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ALJ Orders Archive 2004

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
3-11700 Dec. 29, 2004 John N. Salerno
3-11692 Dec. 23, 2004 Raymond James Financial Services, Inc., J. Stephen Putnam, and David Lee Ullom
3-11692 Dec. 23, 2004 Raymond James Financial Services, Inc., J. Stephen Putnam, and David Lee Ullom
3-11616 Dec. 22, 2004 American Electric Power Company, Inc.
3-11684 Dec. 17, 2004 Donald L. Knight
3-11583 Dec. 15, 2004 Joseph W. Isaac
3-11247 Dec. 15, 2004 Steven Wise and Vladen "Larry" Vindman
3-11616 Dec. 14, 2004 American Electric Power Company, Inc.
3-11682 Dec. 13, 2004 Michael Carnicle
3-11616 Dec. 13, 2004 American Electric Power Company, Inc.
3-11626 Dec. 13, 2004 John A. Carley, Mark N. Dohlen, Eugene C. Geiger, Paul A. Giles, Roy E. Gould, Thomas A Kaufmann, Alfred Peeper, Edward H. Price, Christopher H. Zacharias, Le Fond Mondial D'Investissement S.A., and Spencer Edwards, Inc.
3-11632 Dec. 10, 2004 David Abish, Christopher Betts, Mark Charvat, James Corcoran, Paul Feeny, Robert Pratt, Mario Rodriguez, Scott Siegel, Andrew Tursi and David Weeks
3-11616 Dec. 10, 2004 American Electric Power Company, Inc.
3-11596 Dec. 9, 2004 Graham Andrews
3-11692 Dec. 7, 2004 Raymond James Financial Services, Inc., J. Stephen Putnam, and David Lee Ullom
3-11625 Dec. 3, 2004 Vladislav Steven Zubkis
3-11724 Dec. 2, 2004 Neurotech Development Corporation
3-11692 Nov. 30, 2004 Raymond James Financial Services, Inc., J. Stephen Putnam, and David Lee Ullom
3-11692 Nov. 29, 2004 Raymond James Financial Services, Inc., J. Stephen Putnam, and David Lee Ullom
3-11628 Nov. 26, 2004 Steven Bocchino and Sharon Harosh
3-11708 Nov. 19, 2004 Barry J. Goodman
3-11012 Nov. 17, 2004 James F. Glaza, d/b/a Falcon Financial Services, Inc.
3-11666 Nov. 12, 2004 Robert Cord Beatty
3-11664 Nov. 9, 2004 Adam G. Kruger
3-11690 Nov. 5, 2004 Agra-Tech, Incorporated, Consolidated Oil & Gas, Inc., Kilimanjaro Group.com, Inc., New Hampshire Industrials, Inc., Oyster Creek Group, Inc., Savannah River Group, Inc., 2KSounds Corporation, Xunantunich, Inc.
3-11628 Nov. 4, 2004 Steven Bocchino and Sharon Harosh
3-11573 Nov. 3, 2004 Harold F. Harris and Ronald E. Crews
3-11626 Oct. 26, 2004 John A. Carley, Mark N. Dohlen, Eugene C. Geiger, Paul A. Giles, Roy E. Gould, Thomas A Kaufmann, Alfred Peeper, Edward H. Price, Christopher H. Zacharias, Le Fond Mondial D'Investissement S.A., and Spencer Edwards, Inc.
3-11594 Oct. 22, 2004 Platinum Investment Corporation, Andrew Antonucci and Mathew Beaulieu
3-11616 Oct. 22, 2004 American Electric Power Company, Inc.
3-11679 Oct. 18, 2004 The Village Green Bookstore, Inc.
3-11626 Oct. 14, 2004 John A. Carley, Mark N. Dohlen, Eugene C. Geiger, Paul A. Giles, Roy E. Gould, Thomas A Kaufmann, Alfred Peeper, Edward H. Price, Christopher H. Zacharias, Le Fond Mondial D'Investissement S.A., and Spencer Edwards, Inc.
3-11634 Oct. 13, 2004 Harold B. Gallison, Jr., Terrence J. Hughes and David Rosenthal
3-11629 Oct. 13, 2004 Piranha, Inc.
