ALJ Orders: Administrative Law Judges

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	Respondents
Date: Dec. 7, 2017	Respondents: Nadel, Warren D. Release No. AP-5330 File Number: 3-17883
Date: Dec. 7, 2017	Respondents: KollagenX Corp. Microlin Bio, Inc. Vaccinogen, Inc. Virtus Oil and Gas Corp. Release No. AP-5331 File Number: 3-18207
Date: Dec. 7, 2017	Respondents: Bohai Pharmaceuticals Group Inc. Release No. AP-5332 File Number: 3-18151
Date: Dec. 7, 2017	Respondents: China Du Kang Co., Ltd. Release No. AP-5333 File Number: 3-18106
Date: Dec. 7, 2017	Respondents: Axiom Oil & Gas Corp. GEI Global Energy Corp. Ironwood Gold Corp. Surge Global Energy, Inc. Release No. AP-5334 File Number: 3-18096
Date: Dec. 7, 2017	Respondents: Aja Cannafacturing, Inc. Montalvo Spirits, Inc. Sanook Enterprises, Inc. (n/k/a Applife Digital, Inc.) Spire Technologies, Inc. Release No. AP-5335 File Number: 3-18078
Date: Dec. 6, 2017	Respondents: China Precision Steel, Inc. Golden River Resources Corp. Release No. AP-5276 File Number: 3-18152
Date: Dec. 6, 2017	Respondents: Baker, Robert L. Herrera, Jacob B. Bowen, Michael D. Ballard, Terrence A. Release No. AP-5277 File Number: 3-17716
Date: Dec. 6, 2017	Respondents: Delaney Equity Group LLC Delaney, David C. Kass, Ian C. Release No. AP-5278 File Number: 3-17398
Date: Dec. 6, 2017	Respondents: Smith, Jeffrey D. Carswell, Joseph Fullard, Michael W. Release No. AP-5279 File Number: 3-18271
Date: Dec. 6, 2017	Respondents: Lloyd, Paul Edward "Ed", Jr., CPA Release No. AP-5280 File Number: 3-16182
Date: Dec. 6, 2017	Respondents: RD Legal Capital, LLC Dersovitz, Roni Release No. AP-5281 File Number: 3-17342
Date: Dec. 6, 2017	Respondents: Vitale, Joseph Release No. AP-5282 File Number: 3-18252
Date: Dec. 6, 2017	Respondents: Digital Brand Media & Marketing Group, Inc. Intellicell Biosciences, Inc. Release No. AP-5283 File Number: 3-17990
Date: Dec. 6, 2017	Respondents: Neman, Shervin Neman Financial, Inc. Release No. AP-5284 File Number: 3-17699
Date: Dec. 6, 2017	Respondents: Hall, David S., P.C. d/b/a the Hall Group CPAs Hall, David S., CPA Cochran, Michelle L. Helterbran, CPA Cisneros, Susan A. Release No. AP-5285 File Number: 3-17228
Date: Dec. 6, 2017	Respondents: Energy Edge Technologies Corp. Focus Gold Corp. New York Sub Co. Release No. AP-5286 File Number: 3-18038
Date: Dec. 6, 2017	Respondents: American-Swiss Capital, Inc. Aquilarts, Inc. Avalon Holding Group, Inc. Broadstreet Power, Inc. (f/k/a Summer Valley Acquisition Corp.) Release No. AP-5287 File Number: 3-18156
Date: Dec. 6, 2017	Respondents: Cardinal Resources, Inc. StationDigital Corp. Release No. AP-5288 File Number: 3-18004
Date: Dec. 6, 2017	Respondents: Kon, Alexander Release No. AP-5289 File Number: 3-17674
Date: Dec. 6, 2017	Respondents: Neurologix, Inc. Organic Alliance, Inc. Zinco do Brasil, Inc. Release No. AP-5290 File Number: 3-18180
Date: Dec. 6, 2017	Respondents: GL Capital Partners, LLC, GL Investment Services, LLC Release No. AP-5291 File Number: 3-17818, 3-17819
Date: Dec. 6, 2017	Respondents: Penny Auction Solutions, Inc. Sebring Software, Inc. Studio II Brands, Inc. Release No. AP-5292 File Number: 3-18202
