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.

Related Resources

ALJ Orders RSS Feed


Date Sort descending	Respondents
Nov. 26, 2019	Can-Cal Resources Ltd. China Fruits Corp. Skystar Bio-Pharmaceutical Co. Release No. AP-6712 File Number: 3-18017
Nov. 22, 2019	Bebo, Laurie Buono, John, CPA Release No. AP-6711 File Number: 3-16293
Nov. 21, 2019	Raymond J. Lucia Companies, Inc. Lucia, Raymond J., Sr. Release No. AP-6710 File Number: 3-15006
Nov. 20, 2019	Feathers, Mark Release No. AP-6709 File Number: 3-15755
Nov. 19, 2019	Can-Cal Resources Ltd. China Fruits Corp. Skystar Bio-Pharmaceutical Co. Release No. AP-6708 File Number: 3-18017
Nov. 14, 2019	Rossi, Matthew R. SJL Capital, LLC Release No. AP-6707 File Number: 3-19145
Nov. 13, 2019	Feathers, Mark Release No. AP-6705 File Number: 3-15755
Nov. 13, 2019	Can-Cal Resources Ltd. China Fruits Corp. Skystar Bio-Pharmaceutical Co. Release No. AP-6706 File Number: 3-18017
Nov. 6, 2019	Bebo, Laurie Buono, John, CPA Release No. AP-6704 File Number: 3-16293
Nov. 4, 2019	Feathers, Mark Release No. AP-6703 File Number: 3-15755
Oct. 30, 2019	Bebo, Laurie Buono, John, CPA Release No. AP-6702 File Number: 3-16293
Oct. 29, 2019	Anton & Chia, LLP Wahl, Gregory A., CPA Deutchman, Michael, CPA Chung, Georgia, CPA Shek, Tommy, CPA Release No. AP-6701 File Number: 3-18292
Oct. 28, 2019	Mosshart, Joshua D. Release No. AP-6700 File Number: 3-18422
Oct. 25, 2019	Gibson, Christopher M. Release No. AP-6699 File Number: 3-17184
Oct. 22, 2019	China Biopharma, Inc. China Linen Textile Industry, Ltd. China Water Group, Inc. Scout Exploration, Inc. Teryl Resources Corp. Release No. AP-6698 File Number: 3-17886
Oct. 17, 2019	Can-Cal Resources Ltd. China Fruits Corp. Skystar Bio-Pharmaceutical Co. Release No. AP-6697 File Number: 3-18017
Oct. 15, 2019	Gibson, Christopher M. Release No. AP-6696 File Number: 3-17184
Oct. 9, 2019	Gibson, Christopher M. Release No. AP-6695 File Number: 3-17184
Oct. 7, 2019	Anton & Chia, LLP Wahl, Gregory A., CPA Deutchman, Michael, CPA Chung, Georgia, CPA Shek, Tommy, CPA Release No. AP-6694 File Number: 3-18292
Oct. 2, 2019	Och-Ziff Capital Management Group LLC Oz Management LP Och, Daniel S. Frank, Joel M. Release No. AP-6693 File Number: 3-17595
Oct. 1, 2019	Anton & Chia, LLP Wahl, Gregory A., CPA Deutchman, Michael, CPA Chung, Georgia, CPA Shek, Tommy, CPA Release No. AP-6692 File Number: 3-18292
Sept. 27, 2019	Och-Ziff Capital Management Group LLC Oz Management LP Och, Daniel S. Frank, Joel M. Release No. AP-6686 File Number: 3-17595
Sept. 27, 2019	China Biopharma, Inc. China Linen Textile Industry, Ltd. China Water Group, Inc. Scout Exploration, Inc. Teryl Resources Corp. Release No. AP-6687 File Number: 3-17886
Sept. 27, 2019	Canso Enterprises Ltd., Lion Print Corp. Release No. AP-6688 File Number: 3-17984, 3-17989
Sept. 27, 2019	Guardian 8 Holdings Idaho North Resources Corporation Mecklermedia Corporation Verde Science, Inc. Release No. AP-6689 File Number: 3-18221
Sept. 27, 2019	Anton & Chia, LLP Wahl, Gregory A., CPA Deutchman, Michael, CPA Chung, Georgia, CPA Shek, Tommy, CPA Release No. AP-6690 File Number: 3-18292
Sept. 27, 2019	Finn, Sean P. M. Dwyer LLC Release No. AP-6691 File Number: 3-17693
Sept. 27, 2019	Marshall, Clayton T. Release No. AP-6683 File Number: 3-15783
Sept. 27, 2019	Bebo, Laurie Buono, John, CPA Release No. AP-6684 File Number: 3-16293
Sept. 27, 2019	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-6685 File Number: 3-17228
Sept. 20, 2019	Pruitt, David, CPA Release No. AP-6682 File Number: 3-17950
Sept. 19, 2019	Pruitt, David, CPA Release No. AP-6681 File Number: 3-17950
