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 descending	Respondents
Oct. 10, 1997	Robert Sayegh, Thomas Core, and John J. Cranley, Jr.; Brenda P. Murray, Chief Administrative Law Judge Release No. 118 See Also: Finality Order , Opinion File Number: 3-9019
Sept. 25, 1997	Matt Matson; Lillian A. McEwen, Administrative Law Judge Release No. 117 See Also: Finality Order File Number: 3-9279
Sept. 9, 1997	Ira William Scott; Brenda P. Murray, Chief Administrative Law Judge Release No. 116 See Also: Opinion File Number: 3-9105
Aug. 18, 1997	Douglas W. Osborne; Brenda P. Murray, Chief Administrative Law Judge Release No. 114 See Also: Finality Order File Number: 3-9008
Aug. 18, 1997	Warren G. Trepp; Carol Fox Foelak, Administrative Law Judge Release No. 115 See Also: Order Dismissing Proceedings File Number: 3-8833
Aug. 6, 1997	Frederick C. Gartz; Brenda P. Murray, Chief Administrative Law Judge Release No. 113 See Also: Finality Order File Number: 3-9060
Aug. 5, 1997	Marc N. Geman; G. Marvin Bober, Administrative Law Judge Release No. 112 See Also: Opinion File Number: 3-9032
July 2, 1997	Valicenti Advisory Services, Inc. and Vincent R. Valicenti; Carol Fox Foelak, Administrative Law Judge Release No. 111 See Also: Opinion File Number: 3-8854
April 10, 1997	Kenneth J. Schulte; Brenda P. Murray, Chief Administrative Law Judge Release No. 110 See Also: Finality Order File Number: 3-9051
March 25, 1997	James Thornton and Payne Thornton, Inc., d/b/a Retirement Investment Group; Brenda P. Murray, Chief Administrative Law Judge Release No. 109 See Also: Opinion , Court of Appeals Opinion File Number: 3-9046
March 19, 1997	David L. Arnold, W. David East, and Jerry Payne; Lillian A. McEwen, Administrative Law Judge Release No. 108 See Also: Opinion File Number: 3-8955
March 7, 1997	Terry T. Steen and Rodger E. Thornton; Carol Fox Foelak, Administrative Law Judge Release No. 107 See Also: Opinion , ALJ Initial Decision Release File Number: 3-8749
Feb. 25, 1997	M. Rimson & Co., Inc., Moshe Rimson, Jonathan Mende & Associates, Inc., Jonathan Aurielio Mende, Todd Levaughn Hickman, Christian Jean-Marie Girodet, Mitchell Aguirre, Claudio Peter Iodice, III, Alex David Shindman, Yevgeny G. Shkilko, David Feyjin and Roger Dantoni, III; Lillian A. McEwen, Administrative Law Judge Release No. 106 See Also: Finality Order File Number: 3-8772
Feb. 7, 1997	Sharon M. Graham, Stephen C. Voss, James J. Pasztor; Glenn Robert Lawrence, Administrative Law Judge Release No. 105 See Also: Opinion File Number: 3-8511