Date: Dec. 6, 2017	Respondents: Briner, John, Esq. Dalmy, Diane. Esq. De Joya Griffith, LLC De Joya, Arthur, CPA Griffith, Jason, CPA Whetman, Chris, CPA Zhang, Philip, CPA M&K CPAs, PLLC Manis, Matt, CPA Ridenour, Jon, CPA Ortego, Ben, CPA Release No. AP-5293 File Number: 3-16339
Date: Dec. 6, 2017	Respondents: E-Waste Systems, Inc. Release No. AP-5294 File Number: 3-18107
Date: Dec. 6, 2017	Respondents: Ibex Advanced Mortgage Technology, Inc. Release No. AP-5295 File Number: 3-18047
Date: Dec. 6, 2017	Respondents: BioElectronics Corp. IBEX, LLC St. John's, LLC Whelan, Andrew J. Whelan Kelly A., CPA Bedwell, Robert P., CPA Release No. AP-5296 File Number: 3-17104
Date: Dec. 6, 2017	Respondents: Angel Oak Capital Partners, LLC Peraza Capital and Investment, LLC Prabhu, Sreeniwas Wells, David W. Release No. AP-5297 File Number: 3-17849
Date: Dec. 6, 2017	Respondents: Bebo, Laurie Buono, John, CPA Release No. AP-5298 File Number: 3-16293
Date: Dec. 6, 2017	Respondents: Lloyd, Paul Edward "Ed", Jr., CPA Release No. AP-5299 File Number: 3-16182
Date: Dec. 6, 2017	Respondents: Crow, Michael W. Clug, Alexandre S. Aurum Mining, LLC Panam Terra, Inc. the Corsair Group, Inc. Release No. AP-5300 File Number: 3-16318
Date: Dec. 5, 2017	Respondents: ANV Security Group, Inc. Release No. AP-5256 File Number: 3-18176
Date: Dec. 5, 2017	Respondents: Saving2Retire, LLC Young, Marian P. Release No. AP-5257 File Number: 3-17352
Date: Dec. 5, 2017	Respondents: Black Diamond Asset Management LLC Wilson, Robert Release No. AP-5258 File Number: 3-18099
Date: Dec. 5, 2017	Respondents: Baccam, Patric Ken a/k/a Khanh Sengpraseuth Release No. AP-5259 File Number: 3-18276
Date: Dec. 5, 2017	Respondents: African Copper Corp. Genmed Holding Corp. Yanglin Soybean, Inc. Release No. AP-5260 File Number: 3-16965
Date: Dec. 5, 2017	Respondents: Prospect Ventures, Inc. StarNet Pacific Co. Ltd. Sunburst Acquisitions V, Inc. Sunburst Acquisitions VI, Inc. Release No. AP-5261 File Number: 3-17945
Date: Dec. 5, 2017	Respondents: Altovida Inc. Aurora Gold Corporation Auxillium Energy, Inc. Silver Falcon Mining, Inc. Release No. AP-5262 File Number: 3-18104
Date: Dec. 5, 2017	Respondents: Hampshire Group, Limited United Mortgage Trust, Inc. Zoom Companies, Inc. Release No. AP-5263 File Number: 3-18201
Date: Dec. 5, 2017	Respondents: Fox, Joseph J. Release No. AP-5264 File Number: 3-16795
Date: Dec. 5, 2017	Respondents: Winkelmann, James A. Sr. Blue Ocean Portfolios, LLC Release No. AP-5265 File Number: 3-17253
Date: Dec. 5, 2017	Respondents: Shkreli, Martin Release No. AP-5266 File Number: 3-18127
Date: Dec. 5, 2017	Respondents: China Biopharma, Inc. China Linen Textile Industry, Ltd. China Water Group, Inc. Scout Exploration, Inc. Teryl Resources Corp. Release No. AP-5267 File Number: 3-17886
Date: Dec. 5, 2017	Respondents: Next Galaxy Corp. Novamex Energy, Inc. Occidental Development Group, Inc. Sable Natural Resources Corporation. Release No. AP-5268 File Number: 3-18219
Date: Dec. 5, 2017	Respondents: Can-Cal Resources Ltd. China Fruits Corp. Skystar Bio-Pharmaceutical Co. Release No. AP-5269 File Number: 3-18017
Date: Dec. 5, 2017	Respondents: Penn, Lawrence E., III Release No. AP-5270 File Number: 3-18288
Date: Dec. 5, 2017	Respondents: New Western Energy Corp. Preferred Restaurant Brands, Inc. Primco Management, Inc. Release No. AP-5271 File Number: 3-18007