Sept. 18, 2019	Gibson, Christopher M. Release No. AP-6679 File Number: 3-17184
Sept. 18, 2019	Pruitt, David, CPA Release No. AP-6680 File Number: 3-17950
Sept. 17, 2019	Pruitt, David, CPA Release No. AP-6677 File Number: 3-17950
Sept. 17, 2019	Pruitt, David, CPA Release No. AP-6678 File Number: 3-17950
Sept. 17, 2019	Gibson, Christopher M. Release No. AP-6676 File Number: 3-17184
Sept. 16, 2019	Pruitt, David, CPA Release No. AP-6675 File Number: 3-17950
Sept. 12, 2019	Pruitt, David, CPA Release No. AP-6673 File Number: 3-17950
Sept. 12, 2019	Digital Brand Media & Marketing Group, Inc. Intellicell Biosciences, Inc. Release No. AP-6674 File Number: 3-17990
Sept. 6, 2019	Ascension Asset Management, LLC Gooder, Grenville M., JR. Release No. AP-6672 File Number: 3-19024
Sept. 5, 2019	Bandimere, David F. Young, John O. Release No. AP-6671 File Number: 3-15124
Sept. 3, 2019	Pruitt, David, CPA Release No. AP-6670 File Number: 3-17950
Aug. 29, 2019	Anton & Chia, LLP Wahl, Gregory A., CPA Deutchman, Michael, CPA Chung, Georgia, CPA Shek, Tommy, CPA Release No. AP-6667 File Number: 3-18292
Aug. 29, 2019	Gibson, Christopher M. Release No. AP-6668 File Number: 3-17184
Aug. 29, 2019	China Biopharma, Inc. China Linen Textile Industry, Ltd. China Water Group, Inc. Scout Exploration, Inc. Teryl Resources Corp. Release No. AP-6669 File Number: 3-17886
Aug. 29, 2019	Ascension Asset Management, LLC Gooder, Grenville M., JR. Release No. AP-6665 File Number: 3-19024
Aug. 29, 2019	Ascension Asset Management, LLC Gooder, Grenville M., JR. Release No. AP-6666 File Number: 3-19024
Aug. 28, 2019	Bebo, Laurie Buono, John, CPA Release No. AP-6664 File Number: 3-16293
Aug. 27, 2019	Bandimere, David F. Young, John O. Release No. AP-6662 File Number: 3-15124
Aug. 27, 2019	Anton & Chia, LLP Wahl, Gregory A., CPA Deutchman, Michael, CPA Chung, Georgia, CPA Shek, Tommy, CPA Release No. AP-6663 File Number: 3-18292
Aug. 23, 2019	Saving2Retire, LLC Young, Marian P. Release No. AP-6659 File Number: 3-17352
Aug. 23, 2019	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-6660 File Number: 3-17228
Aug. 23, 2019	Pruitt, David, CPA Release No. AP-6661 File Number: 3-17950
Aug. 22, 2019	Bandimere, David F. Young, John O. Release No. AP-6658 File Number: 3-15124
Aug. 16, 2019	Raymond J. Lucia Companies, Inc. Lucia, Raymond J., Sr. Release No. AP-6657 File Number: 3-15006
Aug. 15, 2019	Bandimere, David F. Young, John O. Release No. AP-6656 File Number: 3-15124
Aug. 14, 2019	Pruitt, David, CPA Release No. AP-6654 File Number: 3-17950
Aug. 14, 2019	Bandimere, David F. Young, John O. Release No. AP-6655 File Number: 3-15124
Aug. 8, 2019	Raymond J. Lucia Companies, Inc. Lucia, Raymond J., Sr. Release No. AP-6652 File Number: 3-15006
Aug. 8, 2019	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-6653 File Number: 3-17228
Aug. 6, 2019	Anderson, Traci J., CPA Carnahan, Timothy W. CYIOS Corporation Release No. AP-6650 File Number: 3-16386
Aug. 6, 2019	Gibson, Christopher M. Release No. AP-6651 File Number: 3-17184
Aug. 5, 2019	Gibson, Christopher M. Release No. AP-6648 File Number: 3-17184
Aug. 5, 2019	Daspin, Edward M. (a/k/a "Edward (Ed) Michael") Agostini, Luigi Lux, Lawrence R. Release No. AP-6649 File Number: 3-16509
Aug. 1, 2019	Rossi, Matthew R. SJL Capital, LLC Release No. AP-6647 File Number: 3-19145
July 30, 2019	Daspin, Edward M. (a/k/a "Edward (Ed) Michael") Agostini, Luigi Lux, Lawrence R. Release No. AP-6646 File Number: 3-16509
July 29, 2019	Daspin, Edward M. (a/k/a "Edward (Ed) Michael") Agostini, Luigi Lux, Lawrence R. Release No. AP-6645 File Number: 3-16509
