Skip to search field Skip to main content

Official websites use .gov
A .gov website belongs to an official government organization in the United States.

Secure .gov websites use HTTPS
A lock () or https:// means you’ve safely connected to the .gov website. Share sensitive information only on official, secure websites.

ALJ Initial Decisions

Administrative Law Judges issued the following Initial Decisions pursuant to 5 U.S.C § 557 and 17 C.F.R. § 201.360(a).

Related Resources:

ALJ Initial Decisions RSS Feed


Date Sort ascending	Respondents
Dec. 21, 1971	Robert Stead, Edwin Gomer Jones, Jr., Theodore Avchen, Merrill, Lynch, Pierce, Fenner & Smith, Inc., John Clarke, George Stromberg, Billy Neighbors Irving Schiller, Hearing Examiner Release No. 3-1958 File Number: 3-1958
Dec. 10, 1971	Alessandrini & Co. (8-14370), Wellington Hunter d/b/a Wellington Hunter Associates (8-1271), Louis B. Meadows & Co., Inc. (8-13243), Philip S. Budin & Co., Inc. (8-13488), Raymond I. Weiss, Ralph H. Weseman, Morton Kantrowitz, Philip S. Budin, Paul P. Alessandrini David J. Markun, Hearing Examiner Release No. 3-2391 See Also: Opinion File Number: 3-2391
Oct. 29, 1971	Irwin L. Germaise and Thomas F. Quinn David J. Markun, Hearing Examiner Release No. 3-2606 See Also: Finality Order File Number: 3-2606
Sept. 21, 1971	White & Company, Inc. (8-565), Edward A. White, White Capital Corporation, Ivan A. Ezrine Ralph Hunter Tracy, Hearing Examiner Release No. 3-3142 File Number: 3-3142
Sept. 7, 1971	Pennzoil Company, United Gas Corporation, Pennzoil United, Inc. Release No. 3-617 See Also: Finality Order File Number: 54-239
Aug. 27, 1971	Stone Summers & Company, Alexander J. Stone, Thomas E. Summers, Bobby Layne Summers, (8-13804) David J. Markun, Hearing Examiner Release No. 3-2451 See Also: Opinion File Number: 3-2451
Aug. 27, 1971	Iowa Beef Processors, Inc. (81-108) Warren E. Blair, Chief Hearing Examiner Release No. 3-2974 File Number: 3-2974
June 30, 1971	Providence Church Plan, Inc., Floyd M. Davis, et al. Release No. 3-1788 File Number: 3-1788
June 11, 1971	Arthur Lipper Corporation, Arthur Lipper III (8-13182) Warren E. Blair, Chief Hearing Examiner Release No. 3-2156 See Also: Opinion File Number: 3-2156
May 28, 1971	The National Association of Securities Dealers, Inc. Release No. 3-2428 File Number: 16-1-1
May 21, 1971	Mann and Company, Inc., Herman M. Solomon, Burton J. Rosenblatt (8-12902) Ralph Hunter Tracy, Hearing Examiner Release No. 3-2027 File Number: 3-2027
May 7, 1971	Securities Planners Associates, Inc., L. Dexter Flounce, Howard Smolar (8-8934) Ralph Hunter Tracy, Hearing Examiner Release No. 3-2267 See Also: Opinion File Number: 3-2267
March 31, 1971	John B. Licata & Co. (8-13655), John B. Licata David J. Markun, Hearing Examiner Release No. 3-2246 File Number: 3-2246
March 10, 1971	Conrad & Company, Inc. (8-8408), Thomas D. Conrad, Jr., Margaret J. Conrad, Roland L. Gonzales, Jr., Gary G. Booker Sidney Ullman, Hearing Examiner Release No. 3-2338 See Also: Opinion File Number: 3-2338