ALJ Orders Archive 2003

The Office of Administrative Law Judges considers the following rulings noteworthy.

Fourth Quarter | Third Quarter | Second Quarter | First Quarter

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AP No.	Date	Respondents
Fourth Quarter
3-11330	Dec. 24, 2003	Rita J. McConville and Kevin M. Harris, C.P.A.
3-11084	Dec. 18, 2003	Harrison Securities, Inc., Frederick C. Blumer, and Nebrissa Song
3-11330	Dec. 17, 2003	Rita J. McConville and Kevin M. Harris, C.P.A.
3-11330	Dec. 8, 2003	Rita J. McConville and Kevin M. Harris, C.P.A.
3-11283	Dec. 4, 2003	Shane Ferras
3-11317	Dec. 3, 2003	Putnam Investment Management, LLC
3-10624	Nov. 25, 2003	Hunter Adams, et al.
3-11063	Nov. 24, 2003	Pattinson Hayton
3-11201	Nov. 18, 2003	Nevis Capital Management, LLC, David R. Wilmerding, III, and Jon C. Baker
3-11201	Nov. 18, 2003	Nevis Capital Management, LLC, David R. Wilmerding, III, and Jon C. Baker
3-11194	Nov. 14, 2003	Philip L. Pascale, CPA
3-11201	Nov. 10, 2003	Nevis Capital Management, LLC, David R. Wilmerding, III, and Jon C. Baker
3-11213	Nov. 6, 2003	Wendell D. Belden
3-11210	Nov. 5, 2003	Darius L. Lee
3-11259	Oct. 30, 2003	Michael Batterman and Randall B. Batterman, III
3-11179	Oct. 22, 2003	IFG Network Securities, Inc.
3-11179	Oct. 10, 2003	IFG Network Securities, Inc., William Kissinger, Kissinger Advisory, Inc., Bert Miller, Glenn Wilkinson, and David Ledbetter
3-11229	Oct. 9, 2003	Castle Securities Corp. and Michael T. Studer
3-11084	Oct. 7, 2003	Harrison Securities, Inc., Frederick C. Blumer, and Nebrissa Song
3-11084	Oct. 3, 2003	Harrison Securities, Inc., Frederick C. Blumer, and Nebrissa Song
3-9793	Oct. 1, 2003	Jean-Paul Bolduc, et al.
Third Quarter
3-11247	Sep. 24, 2003	Steven Wise and Larry Vindman
3-11221	Sep. 23, 2003	Cyrus Industries, Inc.
3-11225	Sep. 17, 2003	Louis W. Ratfield
3-11223	Sep. 17, 2003	John DelPrince
3-11179	Sep. 12, 2003	IFG Network Securities, Inc., William Kissinger, Kissinger Advisory, Inc., Bert Miller, Glenn Wilkinson, and David Ledbetter
3-11179	Sep. 12, 2003	IFG Network Securities, Inc., William Kissinger, Kissinger Advisory, Inc., Bert Miller, Glenn Wilkinson, and David Ledbetter
3-11182	Sep. 10, 2003	Xaibe, Inc. and Lowell Nicholas
3-11210	Sep. 8, 2003	Darius L. Lee
3-11010	Aug. 25, 2003	Kevin H. Goldstein and Jackwest Corporation
3-11181	Aug. 25, 2003	Global Telemedia International, Inc.
3-11183	Aug. 19, 2003	RGW Acquisition Corporations I through X
3-11087	Jul. 17, 2003	Liberty National Securities, Inc., Robert J. Guyer, and Sonia Howe Radencovici
Second Quarter
3-11087	Jun. 30, 2003	Liberty National Securities, Inc., Robert J. Guyer, and Sonia Howe Radencovici
3-9793	Jun. 27, 2003	Jean-Paul Bolduc, et al.
3-11012	Jun. 25, 2003	James F. Glaza, D/B/A Falcon Financial Services, Inc.
3-11104	Jun. 24, 2003	Iosif Pak, a/k/a Joseph Pak, and Roman Sakharovich, a/k/a Roman Sakh
3-11104	Jun. 16, 2003	Iosif Pak, a/k/a Joseph Pak, and Roman Sakharovich, a/k/a Roman Sakh
3-10229	May 5, 2003	Salvatore Piazza, et al.
