., Inc., Anthony J. Marchiano, Stuart E. Winkler, John T. Diasabeyagunawardena, (a.k.a. John Abbey), John P. Delcioppo, Christopher M. Delcioppo, Vincent J. Lia, Duane P. Taylor, and Charles Trento
3-11037 Apr. 10, 2003 William E. Kraemer
3-11044 Apr. 3, 2003 Eduardo Villar
First Quarter
3-10936 Mar. 31, 2003 Jeffrey R. Patterson and Terrance Turman
3-9933 Mar. 26, 2003 A.S. Goldmen & Co., Inc., Anthony J. Marchiano, Stuart E. Winkler, John T. Diasabeyagunawardena, (a.k.a. John Abbey), John P. Delcioppo, Christopher M. Delcioppo, Vincent J. Lia, Duane P. Taylor, and Charles Trento
3-10997 Mar. 24, 2003 Jeffrey M. Goldberg
3-10765 Mar. 21, 2003 J.W. Barclay & Co., Inc., John A. Bruno, Michael J. Wills, Edgar B. Alacan, Emmanuel P. Cube Mayer Dallal, Danoo Noor, Sr., Emanuele A. Scarso, and Michael B. Scott
3-10933 Mar. 20, 2003 Ernst & Young LLP
3-10765 Mar. 19, 2003 J.W. Barclay & Co., Inc., John A. Bruno, Michael J. Wills, Edgar B. Alacan, Emmanuel P. Cube Mayer Dallal, Danoo Noor, Sr., Emanuele A. Scarso, and Michael B. Scott
3-10945 Mar. 18, 2003 Sharad Kapoor
3-10936 Mar. 13, 2003 Jeffrey R. Patterson and Terrance Turman
3-10933 Mar. 11, 2003 Ernst & Young LLP
3-9793 Mar. 10, 2003 Jean-Paul Bolduc, et al.
3-9793 Mar. 4, 2003 Jean-Paul Bolduc, et al.
3-11016 Feb. 25, 2003 Igor Fleyshmakher a.k.a. Isaac Flash a.k.a. Isaac Marks
3-11017 Feb. 25, 2003 Eric Peremen
3-10936 Feb. 21, 2003 Jeffrey R. Patterson and Terrance Turman
3-10933 Feb. 20, 2003 Ernst & Young LLP
3-10936 Feb. 19, 2003 Jeffrey R. Patterson and Terrance Turman
3-10884 Feb. 19, 2003 Leslie A. Arouh
3-10765 Feb. 14, 2003 J.W. Barclay & Co., Inc., et al.
3-10765 Feb. 13, 2003 J.W. Barclay & Co., Inc., John A. Bruno, Michael J. Wills, Edgar B. Alacan, Emmanuel P. Cube Mayer Dallal, Danoo Noor, Sr., Emanuele A. Scarso, and Michael B. Scott
3-10765 Feb. 12, 2003 J.W. Barclay & Co., Inc., John A. Bruno, Michael J. Wills, Edgar B. Alacan, Emmanuel P. Cube Mayer Dallal, Danoo Noor, Sr., Emanuele A. Scarso, and Michael B. Scott
3-10871 Jan. 31, 2003 Ives Health Company, Inc.
3-10946 Jan. 31, 2003 Arjun Sekhri
3-10931 Jan. 28, 2003 Dennis S. Herula
3-9148 Jan. 22, 2003 Jeffrey Trenk
3-10765 Jan. 16, 2003 J.W. Barclay & Co., Inc., John A. Bruno, Michael J. Wills, Edgar B. Alacan, Emmanuel P. Cube Mayer Dallal, Danoo Noor, Sr., Emanuele A. Scarso, and Michael B. Scott
3-10895 Jan. 14, 2003 Oxford Capital Management, Inc. and John G. Danz, Jr.
3-10929 Jan. 13, 2003 Robert C. Sears
3-10996 Jan. 10, 2003 Gordon J. Rollert
3-10927 Jan. 9, 2003 Salman Shariff
3-10007 Jan. 9, 2003 Clarke T. Blizzard and Rudolph Abel
3-10007 Jan. 6, 2003 Clarke T. Blizzard and Rudolph Abel
3-10875 Jan. 3, 2003 Monica Lynn Coleman

http://www.sec.gov/alj/aljorders/aljordersarchive/aljarc2003.shtml


Modified: 10/16/2014