ALJ Orders

During enforcement proceedings assigned to one of the SEC's administrative law judges (ALJs), a judge may issue orders to schedule hearings, rule on motions or the admissibility of evidence, or otherwise communicate information to the parties involved.

View orders arranged by date below.

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Date Sort ascending	Respondents
Oct. 13, 2004	Piranha, Inc. Release No. 3-11629 File Number: 3-11629
Oct. 8, 2004	James F. Glaza, d/b/a FalconFinancial Services, Inc. Release No. 3-11012
Oct. 6, 2004	Kenneth A. Orr Release No. 3-11650
Sept. 23, 2004	John A. Carley, Mark N. Dohlen, Eugene C. Geiger, Paul A. Giles, Roy E. Gould, Thomas A Kaufmann, Alfred Peeper, Edward H. Price, Christopher H. Zacharias, Le Fond Mondial D'Investissement S.A., and Spencer Edwards, Inc. Release No. 3-11626
Sept. 22, 2004	EVTC, Inc. Release No. 3-11560 File Number: 3-11560
Sept. 17, 2004	American Electric Power Company, Inc. Release No. 3-11616
Sept. 14, 2004	Richard S. Kern, Donald R. Kern, and Charles Wilkins Release No. 3-11537
Sept. 13, 2004	Stan Lee Media, Inc. Release No. 3-11584 File Number: 3-11584
Aug. 31, 2004	Rita J. McConville, and Kevin M. Harris, C.P.A. Release No. 3-11330
Aug. 30, 2004	Dominique S. Alvieri Release No. 3-11567 File Number: 3-11567
Aug. 26, 2004	Alnoor Jiwan Release No. 3-11553 File Number: 3-11553
Aug. 24, 2004	Dale Carone Release No. 3-11543 File Number: 3-11543
Aug. 20, 2004	Hunter Adams, Gregg Adams, Alan Berkun, Robert Lisnoff, James L. Bila, Leonard Bila, Christian Blake, Brian Carroll, Joseph Digirolamo, and Joseph Mannino Release No. 3-10624
Aug. 9, 2004	IFG Network Securities, Inc., Willlam Kissinger, Kissinger Advisory, Inc., Bert Miller, Glenn Wilkinson, and David Ledbetter Release No. 3-11179
Aug. 9, 2004	Richard S. Kern, Donald R. Kern, and Charles Wilkins Release No. 3-11537
Aug. 5, 2004	Richard S. Kern and Charles Wilkins James T. Kelly, Administrative Law Judge Release No. 3-11537 File Number: 3-11537
Aug. 4, 2004	Keith M. Roberts Release No. 3-11471
July 27, 2004	Steven E. Muth, Richard J. Rouse, and Bruce J. Bates Release No. 3-11346
July 23, 2004	Public Finance Consultants, Inc., Robert D. Fowler, Dolphin and Bradbury Incorporated, and Robert J. Bradbury Release No. 3-11465
July 20, 2004	Cary R. Kahn Release No. 3-11468
July 19, 2004	Public Finance Consultants, Inc., Robert D. Fowler, Dolphin and Bradbury Incorporated, and Robert J. Bradbury Release No. 3-11465
July 15, 2004	Ocumed Group, Inc. Release No. 3-11501
July 14, 2004	Keith M. Roberts Release No. 3-11471
July 9, 2004	Larry A. Stockett Release No. 3-11491
July 7, 2004	Ira Weiss and L. Andrew Shupe II Release No. 3-11462
July 7, 2004	Ocumed Group, Inc. Release No. 3-11501 File Number: 3-11501
July 6, 2004	Currency Trading International, Inc., Craig A. Cunningham, James R. Kelsall, and Christian J. Weber Release No. 3-11503
June 17, 2004	Steven Ingrassia and Slava Volman Release No. 3-11487
June 9, 2004	CDH & Affiliates, Inc. and C. David Hallman Release No. 3-11463 File Number: 3-11463
June 8, 2004	Public Finance Consultants, Inc., Robert D. Fowler, Dolphin and Bradbury Incorporated, and Robert J. Bradbury Release No. 3-11465
