		Home \| Jobs \| Fast Answers \| Site Map \| Search

About the SEC

Filings & Forms

Regulatory Actions

Staff Interps

Investor Info

News & Statements

Litigation

Litigation Releases
Admin Proceedings
Fair Funds
Investigation Reports
Commission Opinions
Cooperation Agreements
Trading Suspensions
Amicus Briefs
Appellate Briefs
Rules of Practice

ALJ

Divisions

ALJ Decisions & Orders:
Administrative Law Judges
Archives 1999: 3rd Quarter

*Release No.*	*Date*	*Respondents*
151	Sep. 30, 1999	Richardt-Alyn & Co., Richard B. Feinberg, and Alan S. Feinberg; Carol Fox Foelak, Administrative Law Judge File No. 3-9099
150	Sep. 27, 1999	Russell W. Stein, Ford D. Albritton, Jr., and Dover and Associates, Inc.; Lillian A. McEwen, Administrative Law Judge File No. 3-9309 (Note: Order granting reconsideration and dismissing proceeding; Opinion)
149	Sep. 21, 1999	Seaboard Investment Advisers, Inc. and Eugene W. Hansen; Brenda P. Murray, Chief Administrative Law Judge File No. 3-9725 (Note: Opinion)
148	Sep. 21, 1999	Sandra Simpson and Daphne Pattee; Robert G. Mahony, Administrative Law Judge File No. 3-9458 (Note: Opinion)
147	Aug. 6, 1999	John J. Kenny and Nicholson/Kenny Capital Management, Inc.; Stephen L. Grossman, Administrative Law Judge File No. 3-9611 (Note: Erratum (File name: id147a.htm); Opinion)
146	Aug. 2, 1999	Certain Broker-Dealers who failed to file all or part of Form BD-Y2K; Brenda P. Murray, Chief Administrative Law Judge File No. 3-9759 (Note: Finality Order; Opinion)
145	Jul. 26, 1999	Alfred Avasso and Robert Schulman; Robert G. Mahony, Administrative Law Judge File No. 3-9162 (Note: Finality Order)
144	Jul. 22, 1999	Fu-Sung Peter Wu; Lillian A. McEwen, Administrative Law Judge File No. 3-9024 (Note: Opinion)

http://www.sec.gov/litigation/aljdec/aljdec3q99.shtml

Modified: 02/10/2005