ALJ Initial Decisions: Administrative Law Judges
Administrative Law Judges issued the following Initial Decisions pursuant to 5 U.S.C § 557 and 17 C.F.R. § 201.360(a).
ALJ Initial Decisions: Administrative Law Judges Table
Respondents
|
|
---|---|
Date: |
Respondents:
Release No.
1015
See Also:
Inc.
,
Opinion, Release No. 34-84432
File Number:
3-15350
|
Date: |
Respondents:
Release No.
1014
File Number:
3-16926
|
Date: |
Respondents:
Release No.
1013
See Also:
Order Instituting Proceedings, Release No. 34-77622
,
Finality Order, Release No. 34-78337
File Number:
3-17209
|
Date: |
Respondents:
Release No.
1012
See Also:
Order Instituting Proceedings, Release No. 34-77670
,
Finality Order, Release No. 34-78336
File Number:
3-17222
|
Date: |
Respondents:
Release No.
1011
See Also:
Order Instituting Proceedings, Release No. 34-77467
,
Finality Order, Release No. 34-78255
File Number:
3-17185
|
Date: |
Respondents:
Release No.
1008
File Number:
3-16937
|
Date: |
Respondents:
Release No.
1009
See Also:
Order Instituting Proceedings, Release No. 34-77326
,
Finality Order, Release No. 34-78257
File Number:
3-17160
|
Date: |
Respondents:
Release No.
1010
See Also:
Order Instituting Proceedings, Release No. 34-77544
,
Finality Order, Release No. 34-78256
File Number:
3-17202
|
Date: |
Respondents:
Release No.
1007
See Also:
Order Instituting Proceedings, Release No. 34-77496
,
Finality Order, Release No. 34-78190
File Number:
3-17191
|
Date: |
Respondents:
Release No.
1006
File Number:
3-16893
|
Date: |
Respondents:
Release No.
1005
File Number:
3-16755
|
Date: |
Respondents:
Release No.
1003
See Also:
Order Instituting Proceedings, Release No. 34-77397
,
Finality Order, Release No. 34-78072
File Number:
3-17175
|
Date: |
Respondents:
Release No.
1004
File Number:
3-16795
|
Date: |
Respondents:
Release No.
1001
See Also:
Order Instituting Proceedings, Release No. 34-76866
,
Finality Order, Release No. 34-77998
File Number:
3-17043
|
Date: |
Respondents:
Release No.
1002
See Also:
Order Instituting Proceedings, Release No. 34-77260
,
Finality Order, Release No. 34-77999
File Number:
3-17144
|
Date: |
Respondents:
Release No.
1000
See Also:
Order Instituting Proceedings, Release No. 34-76057
,
Finality Order, Release No. 34-78071
File Number:
3-16876
|
Date: |
Respondents:
Release No.
999
See Also:
Order Instituting Proceedings, Release No. 34-77167
,
Finality Order, Release No. 34-77986
File Number:
3-17123
|
Date: |
Respondents:
Release No.
998
See Also:
Order Instituting Proceedings, Release No. 34-77278
,
Finality Order, Release No. 34-77987
File Number:
3-17151
|
Date: |
Respondents:
Release No.
997
See Also:
Order Instituting Proceedings, Release No. 34-77102
,
Finality Order, Release No. 34-77939
File Number:
3-17110
|
Date: |
Respondents:
Release No.
995
See Also:
Order Instituting Proceedings, Release No. 34-77273
,
Finality Order, Release No. 34-77940
File Number:
3-17149
|
Date: |
Respondents:
Release No.
996
See Also:
Order Instituting Proceedings, Release No. 34-75572
,
Finality Order, Release No. 34-77937
File Number:
3-16712
|
Date: |
Respondents:
Release No.
992
See Also:
Order Instituting Proceedings, Release No. 34-77237
,
Finality Order, Release No. 34-77900
File Number:
3-17135
|
Date: |
Respondents:
Release No.
993
File Number:
3-16943
|
Date: |
Respondents:
Release No.
994
File Number:
3-16914
|
Date: |
Respondents:
Release No.