June 7, 2004	Rhino Ecosystems, Inc Release No. 3-11420 File Number: 3-11420
June 4, 2004	Steven Ingrassia and Slava Volman Release No. 3-11487
June 3, 2004	Uncommon Media Group, Inc. Release No. 3-11443 File Number: 3-11443
May 28, 2004	Hunter Adams, Jason A. Cohen, Steven M. Cohen, David Hirsch, Jonathan D. Winston, John J. Gremmo, III, James L. Bila, Christian W. Blake, Louis R. Facchini, Jr., Roberto A. Mangiarano, Joseph P. Mannino, David M. Margules, James J. Pellizzi, David M. Pesso, Michael Pugliese, Christopher J. Russo, Howard I. Weinstein, and Robert J. Winston Release No. 3-11437
May 27, 2004	Michael Boston Release No. 3-11459 File Number: 3-11459
May 27, 2004	Public Finance Consultants, Inc., Robert D. Fowler, Dolphin and Bradbury Incorporated, and Robert J. Bradbury Release No. 3-11465
May 24, 2004	Frank D. Gruttadauria Release No. 3-11460 File Number: 3-11460
May 19, 2004	John F. Turant, Jr. Other No.: IA-2238 Release No. 3-11403 File Number: 3-11403
May 18, 2004	Robert Cournoyer Release No. 3-11442 File Number: 3-11442
May 12, 2004	Edward Becker Release No. 3-11367
May 10, 2004	Paul Wayne Mason (a/k/a Louis Ronnie Sarpy), Kristin Luck Emery, and Laurence Mark Anderson (a/k/a Ron Laurence) Release No. 3-11361 File Number: 3-11361
May 3, 2004	Steven E. Muth, Richard J. Rouse, and Bruce J. Bates Release No. 3-11346
April 29, 2004	Robert Cournoyer Release No. 3-11442
April 19, 2004	Joseph Petrolino and Eric Siversen Release No. 3-11433 File Number: 3-11433
April 16, 2004	Michael Garian, a/k/a Melkon Gharakhanian, a/k/a Bika Balian Release No. 3-11432 File Number: 3-11432
April 14, 2004	Harrison Securities, Inc., Frederick C. Blumer, and Nebrissa Song Release No. 3-11084
April 8, 2004	Edward Becker Release No. 3-11367
April 7, 2004	Rhino Ecosystems, Inc. Release No. 3-11420
April 7, 2004	Putnman Investment Management, LLC Release No. 3-11317
April 4, 2004	Paul Wayne Mason (a/k/a Louis Ronnie Sarpy), Kristin Luck Emery, and Laurence Mark Anderson (a/k/a Ron Laurence) Release No. 3-11361 File Number: 3-11361
March 31, 2004	Putnman Investment Management, LLC Release No. 3-11317
March 31, 2004	Rhino Ecosystems, Inc. Release No. 3-11420
March 30, 2004	Paul Wayne Mason (a/k/a Louis Ronnie Sarpy), Kristin Luck Emery, and Laurence Mark Anderson (a/k/a Ron Laurence) Release No. 3-11361 File Number: 3-11361
March 30, 2004	Mark Deyak Release No. 3-11385
March 26, 2004	Putnman Investment Management, LLC Release No. 3-11317
March 25, 2004	Harrison Securities, Inc., Frederick C. Blumer, and Nebrissa Song Release No. 3-11084
March 23, 2004	Putnman Investment Management, LLC Release No. 3-11317
March 18, 2004	Putnman Investment Management, LLC Release No. 3-11317
March 18, 2004	Steven E. Muth, Richard J. Rouse, and Bruce J. Bates Release No. 3-11346
March 17, 2004	Rita J. McConville, and Kevin M. Harris, C.P.A. Release No. 3-11330
March 8, 2004	Rita J. McConville, and Kevin M. Harris, C.P.A. Release No. 3-11330
March 4, 2004	Bruce Follick, Salvatore Tavolacci, Donald Brooks, Karl Donovan, Aaron Sandstrom, and Derek Shapiro Release No. 3-11343
March 4, 2004	Edward Becker Release No. 3-11367
March 4, 2004	Paul A. Flynn Release No. 3-11390
