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).

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Date Sort descending	Respondents
Dec. 17, 1999	Wheat First Securities Inc. F/K/A First Union Capital Markets Corp.; Teressa L. Cawley; Herbert Grossman, Administrative Law Judge Release No. 155 See Also: Erratum , Opinion File Number: 3-9688
Dec. 8, 1999	Ronnie R. Neihart; Robert G. Mahony, Administrative Law Judge Release No. 154 See Also: Finality Order File Number: 3-9982
Oct. 29, 1999	County of Nevada, City of Ione, Wasco Public Financing Authority, Virginia Horler, and William McKay; Brenda P. Murray, Chief Administrative Law Judge Release No. 153 See Also: Finality Order File Number: 3-9542
Oct. 28, 1999	George J. Kolar; James T. Kelly, Administrative Law Judge Release No. 152 See Also: Opinion File Number: 3-9570
Sept. 30, 1999	Richardt-Alyn & Co., and Richard B. Fienberg Release No. 151 See Also: Imposing Remedial Sanctions and Ordering Respondents to Cease and Desist File Number: 3-9099
Sept. 27, 1999	Russell W. Stein, Ford D. Albritton, Jr., and Dover and Associates, Inc.; Lillian A. McEwen, Administrative Law Judge Release No. 150 See Also: Order granting reconsideration and dismissing proceeding , Opinion File Number: 3-9309
Sept. 21, 1999	Sandra Simpson and Daphne Pattee; Robert G. Mahony, Administrative Law Judge Release No. 148 See Also: Opinion File Number: 3-9458
Sept. 21, 1999	Seaboard Investment Advisers, Inc. and Eugene W. Hansen; Brenda P. Murray, Chief Administrative Law Judge Release No. 149 See Also: Opinion File Number: 3-9725
Aug. 6, 1999	John J. Kenny and Nicholson/Kenny Capital Management, Inc.; Stephen L. Grossman, Administrative Law Judge Release No. 147 See Also: Erratum , Opinion File Number: 3-9611
Aug. 2, 1999	Certain Broker-Dealers who failed to file all or part of Form BD-Y2K; Brenda P. Murray, Chief Administrative Law Judge Release No. 146 See Also: Finality Order, Release No. 34-41844 , Finality Order, Release No. 34-41845 , Opinion : Release No. 34-44933 File Number: 3-9759
July 26, 1999	Alfred Avasso and Robert Schulman; Robert G. Mahony, Administrative Law Judge Release No. 145 See Also: Finality Order File Number: 3-9162
July 22, 1999	Fu-Sung Peter Wu; Lillian A. McEwen, Administrative Law Judge Release No. 144 See Also: Opinion File Number: 3-9024
June 9, 1999	D.E. Wine Investments, Inc., W. Randal Miller, Kenneth B. Karpf, And Duncan E. Wine; Glenn Robert Lawrence, Administrative Law Judge Release No. 143 See Also: Opinion File Number: 3-8543
May 6, 1999	Joseph F. Reese; Carol Fox Foelak, Administrative Law Judge Release No. 142 See Also: Finality Order File Number: 3-9439
April 12, 1999	Quest Capital Strategies, Inc., and David Chen Yu; Lillian A. McEwen, Administrative Law Judge Release No. 141 See Also: Opinion File Number: 3-8966
April 1, 1999	Terence Michael Coxon, Alan Michael Sergy, World Money Managers, and World Money Securities, Inc.; Brenda P. Murray, Chief Administrative Law Judge Release No. 140 See Also: Opinion File Number: 3-9218
March 30, 1999	Hudson Investors Fund, Inc., Hudson Advisers, Inc., Javed Anver Latef, and Larry Alan Stockett; G. Marvin Bober, Administrative Law Judge Release No. 139 See Also: Finality Order , Opinion File Number: 3-9374
March 24, 1999	Nicholas P. Howard; Carol Fox Foelak, Administrative Law Judge Release No. 138 See Also: Opinion File Number: 3-8873
March 5, 1999	Sky Scientific, Inc., W.A. Dorow, Jr., Jerry L. Foster, Gilbert Marshall & Co., Inc., Michael A. Usher, Strategic Resource Management, Inc., William A. Moler, Daniel R. Lehl, Thomas Patrick Meehan, Douglas A. Glaser, Smith, Benton & Hughes, Inc., Michael Zaman, George T. Hellen, Robert Schlien, American Capital Network, Inc., Philip M. Georgeson, Melvin L. Levine, and William David Jones; Robert G. Mahony, Administrative Law Judge Release No. 137 See Also: Opinion File Number: 3-9201
March 2, 1999	Russo Securities, Inc., Patrick Russo, and Kimberly Kent; G. Marvin Bober, Administrative Law Judge Release No. 136 See Also: Opinion File Number: 3-9484
Jan. 28, 1999	Abraham and Sons Capital, Inc. and Brett G. Brubaker; Robert G. Mahony, Administrative Law Judge Release No. 135 See Also: Opinion File Number: 3-9448
Jan. 7, 1999	Alfred M. Bauer and J.Stephen Stout; Carol Fox Foelak, Administrative Law Judge Release No. 134 See Also: Opinion File Number: 3-9034

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