3-11002	May 1, 2003	David Edwards, James Edwards, Kevin Lynds and Gerald J. Stock
3-10765	Apr. 29, 2003	Edgar B. Alacan and Mayer Dallal
3-11059	Apr. 22, 2003	Hexagon Consolidated Companies of America, Inc.
3-9933	Apr. 17, 2003	A.S. Goldmen & Co., Inc., Anthony J. Marchiano, Stuart E. Winkler, John T. Diasabeyagunawardena, (a.k.a. John Abbey), John P. Delcioppo, Christopher M. Delcioppo, Vincent J. Lia, Duane P. Taylor, and Charles Trento
3-11037	Apr. 10, 2003	William E. Kraemer
3-11044	Apr. 3, 2003	Eduardo Villar
First Quarter
3-10936	Mar. 31, 2003	Jeffrey R. Patterson and Terrance Turman
3-9933	Mar. 26, 2003	A.S. Goldmen & Co., Inc., Anthony J. Marchiano, Stuart E. Winkler, John T. Diasabeyagunawardena, (a.k.a. John Abbey), John P. Delcioppo, Christopher M. Delcioppo, Vincent J. Lia, Duane P. Taylor, and Charles Trento
3-10997	Mar. 24, 2003	Jeffrey M. Goldberg
3-10765	Mar. 21, 2003	J.W. Barclay & Co., Inc., John A. Bruno, Michael J. Wills, Edgar B. Alacan, Emmanuel P. Cube Mayer Dallal, Danoo Noor, Sr., Emanuele A. Scarso, and Michael B. Scott
3-10933	Mar. 20, 2003	Ernst & Young LLP
3-10765	Mar. 19, 2003	J.W. Barclay & Co., Inc., John A. Bruno, Michael J. Wills, Edgar B. Alacan, Emmanuel P. Cube Mayer Dallal, Danoo Noor, Sr., Emanuele A. Scarso, and Michael B. Scott
3-10945	Mar. 18, 2003	Sharad Kapoor
3-10936	Mar. 13, 2003	Jeffrey R. Patterson and Terrance Turman
3-10933	Mar. 11, 2003	Ernst & Young LLP
3-9793	Mar. 10, 2003	Jean-Paul Bolduc, et al.
3-9793	Mar. 4, 2003	Jean-Paul Bolduc, et al.
3-11016	Feb. 25, 2003	Igor Fleyshmakher a.k.a. Isaac Flash a.k.a. Isaac Marks
3-11017	Feb. 25, 2003	Eric Peremen
3-10936	Feb. 21, 2003	Jeffrey R. Patterson and Terrance Turman
3-10933	Feb. 20, 2003	Ernst & Young LLP
3-10936	Feb. 19, 2003	Jeffrey R. Patterson and Terrance Turman
3-10884	Feb. 19, 2003	Leslie A. Arouh
3-10765	Feb. 14, 2003	J.W. Barclay & Co., Inc., et al.
3-10765	Feb. 13, 2003	J.W. Barclay & Co., Inc., John A. Bruno, Michael J. Wills, Edgar B. Alacan, Emmanuel P. Cube Mayer Dallal, Danoo Noor, Sr., Emanuele A. Scarso, and Michael B. Scott
3-10765	Feb. 12, 2003	J.W. Barclay & Co., Inc., John A. Bruno, Michael J. Wills, Edgar B. Alacan, Emmanuel P. Cube Mayer Dallal, Danoo Noor, Sr., Emanuele A. Scarso, and Michael B. Scott
3-10871	Jan. 31, 2003	Ives Health Company, Inc.
3-10946	Jan. 31, 2003	Arjun Sekhri
3-10931	Jan. 28, 2003	Dennis S. Herula
3-9148	Jan. 22, 2003	Jeffrey Trenk
3-10765	Jan. 16, 2003	J.W. Barclay & Co., Inc., John A. Bruno, Michael J. Wills, Edgar B. Alacan, Emmanuel P. Cube Mayer Dallal, Danoo Noor, Sr., Emanuele A. Scarso, and Michael B. Scott
3-10895	Jan. 14, 2003	Oxford Capital Management, Inc. and John G. Danz, Jr.
3-10929	Jan. 13, 2003	Robert C. Sears
3-10996	Jan. 10, 2003	Gordon J. Rollert
3-10927	Jan. 9, 2003	Salman Shariff
3-10007	Jan. 9, 2003	Clarke T. Blizzard and Rudolph Abel
3-10007	Jan. 6, 2003	Clarke T. Blizzard and Rudolph Abel
3-10875	Jan. 3, 2003	Monica Lynn Coleman

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