July 25, 2019	Anderson, Traci J., CPA Carnahan, Timothy W. CYIOS Corporation Release No. AP-6643 File Number: 3-16386
July 25, 2019	Raymond J. Lucia Companies, Inc. Lucia, Raymond J., Sr. Release No. AP-6644 File Number: 3-15006
July 24, 2019	Pruitt, David, CPA Release No. AP-6641 File Number: 3-17950
July 24, 2019	Bebo, Laurie Buono, John, CPA Release No. AP-6642 File Number: 3-16293
July 23, 2019	Anton & Chia, LLP Wahl, Gregory A., CPA Deutchman, Michael, CPA Chung, Georgia, CPA Shek, Tommy, CPA Release No. AP-6640 File Number: 3-18292
July 23, 2019	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-6635 File Number: 3-17228
July 23, 2019	Rossi, Matthew R. SJL Capital, LLC Release No. AP-6636 File Number: 3-19145
July 23, 2019	Daspin, Edward M. (a/k/a "Edward (Ed) Michael") Agostini, Luigi Lux, Lawrence R. Release No. AP-6637 File Number: 3-16509
July 23, 2019	Gibson, Christopher M. Release No. AP-6638 File Number: 3-17184
July 23, 2019	Raymond J. Lucia Companies, Inc. Lucia, Raymond J., Sr. Release No. AP-6639 File Number: 3-15006
July 19, 2019	Anton & Chia, LLP Wahl, Gregory A., CPA Deutchman, Michael, CPA Chung, Georgia, CPA Shek, Tommy, CPA Release No. AP-6633 File Number: 3-18292
July 19, 2019	Retirement Surety LLC Crescendo Financial LLC Rose, Thomas Leeman, David Featherstone, David Release No. AP-6634 File Number: 3-18061
July 18, 2019	Anderson, Traci J., CPA Carnahan, Timothy W. CYIOS Corporation Release No. AP-6632 File Number: 3-16386
July 17, 2019	Bandimere, David F. Young, John O. Release No. AP-6630 File Number: 3-15124
July 17, 2019	Anton & Chia, LLP Wahl, Gregory A., CPA Deutchman, Michael, CPA Chung, Georgia, CPA Shek, Tommy, CPA Release No. AP-6631 File Number: 3-18292
July 15, 2019	Raymond J. Lucia Companies, Inc. Lucia, Raymond J., Sr. Release No. AP-6628 File Number: 3-15006
July 15, 2019	Gibson, Christopher M. Release No. AP-6629 File Number: 3-17184
July 11, 2019	Retirement Surety LLC Crescendo Financial LLC Rose, Thomas Leeman, David Featherstone, David Release No. AP-6627 File Number: 3-18061
July 11, 2019	Gibson, Christopher M. Release No. AP-6624 File Number: 3-17184
July 11, 2019	Harding Advisory LLC Chau, Wing F. Release No. AP-6625 File Number: 3-15574
July 11, 2019	Anderson, Traci J., CPA Carnahan, Timothy W. CYIOS Corporation Release No. AP-6626 File Number: 3-16386
July 10, 2019	Anderson, Traci J., CPA Carnahan, Timothy W. CYIOS Corporation Release No. AP-6622 File Number: 3-16386
July 10, 2019	Finn, Sean P. M. Dwyer LLC Release No. AP-6623 File Number: 3-17693
July 9, 2019	Fox, Joseph J. Release No. AP-6621 File Number: 3-16795
July 2, 2019	Anderson, Traci J., CPA Carnahan, Timothy W. CYIOS Corporation Release No. AP-6620 File Number: 3-16386
July 1, 2019	Gibson, Christopher M. Release No. AP-6618 File Number: 3-17184
July 1, 2019	Ascension Asset Management, LLC Gooder, Grenville M., JR. Release No. AP-6619 File Number: 3-19024
June 28, 2019	Gibson, Christopher M. Release No. AP-6615 File Number: 3-17184
June 28, 2019	Gibson, Christopher M. Release No. AP-6616 File Number: 3-17184
June 28, 2019	Retirement Surety LLC Crescendo Financial LLC Rose, Thomas Leeman, David Featherstone, David Release No. AP-6617 File Number: 3-18061
June 24, 2019	Daspin, Edward M. (a/k/a "Edward (Ed) Michael") Agostini, Luigi Lux, Lawrence R. Release No. AP-6614 File Number: 3-16509
June 24, 2019	Anderson, Traci J., CPA Carnahan, Timothy W. CYIOS Corporation Release No. AP-6613 File Number: 3-16386

Rules & Regulations

Enforcement & Litigation

Compliance

ALJ Orders

More in this Section

ALJ Orders