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ALJ Decisions & Orders:
Administrative Law Judges
Archives 1998

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

Release No. Date Respondents
Fourth Quarter
No actions this quarter.
Third Quarter
133 Sep. 29, 1998 Terry T. Steen;
Carol Fox Foelak, Administrative Law Judge
File No. 3-8798
(Note: Finality Order)
132 Sep. 23, 1998 Rita Villa;
Robert G. Mahony, Administrative Law Judge
File No. 3-8527-EAJ
(Note: Amended Order; Opinion; Opinion)
131 Sep. 3, 1998 Parnassus Investments, Jerome L. Dodson, Marilyn Chou, and David L. Gibson;
Robert G. Mahony, Administrative Law Judge
File No. 3-9317
(Note: Finality Order)
130 Aug. 11, 1998 Stires & Co., Inc. and Sidney H. Stires;
Brenda P. Murray,
Chief Administrative Law Judge
File No. 3-9120
(Note: Finality Order)
129 Aug. 3, 1998 Michael J. Markowski;
Lillian A. McEwen, Administrative Law Judge
File No. 3-9277
(Note: Opinion)
128 Jul. 23, 1998 Patricia Ann Bellows;
Lillian A. McEwen, Administrative Law Judge
File No. 3-8951
(Note: Finality Order)
127 Jul. 21, 1998 Orlando Joseph Jett;
Carol Fox Foelak, Administrative Law Judge
File No. 3-8919
(Note: Opinion)
Second Quarter
126 May 29, 1998 First Jersey Securities, Inc. and Robert E. Brennan;
Brenda P. Murray,
Chief Administrative Law Judge
File No. 3-8699
(Note: Finality Order; Opinion)
125 Apr. 15, 1998 Edward D. Jones & Co., Donald E. Walter, Steven T. Roberts, Ronald L. Gorgen, and Charles R. Larimore;
Brenda P. Murray,
Chief Administrative Law Judge
File No. 3-9181
(Note: Finality Order)
First Quarter
124 Mar. 24, 1998 Martin Kaiden;
Robert G. Mahony,
Administrative Law Judge
File No. 3-9403
(Note: Opinion: Release No. 34-41629)
123 Mar. 20, 1998 Philadelphia Investors, LTD. and Clarence Z. Wurts;
G. Marvin Bober,
Administrative Law Judge
File No. 3-9114
(Note: Finality Order; Opinion: Release No. 34-43842)
122 Mar. 9, 1998 Russo Securities, Inc. and Ferdinand Russo;
Brenda P. Murray,
Chief Administrative Law Judge
File No. 3-8573-EAJ
(Note: Opinion: Release No. 34-42121)
121 Feb. 24, 1998 Al Rizek;
G. Marvin Bober,
Administrative Law Judge
File No. 3-9041
(Note: Opinion: Release No. 34-41725)
See also:  Court of Appeals Opinion
120 Feb. 9, 1998 Ted Harold Westerfield;
G. Marvin Bober,
Administrative Law Judge
File No. 3-9355
(Note: Opinion: Release No. 34-41126)
119 Jan. 12, 1998 IMS/CPAs & Associates, Vernon T. Hall, Stanley E. Hargrave, and Jerome B. Vernazza;
Brenda P. Murray,
Chief Administrative Law Judge
File No. 3-9042
(Note: Opinion: Release Nos. 33-8031, 34-45019, IA-1994)

http://www.sec.gov/alj/aljdec/aljdecarchive/aljdecarc1998.shtml


Modified: 10/16/2014