991
See Also:
Order Instituting Proceedings, Release No. 34-77238
,
Finality Order, Release No. 34-77864
File Number:
3-17136
|
Date: |
Respondents:
Release No.
989
See Also:
Order Instituting Proceedings, Release No. 34-77135
,
Finality Order, Release No. 34-77865
File Number:
3-17116
|
Date: |
Respondents:
Release No.
990
See Also:
Order Instituting Proceedings, Release No. 34-75954
,
Finality Order, Release No. 34-77863
File Number:
3-16824
|
Date: |
Respondents:
Release No.
987
See Also:
Order Instituting Proceedings, Release No. IA-4115
,
Order Dismissing Untimely Petition for Review, Release No. IA-4482
File Number:
3-16590
|
Date: |
Respondents:
Release No.
988
See Also:
Order Instituting Proceedings, Release No. 34-77166
,
Finality Order, Release No. 34-77834
File Number:
3-17122
|
Date: |
Respondents:
Release No.
986
See Also:
Order Instituting Proceedings, Release No. 34-75268
,
Finality Order, Release No. 34-77824
File Number:
3-16647
|
Date: |
Respondents:
Release No.
982
See Also:
Order Instituting Proceedings, Release No. 34-77132
,
Finality Order, Release No. 34-77767
File Number:
3-17113
|
Date: |
Respondents:
Release No.
983
See Also:
Order Instituting Proceedings, Release No. 34-76751
,
Finality Order, Release No. 34-77827
File Number:
3-17026
|
Date: |
Respondents:
Release No.
984
See Also:
Order Instituting Proceedings, Release No. 34-77133
,
Finality Order, Release No. 34-77828
File Number:
3-17114
|
Date: |
Respondents:
Release No.
985
File Number:
3-15215
|
Date: |
Respondents:
Release No.
981
See Also:
Order Instituting Proceedings, Release No. 34-77010
,
Finality Order, Release No. 34-77763
File Number:
3-17081
|
Date: |
Respondents:
Release No.
980
File Number:
3-16552
|
Date: |
Respondents:
Release No.
979
See Also:
Order Instituting Proceedings, Release No. 34-75880
,
Finality Order, Release No. 34-77731
File Number:
3-16803
|
Date: |
Respondents:
Release No.
978
See Also:
Order Instituting Proceedings, Release No. 34-77061
,
Finality Order, Release No. 34-77700
File Number:
3-17103
|
Date: |
Respondents:
Release No.
977
See Also:
Order Instituting Proceedings, Release No. 34-77011
,
Finality Order, Release No. 34-77685
File Number:
3-17082
|
Date: |
Respondents:
Release No.
975
See Also:
Order Instituting Proceedings, Release No. 34-76962
,
Finality Order, Release No. 34-77684
File Number:
3-17064
|
Date: |
Respondents:
Release No.
976
See Also:
Order Instituting Proceedings, Release No. 34-72185
,
Finality Order, Release No. 34-77732
File Number:
3-15873
|
Date: |
Respondents:
Release No.
974
See Also:
Order Instituting Proceedings, Release No. 34-77060
,
Finality Order, Release No. 34-77686
File Number:
3-17102
|
Date: |
Respondents:
Release No.
973
File Number:
3-15967
|
Date: |
Respondents:
Release No.
968
See Also:
Order Instituting Proceedings, Release No. 34-76987
,
Finality Order, Release No. 34-77656
File Number:
3-17073
|
Date: |
Respondents:
Release No.
969
See Also:
Order Instituting Proceedings, Release No. 34-76988
,
Finality Order, Release No. 34-77666
File Number:
3-17074
|
Date: |
Respondents:
Release No.
970
See Also:
Order Instituting Proceedings, Release No. 34-76940
,
Finality Order, Release No. 34-77668
File Number:
3-17061
|
Date: |
Respondents:
Release No.
971
See Also:
Order Instituting Proceedings, Release No. 34-76243
,
Finality Order, Release No. 34-77664
File Number:
3-16917
|
Date: |
Respondents:
Release No.
972
See Also:
Order Instituting Proceedings, Release No. 34-76964
,
Finality Order, Release No. 34-77667
File Number:
3-17065
|
Date: |
Respondents:
Release No.