Date: Dec. 5, 2017	Respondents: American Magna Corp. Bioneutral Group, Inc. Livingventures, Inc. Oryon Technologies, Inc. Release No. AP-5272 File Number: 3-18105
Date: Dec. 5, 2017	Respondents: China Hefeng Rescue Equipment, Inc. Greenworld Development, Inc. Mountain National Bancshares, Inc. UCP Holdings, Inc. Release No. AP-5273 File Number: 3-18179
Date: Dec. 5, 2017	Respondents: ARX Gold Corporation Release No. AP-5274 File Number: 3-18185
Date: Dec. 5, 2017	Respondents: Griffin, James P. Release No. AP-5275 File Number: 3-17848
Date: Dec. 4, 2017	Respondents: John Thomas Capital Management Group LLC, d/b/a Patriot28 LLC Jarkesy, George R., Jr. John Thomas Financial, Inc. Belesis, Anastasios "Tommy" Release No. AP-5247 See Also: Exhibit A , and Exhibit B File Number: 3-15255
Date: Dec. 4, 2017	Respondents: Harris, Talman, Alfaya, Victor Release No. AP-5248 File Number: 3-17874, 3-17875
Date: Dec. 4, 2017	Respondents: Reyftmann, Gregory Release No. AP-5249 File Number: 3-17959
Date: Dec. 4, 2017	Respondents: Aegis Capital, LLC Circle One Wealth Management, LLC Lamm, Diane W. Strategic Consulting Advisors, LLC Osunkwo, David I. Release No. AP-5250 File Number: 3-16463
Date: Dec. 4, 2017	Respondents: Pruitt, David, CPA Release No. AP-5251 File Number: 3-17950
Date: Dec. 4, 2017	Respondents: Cibolan Gold Corporation Medbook World Inc. Pacific Gold Corp. Sungame Corporation (n/k/a Freevi Corp.) Release No. AP-5252 File Number: 3-18077
Date: Dec. 4, 2017	Respondents: Mackenzie Taylor Minerals, Inc. Raptor Resources Holdings, Inc. Shoshone Silver Gold Mining Co. VR Holdings, Inc. Release No. AP-5253 File Number: 3-18149
Date: Dec. 4, 2017	Respondents: Hall Tees, Inc. Hosokawa Micron International, Inc. James River Coal Company Napa Sonoma Group Inc. (f/k/a Andes 1, Inc.) Self Change Corporation Release No. AP-5254 File Number: 3-18155
Date: Dec. 4, 2017	Respondents: Zufelt, Anthony C. Release No. AP-5255 File Number: 3-17907
Date: Nov. 30, 2017	Respondents: Reyes, Gerardo E. Release No. AP-5245 File Number: 3-18126
Date: Nov. 30, 2017	Respondents: Black Diamond Asset Management LLC Wilson, Robert Release No. AP-5246 File Number: 3-18099
Date: Nov. 29, 2017	Respondents: Lynch, John T., Jr. Release No. AP-5242 File Number: 3-17902
Date: Nov. 29, 2017	Respondents: Shkreli, Martin Release No. AP-5243 File Number: 3-18127
Date: Nov. 29, 2017	Respondents: Feng, Hui Law Offices of Feng & Associates, P.C. Release No. AP-5244 File Number: 3-18209
Date: Nov. 28, 2017	Respondents: Reyes, Gerardo E. Release No. AP-5240 File Number: 3-18126
Date: Nov. 28, 2017	Respondents: Yin, Gary Release No. AP-5241 File Number: 3-18165
Date: Nov. 27, 2017	Respondents: Herman, Rosalind Release No. AP-5239 File Number: 3-17828
Date: Nov. 20, 2017	Respondents: Smith, Jeffrey D. Carswell, Joseph Fullard, Michael W. Release No. AP-5234 File Number: 3-18271
Date: Nov. 20, 2017	Respondents: Baccam, Patric Ken a/k/a Khanh Sengpraseuth Release No. AP-5235 File Number: 3-18276
Date: Nov. 20, 2017	Respondents: Stitt, Andrew Release No. AP-5236 File Number: 3-17621
Date: Nov. 20, 2017	Respondents: Penn, Lawrence E., III Release No. AP-5237 File Number: 3-18288
