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ALJ Decisions & Orders:
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| Release No. | Date | Respondents |
| Fourth Quarter | ||
| 197 | Dec. 31, 2001 | Kent T. Black, Joel L. Hurst, David E. Lynch, Larry E. Muller, and Robert L. McCook
Lillian A. McEwen, Administrative Law Judge File No. 3-9440 (Note: Finality Order; Opinion) |
| 196 | Dec. 20, 2001 | Jeffrey M. Steinberg and John Geron
Robert G. Mahony, Administrative Law Judge File No. 3-9608 (Note: Finality Order) |
| 195 | Nov. 26, 2001 | Laurie Jones Canady
Brenda P. Murray, Chief Administrative Law Judge File No. 3-8531 D (Note: Order; Opinion) See also: Court of Appeals Decision |
| 194 | Oct. 31, 2001 | Clarence Z. Wurts
Carol Fox Foelak, Administrative Law Judge File No. 3-9114 (Note: Opinion) |
| Third Quarter | ||
| 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) See also: Court of Appeals Decision |
| 192 | Sept. 25, 2001 | Jerome M. Wenger
Carol Fox Foelak, Administrative Law Judge File No. 3-10444 (Note: Finality Order) |
| 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) See also: Court of Appeals Decision |
| 190 | Sept. 14, 2001 | Christopher A. Lowry
Brenda P. Murray, Chief Administrative Law Judge File No. 3-10390 (Note: Opinion) See also: Court of Appeals Opinion |
| 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 (Note: Opinion) |
| 186 | Jul. 27, 2001 | Kevin G. Quinn
Robert G. Mahony, Administrative Law Judge File No. 3-10098 (Note: Finality Order) |
| Second Quarter | ||
| 185 | Jun. 22, 2001 | The City of Miami, Florida, Cesar Odio and Manohar Surana; Brenda P. Murray, Chief Administrative Law Judge
File No. 3-10022 (Note: Opinion) |
| 184 | May 22, 2001 | Albert Glenn Yesner, CPA;
Robert G. Mahony, Administrative Law Judge File No. 3-9586 (Note: Finality Order) |
| 183 | May 3, 2001 | Barry C. Scutillo, CPA, and Mark F. Jensen, CPA;
James T. Kelly, Administrative Law Judge File No. 3-9863 (Note: Opinion) |
| First Quarter | ||
| 182 | Mar. 23, 2001 | Shirley A. McKinney, Darlan Gordon, Michael J. McEvoy, Francis A. Taylor, IV, Douglas Parks, and John S. Brownson;
Carol Fox Foelak, Administrative Law Judge File No. 3-10295 (Note: Finality Order; Opinion) |
| 181 | Mar. 9, 2001 | The Rockies Fund, Inc., Stephen G. Calandrella, Charles M. Powell, Clifford C. Thygesen, and John C. Power;
Brenda P. Murray, Chief Administrative Law Judge File No. 3-9615 (Note: Order denying motion for reconsideration; Opinion) See also: Court of Appeals Decision |
| 180 | Jan. 29, 2001 | Fundamental Portfolio Advisors, Inc., Lance M. Brofman, and Fundamental Service Corporation;
Carol Fox Foelak, Administrative Law Judge File No. 3-9461 (Note: Opinion) |
| 179 | Jan. 22, 2001 | Dean Witter Reynolds Inc., Henry L. Auwinger, and Dennis W. Peterson;
Robert G. Mahony, Administrative Law Judge File No. 3-9686 (Note: Finality Order) |
http://www.sec.gov/alj/aljdec/aljdecarchive/aljdecarc2001.shtml
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