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ALJ Decisions & Orders:
Administrative Law Judges
Archives 1970

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

AP No. Date Respondents
Fourth Quarter
3-2197 Nov. 23, 1970 Richard W. Lord, Gerald P. Tomas (8-12588)
Irving Schiller,
Hearing Examiner
3-2511 Nov. 16, 1970 Security Savings and Loan (A Stock Corporation) (81-100)
Sidney L. Feiler,
Hearing Examiner
(Note: Opinion)
3-2225 Oct. 9, 1970 Daniel J. Breslin d/b/a Daniel Breslin & Associates (File No. 8-12648), Thomas A. Connaughton, Robert Williams
Sidney L. Feiler,
Hearing Examiner
(Note: Opinion)
3-2182 Oct. 9, 1970 Birkenmayer & Company, Inc. (File No. 8-4645), Wilson C. Birkenmayer, Arnold L. Greenberg, Katzenberg, Sour & Company (File No. 8-214), George B. Sour, Lee J. Spiegelberg, Leonard C. Kline, Francis I. du Pupont & Company (File No. 8-510), Jerry P. Oakley, John F. Coughenour,
Herbert L. Wittow d/b/a Wittow & Company (File No. 8-5933)
David J. Markun,
Hearing Examiner
(Note: Opinion)
Third Quarter
3-1916 Sep. 16, 1970 Bohn-Williams Securities Corporation (now known as Don Williams Securities Corporation), File No. 8-13843), Ray G. Bohn, Donald J. Williams
Sidney L. Feiler,
Hearing Examiner
(Note: Opinion)
3-2175 Aug. 26, 1970 Ivy Fund, Inc. and Studley, Shupert & Co., Inc. of Boston (812-2469)
Sidney Gross,
Hearing Examiner
(Note: Opinion)
3-2259 Jul. 31, 1970 Lewis Securities Company, Inc. (24B-1665)
Sidney L. Feiler,
Hearing Examiner
(Note: Finality Order)
3-1982 Jul. 15, 1970 Monte Cristo Corporation (24D-2811)
Sidney L. Feiler,
Hearing Examiner
(Note: Finality Order)
Second Quarter
3-1680 Jun. 26, 1970 Investors Management Co., Inc., Anchor Corporation, Madison Fund, Inc., J.M. Hartwell & Co., J.M. Hartwell & Co., Inc., Hartwell Associates, Park Westlake Associates, Van Strum & Towne, Inc., Fleschner Becker Associates, A.W. Jones & Co., A.W. Jones Associates, Fairfield Partners, Burden Investors Services, Inc., William A.M. burden & Co., The Dreyfus Corporation
Warren E. Blair,
Hearing Examiner
(Note: Opinion)
3-2169 Jun. 24, 1970 Robert F. Krisch (8-12845)
David J. Markun,
Hearing Examiner
3-2039 Jun. 12, 1970 Thomas D. Ledwith
Sidney L. Feiler,
Hearing Examiner
3-2079 Jun. 11, 1970 Augion-Unipolar Corporation (2-32923)
Warren E. Blair,
Hearing Examiner
(Note: Opinion)
3-1660 Jun. 2, 1970 Jess H. Nealy
(Pickard & Company, Incorporated, et al.)
(8-10500; 801-3605)
Sidney Ullman,
Hearing Examiner
3-1543 Jun. 1, 1970 Samuel B. Franklin & Company, Inc., Samuel B. Franklin, Richard J. Franklin, Jack J. Apple, Bruce D. Livington, Delmar Gladstone (8-11825)
Samuel Binder,
Hearing Examiner
3-2268 May 7, 1970 Oceanographic Ventures, Inc. (24A-1943)
Warren E. Blair,
Hearing Examiner
(Note: Finality Order)
3-2256 Apr. 30, 1970 Intermark Investing, Inc. (811-1041)
Warren E. Blair,
Hearing Examiner
(Note: Settlement Acceptance and Opinion)
3-1972 Apr. 17, 1970 Murray A. Kivitz
David J. Markun,
Hearing Examiner
(Note: Opinion)
3-2178 Apr. 3, 1970 Norman F. Dacey & Associates, Inc. (8-8730), Norman F. Dacey
Warren E. Blair,
Hearing Examiner
3-1987 Apr. 3, 1970 L.A. Frances, Ltd. (8-11635), A. Frank Sidoti, Lawrence Martire, Louis Benjamin Meadows dba Louis B. Meadows & Co. (8-12887)
Sidney Gross,
Hearing Examiner
(Note: Opinion)
First Quarter
3-2135-1 Mar. 18, 1970 International Aerospace Associates, Inc.
File No. 24B-1625
Sidney Ullman,
Hearing Examiner
(Note: Opinion)
3-1793 Mar. 4, 1970 Volante, Behar and Sperling, Guido Volante, Jacques Behar, Herman Sperling
(8-14167)
Sidney L. Feiler,
Hearing Examiner
3-1961,
3-2018
Mar. 2, 1970 Dunhill Securities Corporation, Patrick R. Reynaud, Edward Flinn (8-11616), and Patrick R. Reynaud De Saint Oyant, Ltd. (8-14598), Patrick Rene Reynaud De Saint Oyant (a/k/a Patrick Reynaud) (consolidated)
David J. Markun,
Hearing Examiner
(Note: Opinion)
3-2023 Jan. 30, 1970 WCBA Investments, Inc., Peter Yates Taylor, Sr. (8-12554)
Sidney Gross,
Hearing Examiner
3-1811 Jan. 12, 1970 M.V. Gray Investments, Inc., Maxel V. Gray
File No. 8-12190
David J. Markun,
Hearing Examiner
(Note: Opinion)

http://www.sec.gov/alj/aljdec/aljdecarchive/aljdecarc1970.shtml


Modified: 10/16/2014