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ALJ Decisions & Orders:
Administrative Law Judges
Archives 2001: 3rd Quarter

Release No. Date Respondents
193 Sept. 28, 2001 Aubrey O'Connor, Rick Pierson, James Winter, Gregory Bowen and Kenneth Ward
Lillian A. McEwen,
Administrative Law Judge
File No. 3-9327
(Note: Opinion)
192 Sept. 25, 2001 Jerome M. Wenger
Carol Fox Foelak,
Administrative Law Judge
File No. 3-10444
191 Sept. 21, 2001 Michael J. Marrie, CPA and Brian L. Berry, CPA
James T. Kelly, Administrative Law Judge
File No. 3-9966
(Note: Opinion)
190 Sept. 14, 2001 Christopher A. Lowry
Brenda P. Murray, Chief Administrative Law Judge
File No. 3-10390
189 Sep. 5, 2001 John L. Banach, f/k/a/ J. Leo Lawson, Robert Thomas Clawson, Trent David Gribben, Tariq Samad Khan, Terry Lee Lewis, Ronald Troy Mikulka, Reagan Burton Richmond, Randle William Villa, Woodbridge & Associates, Kevin Lee Woodbridge, and 381143 Alberta Ltd.
Robert G. Mahony, Administrative Law Judge
File No. 3-9208
(Note: Opinion)
188 Aug. 14, 2001 Del Mar Financial Services, Inc., Kevin C. Dills, Private Brokers Corporation, Robert A. Roberts, Matthew R. Jennings, Philip S. Brandon, and Jai Chaudhuri
Carol Fox Foelak, Administrative Law Judge
File No. 3-9959
(Note: Modifying Order and Finality Order;
Opinion) )
187 Aug. 7, 2001 Joseph P. Galluzzi
James T. Kelly, Administrative Law Judge
File No. 3-10209
186 Jul. 27, 2001 Kevin G. Quinn
Robert G. Mahony, Administrative Law Judge
File No. 3-10098
(Note: Finality Order)

 

http://www.sec.gov/litigation/aljdec/aljdec3q01.shtml


Modified: 02/09/2005