3-11012 Oct. 8, 2004 James F. Glaza, d/b/a Falcon Financial Services, Inc.
3-11650 Oct. 6, 2004 Kenneth A. Orr
Third Quarter
3-11626 Sep. 23, 2004 John A. Carley, Mark N. Dohlen, Eugene C. Geiger, Paul A. Giles, Roy E. Gould, Thomas A Kaufmann, Alfred Peeper, Edward H. Price, Christopher H. Zacharias, Le Fond Mondial D'Investissement S.A., and Spencer Edwards, Inc.
3-11560 Sep. 22, 2004 EVTC, Inc.
3-11616 Sep. 17, 2004 American Electric Power Company, Inc.
3-11537 Sep. 14, 2004 Richard S. Kern, Donald R. Kern, and Charles Wilkins
3-11584 Sep. 13, 2004 Stan Lee Media, Inc.
3-11330 Aug. 31, 2004 Rita J. McConville, and Kevin M. Harris, C.P.A.
3-11567 Aug. 30, 2004 Dominique S. Alvieri
3-11553 Aug. 26, 2004 Alnoor Jiwan
3-11543 Aug. 24, 2004 Dale Carone
3-10624 Aug. 20, 2004 Hunter Adams, Gregg Adams, Alan Berkun, Robert Lisnoff, James L. Bila, Leonard Bila, Christian Blake, Brian Carroll, Joseph Digirolamo, and Joseph Mannino
3-11537 Aug. 9, 2004 Richard S. Kern, Donald R. Kern, and Charles Wilkins
3-11179 Aug. 9, 2004 IFG Network Securities, Inc., Willlam Kissinger, Kissinger Advisory, Inc., Bert Miller, Glenn Wilkinson, and David Ledbetter
3-11537 Aug. 5, 2004 Richard S. Kern, Donald R. Kern, and Charles Wilkins
3-11471 Aug. 4, 2004 Keith M. Roberts
3-11346 Jul. 27, 2004 Steven E. Muth, Richard J. Rouse, and Bruce J. Bates
3-11465 Jul. 23, 2004 Public Finance Consultants, Inc., Robert D. Fowler, Dolphin and Bradbury Incorporated, and Robert J. Bradbury
3-11468 Jul. 20, 2004 Cary R. Kahn
3-11465 Jul. 19, 2004 Public Finance Consultants, Inc., Robert D. Fowler, Dolphin and Bradbury Incorporated, and Robert J. Bradbury
3-11501 Jul. 15, 2004 Ocumed Group, Inc.
3-11471 Jul. 14, 2004 Keith M. Roberts
3-11491 Jul. 9, 2004 Larry A. Stockett
3-11501 Jul. 7, 2004 Ocumed Group, Inc.
3-11462 Jul. 7, 2004 Ira Weiss and L. Andrew Shupe II
3-11503 Jul. 6, 2004 Currency Trading International, Inc., Craig A. Cunningham, James R. Kelsall, and Christian J. Weber
3-11487 Jun. 17, 2004 Steven Ingrassia and Slava Volman
3-11463 Jun. 9, 2004 CDH & Affiliates, Inc. and C. David Hallman
3-11465 Jun. 8, 2004 Public Finance Consultants, Inc., Robert D. Fowler, Dolphin and Bradbury Incorporated, and Robert J. Bradbury
3-11420 Jun. 7, 2004 Rhino Ecosystems, Inc
3-11487 Jun. 4, 2004 Steven Ingrassia and Slava Volman
3-11443 Jun. 3, 2004 Uncommon Media Group, Inc.
Second Quarter
3-11437 May 28, 2004 Hunter Adams, Jason A. Cohen, Steven M. Cohen, David Hirsch, Jonathan D. Winston, John J. Gremmo, III, James L. Bila, Christian W. Blake, Louis R. Facchini, Jr., Roberto A. Mangiarano, Joseph P. Mannino, David M. Margules, James J. Pellizzi, David M. Pesso, Michael Pugliese, Christopher J. Russo, Howard I. Weinstein, and Robert J. Winston
3-11465 May 27, 2004 Public Finance Consultants, Inc., Robert D. Fowler, Dolphin and Bradbury Incorporated, and Robert J. Bradbury
3-11459 May 27, 2004 Michael Boston
3-11460 May 24, 2004 Frank D. Gruttadauria
3-11403 May 19, 2004 John F. Turant, Jr.
3-11442 May 18, 2004 Robert Cournoyer
3-11367 May 12, 2004 Edward Becker
3-11361 May 10, 2004