Date: Nov. 20, 2017	Respondents: Next Galaxy Corp. Novamex Energy, Inc. Occidental Development Group, Inc. Sable Natural Resources Corporation. Release No. AP-5238 File Number: 3-18219
Date: Nov. 17, 2017	Respondents: Palladino, James M. Release No. AP-5232 File Number: 3-18119
Date: Nov. 17, 2017	Respondents: Shkreli, Martin Release No. AP-5233 File Number: 3-18127
Date: Nov. 16, 2017	Respondents: Black Diamond Asset Management LLC Wilson, Robert Release No. AP-5231 File Number: 3-18099
Date: Nov. 15, 2017	Respondents: Pruitt, David, CPA Release No. AP-5229 File Number: 3-17950
Date: Nov. 15, 2017	Respondents: Pruitt, David, CPA Release No. AP-5230 File Number: 3-17950
Date: Nov. 14, 2017	Respondents: China Precision Steel, Inc. Golden River Resources Corp. Release No. AP-5226 File Number: 3-18152
Date: Nov. 14, 2017	Respondents: Next Galaxy Corp. Novamex Energy, Inc. Occidental Development Group, Inc. Sable Natural Resources Corporation. Release No. AP-5227 File Number: 3-18219
Date: Nov. 14, 2017	Respondents: Zoernack, Steven EquityStar Capital Management, LLC Release No. AP-5228 File Number: 3-17157
Date: Nov. 13, 2017	Respondents: Stitt, Andrew Release No. AP-5225 File Number: 3-17621
Date: Nov. 8, 2017	Respondents: Feng, Hui Law Offices of Feng & Associates, P.C. Release No. AP-5222 File Number: 3-18209
Date: Nov. 8, 2017	Respondents: Baccam, Patric Ken a/k/a Khanh Sengpraseuth Release No. AP-5223 File Number: 3-18276
Date: Nov. 8, 2017	Respondents: Zoernack, Steven EquityStar Capital Management, LLC Release No. AP-5224 File Number: 3-17157
Date: Nov. 7, 2017	Respondents: Megalli, Mark Release No. AP-5221 File Number: 3-18250
Date: Nov. 6, 2017	Respondents: Reyes, Gerardo E. Release No. AP-5220 File Number: 3-18126
Date: Nov. 3, 2017	Respondents: Pruitt, David, CPA Release No. AP-5218 File Number: 3-17950
Date: Nov. 3, 2017	Respondents: Pruitt, David, CPA Release No. AP-5219 File Number: 3-17950
Date: Nov. 2, 2017	Respondents: Smith, Jeffrey D. Carswell, Joseph Fullard, Michael W. Release No. AP-5214 File Number: 3-18271
Date: Nov. 2, 2017	Respondents: Feng, Hui Law Offices of Feng & Associates, P.C. Release No. AP-5215 File Number: 3-18209
Date: Nov. 2, 2017	Respondents: Vitale, Joseph Release No. AP-5216 File Number: 3-18252
Date: Nov. 2, 2017	Respondents: Experience Art and Design, Inc. Fu Lu Cai Productions Ltd. (n/k/a Alfa Star Energy Ltd.) Heavy Earth Resources, Inc. Horne International, Inc. Release No. AP-5217 File Number: 3-18173
Date: Nov. 1, 2017	Respondents: Lynch, John T., Jr. Release No. AP-5211 File Number: 3-17902
Date: Nov. 1, 2017	Respondents: Energy Edge Technologies Corp. Focus Gold Corp. New York Sub Co. Release No. AP-5212 File Number: 3-18038
Date: Nov. 1, 2017	Respondents: Herman, Rosalind Release No. AP-5213 File Number: 3-17828
Date: Oct. 31, 2017	Respondents: Megalli, Mark Release No. AP-5206 File Number: 3-18250
Date: Oct. 31, 2017	Respondents: Gamzio Mobile, Inc. Gold Hill Resources, Inc. Release No. AP-5207 File Number: 3-18170
Date: Oct. 31, 2017	Respondents: Dearborn Bancorp, Inc. Greentech Mining International, Inc. Hoverink International Holdings, Inc. South West Coast Senior Living Corp. Release No. AP-5208 File Number: 3-18223
Date: Oct. 31, 2017	Respondents: Michael Ralph Casey, Esq. Release No. AP-5209 File Number: 3-17508