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ALJ Decisions & Orders:
Administrative Law Judges
Archives 1971

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
3-1958 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
3-2391 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
(Note: Opinion)
3-2606 Oct. 29, 1971 Irwin L. Germaise and Thomas F. Quinn
David J. Markun,
Hearing Examiner
(Note: Finality Order)
Third Quarter
3-3142 Sep. 21, 1971 White & Company, Inc. (8-565), Edward A. White, White Capital Corporation, Ivan A. Ezrine
Ralph Hunter Tracy,
Hearing Examiner
3-617 Sep. 7, 1971 Pennzoil Company, United Gas Corporation, Pennzoil United, Inc.
(File Nos. 54-239; 59-112)
Sidney Ullman,
Hearing Examiner
(Note: Finality Order)
3-2451 Aug. 27, 1971 Stone Summers & Company, Alexander J. Stone, Thomas E. Summers, Bobby Layne Summers, (8-13804)
David J. Markun,
Hearing Examiner
(Note: Opinion)
3-2974 Aug. 27, 1971 Iowa Beef Processors, Inc. (81-108)
Warren E. Blair,
Chief Hearing Examiner
Second Quarter
3-1788 Jun. 30, 1971 Providence Church Plan, Inc., Floyd M. Davis, et al.
3-2156 Jun. 11, 1971 Arthur Lipper Corporation, Arthur Lipper III (8-13182)
Warren E. Blair,
Chief Hearing Examiner
(Note: Opinion)
3-2428 May 28, 1971 The National Association of Securities Dealers, Inc.
File No. 16-1-1
David J. Markun,
Hearing Examiner
3-2027 May 21, 1971 Mann and Company, Inc.,
Herman M. Solomon, Burton J. Rosenblatt (8-12902)
Ralph Hunter Tracy,
Hearing Examiner
3-2267 May 7, 1971 Securities Planners Associates, Inc., L. Dexter Flounce, Howard Smolar (8-8934)
Ralph Hunter Tracy,
Hearing Examiner
(Note: Opinion)
Second Quarter
3-2246 Mar. 31, 1971 John B. Licata & Co. (8-13655), John B. Licata
David J. Markun,
Hearing Examiner
3-2338 Mar. 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
(Note: Opinion)
First Quarter
No decisions issued for this quarter

 

http://www.sec.gov/alj/aljdec/aljdecarchive/aljdecarc1971.shtml


Modified: 10/16/2014