Paul Wayne Mason (a/k/a Louis Ronnie Sarpy), Kristin Luck Emery, and Laurence Mark Anderson (a/k/a Ron Laurence)

3-11346 May 3, 2004 Steven E. Muth, Richard J. Rouse, and Bruce J. Bates
3-11442 Apr. 29, 2004 Robert Cournoyer
3-11433 Apr. 19, 2004 Joseph Petrolino and Eric Siversen
3-11432 Apr. 16, 2004 Michael Garian aka Melkon Gharakhanian aka Bika Balian
3-11084 Apr. 14, 2004 Harrison Securities, Inc., Frederick C. Blumer, and Nebrissa Song
3-11367 Apr. 8, 2004 Edward Becker
3-11420 Apr. 7, 2004 Rhino Ecosystems, Inc.
3-11317 Apr. 7, 2004 Putnman Investment Management, LLC
3-11361 Apr. 4, 2004

Paul Wayne Mason (a/k/a Louis Ronnie Sarpy), Kristin Luck Emery, and Laurence Mark Anderson (a/k/a Ron Laurence)

First Quarter
3-11420 Mar. 31, 2004 Rhino Ecosystems, Inc.
3-11317 Mar. 31, 2004 Putnman Investment Management, LLC
3-11385 Mar. 30, 2004 Mark Deyak
3-11361 Mar. 30, 2004

Paul Wayne Mason (a/k/a Louis Ronnie Sarpy), Kristin Luck Emery, and Laurence Mark Anderson (a/k/a Ron Laurence)

3-11317 Mar. 26, 2004 Putnman Investment Management, LLC
3-11084 Mar. 25, 2004 Harrison Securities, Inc., Frederick C. Blumer, and Nebrissa Song
3-11317 Mar. 23, 2004 Putnman Investment Management, LLC
3-11317 Mar. 18, 2004 Putnman Investment Management, LLC
3-11346 Mar. 18, 2004 Steven E. Muth, Richard J. Rouse, and Bruce J. Bates
3-11330 Mar. 17, 2004 Rita J. McConville, and Kevin M. Harris, C.P.A.
3-11330 Mar. 8, 2004 Rita J. McConville, and Kevin M. Harris, C.P.A.
3-11390 Mar. 4, 2004 Paul A. Flynn
3-11367 Mar. 4, 2004 Edward Becker
3-11343 Mar. 4, 2004 Bruce Follick, Salvatore Tavolacci, Donald Brooks, Karl Donovan, Aaron Sandstrom, and Derek Shapiro
3-11310 Mar. 3, 2004 Lorsin, Inc., Loretta M. Lockhart, Craig K. Hjalmarson, Russell Management, Inc., George R. Siembida, Harold Engel, Jr., Microcap Marketing, Inc., and Shane M. Nelson
3-11317 Mar. 3, 2004 Putnman Investment Management, LLC
3-11361 Feb. 27, 2004 Paul W. Mason (a/k/a Louis R. Sarpy), Kristin L. Emery, and Laurence M. Anderson (a/k/a Ron Laurence)
3-11355 Feb. 26, 2004 Luis F. Lorie
3-11084 Feb. 24, 2004 Harrison Securities, Inc., Frederick C. Blumer, and Nebrissa Song
3-11347 Feb. 18, 2004 Valentin Fernandez, Juan Fernandez, Daniel J. Phillips, Matthew D. Stone and Haskell P. Stone
3-11319 Feb. 17, 2004 Paul A. Barrios III and Dennis P. O'Connell, Jr.
3-11377 Feb. 17, 2004 Grant Thornton LLP, Doeren Mayhew & Co. P.C., Peter M . Behrens, CPA, Marvin J. Morris, CPA, and Benedict P. Rybicki, CPA
3-11366 Feb. 13, 2004 Gregg Becker
3-11365 Feb. 3, 2004 Paul Joseph Sheehan dba Paul J. Sheehan & Associates
3-11347 Feb. 2, 2004 Valentin Fernandez, Juan Fernandez, Daniel J. Phillips, Matthew D. Stone and Haskell P. Stone
3-11367 Jan. 28, 2004 Edward Becker
3-11366 Jan. 28, 2004 Gregg Becker
3-11259 Jan. 28, 2004 Michael Batterman and Randall B. Batterman III
3-11346 Jan. 21, 2004 Steven E. Muth, Richard J. Rouse, and Bruce J. Bates
3-11317 Jan. 16, 2004 Putnman Investment Management, LLC
3-11259 Jan. 12, 2004 Michael Batterman and Randall B. Batterman III
3-11084 Jan. 9, 2004 Harrison Securities, Inc., Frederick C. Blumer, and Nebrissa Song
3-11234 Jan. 7, 2004 Michael B. Rawdin, Hard Asset Management, Inc., and David Cohen
3-11084 Jan. 6, 2004 Harrison Securities, Inc., Frederick C. Blumer, and Nebrissa Song

http://www.sec.gov/alj/aljorders/aljordersarchive/aljarc2004.shtml


Modified: 10/16/2014