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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