967
See Also:
Order Instituting Proceedings, Release No. 34-75652
,
Finality Order, Release No. 34-77655
File Number:
3-16734
|
Date: |
Respondents:
Release No.
966
File Number:
3-17011
|
Date: |
Respondents:
Release No.
965
See Also:
Order Instituting Proceedings, Release No. 34-76951
,
Finality Order, Release No. 34-77627
File Number:
3-17063
|
Date: |
Respondents:
Release No.
963
See Also:
Order Instituting Proceedings, Release No. 34-76861
,
Finality Order, Release No. 34-77616
File Number:
3-17042
|
Date: |
Respondents:
Release No.
964
See Also:
Order Instituting Proceedings, Release No. 34-76846
,
Finality Order, Release No. 34-77615
File Number:
3-17038
|
Date: |
Respondents:
Release No.
962
File Number:
3-15815
|
Date: |
Respondents:
Release No.
959
File Number:
3-16668
|
Date: |
Respondents:
Release No.
960
See Also:
Order Instituting Proceedings, Release No. 34-76872
,
Finality Order, Release No. 34-77563
File Number:
3-17044
|
Date: |
Respondents:
Release No.
961
See Also:
Order Instituting Proceedings, Release No. 34-76791
,
Finality Order, Release No. 34-77562
File Number:
3-17030
|
Date: |
Respondents:
Release No.
957
See Also:
Order Instituting Proceedings, Release No. 34-76847
,
Finality Order, Release No. 34-77560
File Number:
3-17039
|
Date: |
Respondents:
Release No.
958
File Number:
3-16498
|
Date: |
Respondents:
Release No.
954
See Also:
Order Instituting Proceedings, Release No. 34-76747
,
Finality Order, Release No. 34-77533
File Number:
3-17025
|
Date: |
Respondents:
Release No.
955
File Number:
3-17010
|
Date: |
Respondents:
Release No.
956
See Also:
Order Instituting Proceedings, Release No. 34-76583
,
Finality Order, Release No. 34-77534
File Number:
3-16991
|
Date: |
Respondents:
Release No.
953
File Number:
3-16318
|
Date: |
Respondents:
Release No.
952
See Also:
Order Instituting Proceedings, Release No. 34-76728
,
Finality Order, Release No. 34-77515
File Number:
3-17015
|
Date: |
Respondents:
Release No.
949
See Also:
Order Instituting Proceedings, Release No. 34-76726
,
Finality Order, Release No. 34-77514
File Number:
3-17014
|
Date: |
Respondents:
Release No.
950
See Also:
Order Instituting Proceedings, Release No. 34-76794
,
Finality Order, Release No. 34-77471
File Number:
3-17032
|
Date: |
Respondents:
Release No.
951
See Also:
Order Instituting Proceedings, Release No. 34-73138
,
Finality Order, Release No. 34-77472
File Number:
3-16136
|
Date: |
Respondents:
Release No.
948
See Also:
Order Instituting Proceedings, Release No. 34-76783
,
Finality Order, Release No. 34-77422
File Number:
3-17028
|
Date: |
Respondents:
Release No.
947
See Also:
Order Instituting Proceedings, Release No. 34-76561
,
Finality Order, Release No. 34-77423
File Number:
3-16980
|
Date: |
Respondents:
Release No.
946
See Also:
Order Instituting Proceedings, Release No. 34-76735
,
Finality Order, Release No. 34-77421
File Number:
3-17019
|
Date: |
Respondents:
Release No.
945
See Also:
Order Instituting Proceedings, Release No. 34-74869
,
Finality Order, Release No. 34-77377
File Number:
3-16525
|
Date: |
Respondents:
Release No.
944
See Also:
Order Instituting Proceedings, Release No. 34-76582
,
Finality Order, Release No. 34-77376
File Number:
3-16990
|
Date: |
Respondents:
Release No.
942
See Also:
Order Instituting Proceedings, Release No. 34-76680
,
Finality Order, Release No. 34-77315
File Number:
3-17007
|
Date: |
Respondents:
Release No.
943
See Also:
Order Instituting Proceedings, Release No. 34-76679
,
Finality Order, Release No. 34-77314
File Number:
3-17006
|
Date: |
Respondents:
Release No.