March 3, 2004	Lorsin, Inc., Loretta M. Lockhart, Craig K. Hjalmarson, Russell Management, Inc., George R. Siembida, Harold Engel, Jr., Microcap Marketing, Inc., and Shane M. Nelson Release No. 3-11310
March 3, 2004	Putnman Investment Management, LLC Release No. 3-11317
Feb. 27, 2004	Paul W. Mason (a/k/a Louis R. Sarpy), Kristin L. Emery, and Laurence M. Anderson (a/k/a Ron Laurence) Release No. 3-11361
Feb. 26, 2004	Luis F. Lorie Release No. 3-11355
Feb. 24, 2004	Harrison Securities, Inc., Frederick C. Blumer, and Nebrissa Song Release No. 3-11084
Feb. 18, 2004	Valentin Fernandez, Juan Fernandez, Daniel J. Phillips, Matthew D. Stone and Haskell P. Stone Release No. 3-11347
Feb. 17, 2004	Paul A. Barrios III And Dennis P. O'Connell, Jr. Release No. 3-11319 File Number: 3-11319
Feb. 17, 2004	Grant Thornton LLP, Doeren Mayhew & Co. P.C., Peter M . Behrens, CPA, Marvin J. Morris, CPA, and Benedict P. Rybicki, CPA Release No. 3-11377
Feb. 13, 2004	Gregg Becker Release No. 3-11366 File Number: 3-11366
Feb. 3, 2004	Paul Joseph Sheehan dba Paul J. Sheehan & Associates Release No. 3-11365 File Number: 3-11365
Feb. 2, 2004	Valentin Fernandez, Juan Fernandez, Daniel J. Phillips, Matthew D. Stone and Haskell P. Stone Release No. 3-11347 File Number: 3-11347
Jan. 28, 2004	Gregg Becker Release No. 3-11366
Jan. 28, 2004	Edward Becker Release No. 3-11367
Jan. 28, 2004	Michael Batterman and Randall B. Batterman III Release No. 3-11259
Jan. 21, 2004	Steven E. Muth, Richard J. Rouse, and Bruce J. Bates Release No. 3-11346
Jan. 16, 2004	Putnman Investment Management, LLC Release No. 3-11317
Jan. 12, 2004	Michael Batterman and Randall B. Batterman III Release No. 3-11259
Jan. 9, 2004	Harrison Securities, Inc., Frederick C. Blumer, and Nebrissa Song Release No. 3-11084
Jan. 7, 2004	Michael B. Rawdin, Hard Asset Management, Inc., and David Cohen Release No. 3-11234
Jan. 6, 2004	Harrison Securities, Inc., Frederick C. Blumer, and Nebrissa Song Release No. 3-11084
Dec. 24, 2003	Rita J. McConville and Kevin M. Harris, C.P.A. Release No. 3-11330
Dec. 18, 2003	Harrison Securities, Inc., Frederick C. Blumer, and Nebrissa Song Release No. 3-11084
Dec. 17, 2003	Rita J. McConville and Kevin M. Harris, C.P.A. Release No. 3-11330
Dec. 8, 2003	Rita J. McConville and Kevin M. Harris, C.P.A. Release No. 3-11330
Dec. 4, 2003	Shane Ferras Release No. 3-11283 File Number: 3-11283
Dec. 3, 2003	Putnam Investment Management, LLC Release No. 3-11317
Nov. 25, 2003	Hunter Adams, et al. Release No. 3-10624
Nov. 24, 2003	Pattinson Hayton Release No. 3-11063
Nov. 18, 2003	Nevis Capital Management, LLC, David R. Wilmerding, III, and Jon C. Baker Release No. 3-11201
Nov. 18, 2003	Nevis Capital Management, LLC, David R. Wilmerding, III, and Jon C. Baker Release No. 3-11201
Nov. 14, 2003	Philip L. Pascale, CPA Release No. 3-11194
Nov. 10, 2003	Nevis Capital Management, LLC, David R. Wilmerding, III, and Jon C. Baker Release No. 3-11201
Nov. 6, 2003	Wendell D. Belden Release No. 3-11213 File Number: 3-11213
Nov. 5, 2003	Darius L. Lee Release No. 3-11210
Oct. 30, 2003	Michael Batterman and Randall B. Batterman, III Release No. 3-11259
Oct. 22, 2003	IFG Network Securities, Inc. Release No. 3-11179

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