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ALJ Decisions & Orders:
Administrative Law Judges
Archives 1977

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
3-5148 Dec. 12, 1977 Hinkle Northwest, Inc., et al. (8-6561 & 801-8941)
Edward B. Wagner,
Administrative Law Judge
3-4976 Dec. 5, 1977 John P. Decker
(The Forum Corporation)
Max O. Regensteiner,
Administrative Law Judge
3-5230 Dec. 5, 1977 Strategic Management, Inc. (801-11009), Preferential Brokerage, Inc. (8-17210), Leroy S. Brenna
Irving Sommer,
Administrative Law Judge
3-5150 Dec. 2, 1977 Revere Management Co., Inc. (8-8021), American Fund Services, Ltd., William N. Hess, Albert Kuhn
Ralph Hunter Tracy,
Administrative Law Judge
3-5127 Oct. 7, 1977 E. L. Aaron & Co., Inc., et al. (8-9601)
Ralph Hunter Tracy,
Administrative Law Judge
3-5232 Oct. 6, 1977 Harbine Financial Service (803-3)
Jerome K. Soffer,
Administrative Law Judge
Third Quarter
3-5175 Sep. 23, 1977 Lawrence A. Luebbe
(Benchmark Securities, Inc.)
Max O. Regensteiner,
Administrative Law Judge
3-5102 Jul. 22, 1977 Dudley Diggs Morgan
Ralph Hunter Tracy,
Administrative Law Judge
Second Quarter
3-5164 Jun. 24, 1977 Parco Managers Corporation and United Parcel Service of America, Inc.
Max O. Regensteiner,
Administrative Law Judge
3-5048 Jun. 2, 1977 International Research & Management Corp. (801-8827), Richard D. Braverman
Irving Sommer,
Administrative Law Judge
3-4981 May 27, 1977 Douglass and Co., Inc. et al.
David J. Markun,
Administrative Law Judge
3-5090 Apr. 14, 1977 Benjamin Levy Securities, Inc. (8-20948), A.M.V. Capital Consultants, Ltd., Michael A. Alpert
Warren E. Blair,
Chief Administrative Law Judge
First Quarter
3-5018 Mar. 28, 1977 Charles C. Carlson
Jerome K. Soffer,
Administrative Law Judge
3-5007 Mar. 24, 1977 FAI Investment Analysts, Inc. (8-14658), Financial Analysts, Inc., Richard F. Bridges
Ralph Hunter Tracy,
Administrative Law Judge
3-4424 Mar. 15, 1977 Joseph A. Buongiorno, JAB Securities Co., Inc. (8-13252)
Irving Schiller,
Administrative Law Judge
3-5037 Mar. 11, 1977 Shaw Hooker & Co., Arthur A. Gambarasi, Leroy Zack Taylor (File No. 8-2213)
Irving Sommer,
Administrative Law Judge
3-5031 Mar. 3, 1977 Stanton L. Whitney
Warren E. Blair,
Chief Administrative Law Judge
3-4726 Feb. 22, 1977 Walter W. Irwin and Leary C. Willis, Jr.
(Ambassador Church Finance/Development Group, Inc.)
Jerome K. Soffer,
Administrative Law Judge

http://www.sec.gov/alj/aljdec/aljdecarchive/aljdecarc1977.shtml


Modified: 10/16/2014