940
See Also:
Order Instituting Proceedings, Release No. 34-76560
,
Finality Order, Release No. 34-77250
File Number:
3-16979
|
Date: |
Respondents:
Release No.
941
File Number:
3-16311
|
Date: |
Respondents:
Release No.
939
See Also:
Order Instituting Proceedings, Release No. 34-74350
,
Finality Order, Release No. 34-77248
File Number:
3-16399
|
Date: |
Respondents:
Release No.
935
File Number:
3-16354
|
Date: |
Respondents:
Release No.
936
File Number:
3-16354
|
Date: |
Respondents:
Release No.
937
File Number:
3-16354
|
Date: |
Respondents:
Release No.
938
See Also:
Order Instituting Proceedings, Release No. 34-76448
,
Finality Order, Release No. 34-77219
File Number:
3-16962
|
Date: |
Respondents:
Release No.
934
See Also:
Order Instituting Proceedings, Release No. 34-76378
,
Finality Order, Release No. 34-77151
File Number:
3-16947
|
Date: |
Respondents:
Release No.
933
See Also:
Order Instituting Proceedings, Release No. 34-76476
,
Finality Order, Release No. 34-77138
File Number:
3-16965
|
Date: |
Respondents:
Release No.
932
See Also:
Order Instituting Proceedings, Release No. 34-76426
,
Finality Order, Release No. 34-77139
File Number:
3-16954
|
Date: |
Respondents:
Release No.
931
See Also:
Order Instituting Proceedings, Release No. 34-76404
,
Finality Order, Release No. 34-77100
File Number:
3-16953
|
Date: |
Respondents:
Release No.
929
File Number:
3-16202
|
Date: |
Respondents:
Release No.
930
File Number:
3-16386
|
Date: |
Respondents:
Release No.
927
See Also:
Order Instituting Proceedings, Release No. 34-76315
,
Finality Order, Release No. 34-77013
File Number:
3-16935
|
Date: |
Respondents:
Release No.
928
See Also:
Order Instituting Proceedings, Release No. 34-76337
,
Finality Order, Release No. 34-77012
File Number:
3-16940
|
Date: |
Respondents: The Jenex Corp. Orgral Technologies Corp. Professional Services Network, Inc. UBX Technologies, Inc.
Release No.
925
See Also:
Order Instituting Proceedings, Release No. 34-76253
,
Finality Order, Release No. 34-76942
File Number:
3-16921
|
Date: |
Respondents:
Release No.
926
See Also:
Order Instituting Proceedings, Release No. 34-75675
,
Finality Order, Release No. 34-76943
File Number:
3-16745
|
Date: |
Respondents:
Release No.
922
See Also:
Order Instituting Proceedings, Release No. 34-76358
,
Finality Order, Release No. 34-76925
File Number:
3-16942
|
Date: |
Respondents:
Release No.
923
See Also:
Order Instituting Proceedings, Release No. 34-76279
,
Finality Order, Release No. 34-76926
File Number:
3-16928
|
Date: |
Respondents:
Release No.
924
See Also:
Order Instituting Proceedings, Release No. 34-76252
,
Finality Order, Release No. 34-76941
File Number:
3-16920
|
Date: |
Respondents:
Release No.
921
See Also:
Order Instituting Proceedings, Release No. 34-74393
,
Finality Order, Release No. 34-76924
File Number:
3-16411
|
Date: |
Respondents:
Release No.
920
File Number:
3-16706
|
Date: |
Respondents:
Release No.
919
File Number:
3-16353
|
Date: |
Respondents:
Release No.
918
See Also:
Order Instituting Proceedings, Release No. 34-76169
,
Finality Order, Release No. 34-76919
File Number:
3-16906
|
Date: |
Respondents:
Release No.
917
See Also:
Order Instituting Proceedings, Release No. 34-76171
,
Finality Order, Release No. 34-76918
File Number:
3-16907
|
Date: |
Respondents:
Release No.
916
See Also:
Order Instituting Proceedings, Release No. 34-76089
,
Finality Order, Release No. 34-76805
File Number:
3-16885
|