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ALJ Decisions & Orders:
Administrative Law Judges
Archives 2004: 1st Quarter

Release No. Date Respondents
613 Mar. 26, 2004 Putnam Investment Management, LLC
James T. Kelly,
Administrative Law Judge
File No. 3-11317
247 Mar. 4, 2004 e-Smart Technologies, Inc. f/k/a Plainview Laboratories, Inc.
Lillian A. McEwen,
Administrative Law Judge
File No. 3-10977
(Note: Order for Summary Affairmance and Filing Opposing Petition for Review)
(Note: Order Remanding Proceeding) )
246 Feb. 12, 2004 Michael Batterman and Randall B. Batterman III
James T. Kelly,
Administrative Law Judge
File No. 3-11259
PDF version
245 Jan. 30, 2004 Larry R. Crowder and John R. Powell
Robert G. Mahony,
Administrative Law Judge
File No. 3-11287
(Note: Finality Order)
244 Jan. 23, 2004 Castle Securities Corp. and Michael T. Studer
Lillian A. McEwen,
Administrative Law Judge
File No. 3-11229
243 Jan. 16, 2004 Kevin H. Goldstein and Jackwest Corporation
James T. Kelly,
Administrative Law Judge
File No. 3-11010
PDF version
(Note: Finality Order)

 

http://www.sec.gov/litigation/aljdec/aljdec1q04.shtml


Modified: 02/09/2005