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ALJ Decisions & Orders:
Administrative Law Judges
Archives 1997

Administrative Law Judges issued the following Initial Decisions pursuant to 5 U.S.C § 557 and 17 C.F.R. § 201.360(a).

Fourth Quarter | Third Quarter | Second Quarter | First Quarter

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*Release No.*	*Date*	*Respondents*
Fourth Quarter
118	Oct. 10, 1997	Robert Sayegh, Thomas Core, and John J. Cranley, Jr.; Brenda P. Murray, Chief Administrative Law Judge File No. 3-9019 (Note: Finality Order; Opinion)
Third Quarter
117	Sep. 25, 1997	Matt Matson; Lillian A. McEwen, Administrative Law Judge File No. 3-9279 (Note: Finality Order)
116	Sep. 9, 1997	Ira William Scott; Brenda P. Murray, Chief Administrative Law Judge File No. 3-9105 (Note: Opinion: Release No. IA-1752)
115	Aug. 18, 1997	Warren G. Trepp; Carol Fox Foelak, Administrative Law Judge File No. 3-8833 (Note: Order Dismissing Proceedings)
114	Aug. 18, 1997	Douglas W. Osborne; Brenda P. Murray, Chief Administrative Law Judge File No. 3-9008 (Note: Finality Order)
113	Aug. 6, 1997	Frederick C. Gartz; Brenda P. Murray, Chief Administrative Law Judge File No. 3-9060 (Note: Finality Order)
112	Aug. 5, 1997	Marc N. Geman; G. Marvin Bober, Administrative Law Judge File No. 3-9032 (Note: Opinion)
111	Jul. 2, 1997	Valicenti Advisory Services, Inc. and Vincent R. Valicenti; Carol Fox Foelak, Administrative Law Judge File No. 3-8854 (Note: Opinion)
Second Quarter
110	Apr. 10, 1997	Kenneth J. Schulte; Brenda P. Murray, Chief Administrative Law Judge File No. 3-9051 (Note: Finality Order)
First Quarter
109	Mar. 25, 1997	James Thornton and Payne Thornton, Inc., d/b/a Retirement Investment Group; Brenda P. Murray, Chief Administrative Law Judge File No.3-9046 (Note: Opinion) *See also:* Court of Appeals Opinion
108	Mar. 19, 1997	David L. Arnold, W. David East, and Jerry Payne; Lillian A. McEwen, Administrative Law Judge File No. 3-8955 (Note: Opinion)
107	Mar. 7, 1997	Terry T. Steen and Rodger E. Thornton; Carol Fox Foelak, Administrative Law Judge File No. 3-8749 (Note: Opinion; Initial Decision)
106	Feb. 25, 1997	M. Rimson & Co., Inc., Moshe Rimson, Jonathan Mende & Associates, Inc., Jonathan Aurielio Mende, Todd Levaughn Hickman, Christian Jean-Marie Girodet, Mitchell Aguirre, Claudio Peter Iodice, III, Alex David Shindman, Yevgeny G. Shkilko, David Feyjin and Roger Dantoni, III; Lillian A. McEwen, Administrative Law Judge File No. 3-8772 (Note: Finality Order)
105	Feb. 7, 1997	James J. Pasztor; Carol Fox Foelak, Administrative Law Judge File No. 3-8511 (Note: Opinion)

http://www.sec.gov/alj/aljdec/aljdecarchive/aljdecarc1997.shtml

Modified: 01/19/2010