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ALJ Decisions & Orders:
Administrative Law Judges
Archives 2001: 1st Quarter

Release No. Date Respondents
182 Mar. 23, 2001 Shirley A. McKinney, Darlan Gordon, Michael J. McEvoy, Francis A. Taylor, IV, Douglas Parks, and John S. Brownson;
Carol Fox Foelak, Administrative Law Judge
File No. 3-10295
(Note: Finality Order;
Opinion)
181 Mar. 9, 2001 The Rockies Fund, Inc., Stephen G. Calandrella, Charles M. Powell, Clifford C. Thygesen, and John C. Power;
Brenda P. Murray,
Chief Administrative Law Judge
File No. 3-9615
(Note: Order denying motion for reconsideration;
Opinion)
180 Jan. 29, 2001 Fundamental Portfolio Advisors, Inc., Lance M. Brofman, and Fundamental Service Corporation;
Carol Fox Foelak, Administrative Law Judge
File No. 3-9461
(Note: Opinion)
179 Jan. 22, 2001 Dean Witter Reynolds Inc., Henry L. Auwinger, and Dennis W. Peterson;
Robert G. Mahony, Administrative Law Judge
File No. 3-9686
(Note: Finality Order)

 

http://www.sec.gov/litigation/aljdec/aljdec1q01.shtml


Modified: 02/09/2005