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 ascending	Respondents
Oct. 30, 2013	China Ruitai International Holdings Co., Ltd. Ma, Dian Min Ma, Gang Tian, Jin Release No. AP-1011 File Number: 3-15544
Oct. 29, 2013	ZPR Investment Management, Inc. Zavanelli, Max E. Release No. AP-1004 File Number: 3-15263
Oct. 29, 2013	Chiasson, Anthony Release No. AP-1005 File Number: 3-15580
Oct. 29, 2013	Smith, Alan Release No. AP-1006 File Number: 3-15443
Oct. 28, 2013	Cain, Philip Mark Release No. AP-999 File Number: 3-15548
Oct. 28, 2013	Banet, Hausmann-Alain Release No. AP-1000 File Number: 3-15445
Oct. 28, 2013	Left Behind Games, Inc. Release No. AP-1001 File Number: 3-15522
Oct. 28, 2013	Geidel, Timothy J. Release No. AP-1002 File Number: 3-15556
Oct. 28, 2013	Anthony, Donald J., Jr. Chiappone, Frank H. Feldman, Richard D. Gamello, William P. Guzzetti, Andrew G. Lex, William F. Livingston, Thomas E. Mayer, Brian T. Rabinovich, Philip S. Rogers, Ryan C. Release No. AP-1003 File Number: 3-15514
Oct. 25, 2013	Gallagher, Daniel J. Release No. AP-996 File Number: 3-14630
Oct. 25, 2013	Kinross-Kennedy, John, CPA Release No. AP-997 File Number: 3-15536
Oct. 25, 2013	Left Behind Games, Inc. Release No. AP-993 File Number: 3-15522
Oct. 25, 2013	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-998 File Number: 3-15255
Oct. 25, 2013	Burns, Eric T. Release No. AP-994 File Number: 3-15468
Oct. 25, 2013	AcuNetx, Inc., et al. Carol Fox Foelak, Administrative Law Judge Release No. AP-995 File Number: 3-15517
Oct. 24, 2013	Franz, George B., III Ruby Corporation Release No. AP-989 File Number: 3-15526
Oct. 24, 2013	Hernandez, Diego F. Wealth Management Partners, LLC (The) Wealth Financial, Limited Liability Company DFHR Investments, Inc. HD Mile High Marketing, Inc. Release No. AP-990 File Number: 3-15518
Oct. 24, 2013	Moore, Shawn H. Release No. AP-991 File Number: 3-15560
Oct. 24, 2013	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-992 File Number: 3-15255
Oct. 23, 2013	Berkman, Craig d/b/a Ventures Trust LLC Kern, John B Face Off Acquisitions, LLC Face Off Management, LLC a/k/a Face Off Acquisitions Management, LLC Ventures Trust II LLC Ventures Trust III LLC Ventures Trust IV LLC Ventures Trust V LLC Ventures Trust VI LLC Ventures Trust Asset Fund LLC Ventures Trust Management LLC Ventures Trust Asset Management, LLC a/k/a Ventures Trust II Asset Management, LLC Assensus Capital, LLC Assensus Capital Management, LLC Release No. AP-986 File Number: 3-15249
Oct. 23, 2013	McCoy, Lawrence Maxwell Release No. AP-987 File Number: 3-15538
Oct. 23, 2013	Berkman, Craig d/b/a Ventures Trust LLC Kern, John B Face Off Acquisitions, LLC Face Off Management, LLC a/k/a Face Off Acquisitions Management, LLC Ventures Trust II LLC Ventures Trust III LLC Ventures Trust IV LLC Ventures Trust V LLC Ventures Trust VI LLC Ventures Trust Asset Fund LLC Ventures Trust Management LLC Ventures Trust Asset Management, LLC a/k/a Ventures Trust II Asset Management, LLC Assensus Capital, LLC Assensus Capital Management, LLC Release No. AP-988 File Number: 3-15249
Oct. 23, 2013	Chiasson, Anthony Release No. AP-985 File Number: 3-15580
Oct. 22, 2013	China Ruitai International Holdings Co., Ltd. Ma, Dian Min Ma, Gang Tian, Jin Release No. AP-984 File Number: 3-15544, 3-15544
Oct. 22, 2013	China Ritar Power Corp. Release No. AP-980 File Number: 3-15551
Oct. 22, 2013	Gagnon, Stephen E. Release No. AP-981 File Number: 3-15579
Oct. 22, 2013	High End Ventures, Inc. Release No. AP-982 File Number: 3-15577
Oct. 22, 2013	Newman, Todd Release No. AP-983 File Number: 3-15581
Oct. 22, 2013	China Ritar Power Corp. Release No. 34-70729 File Number: 3-15551
Oct. 21, 2013	Bandimere, David F. Young, John O. Release No. AP-975 File Number: 3-15124
Oct. 21, 2013	Newtech Resources Ltd. Release No. AP-976 File Number: 3-15576
Oct. 21, 2013	McCoy, Lawrence Maxwell Release No. AP-972 File Number: 3-15538
Oct. 21, 2013	Harding Advisory LLC Chau, Wing F. Release No. AP-977 File Number: 3-15574
Oct. 21, 2013	China Ruitai International Holdings Co., Ltd. Release No. AP-973 File Number: 3-15545
Oct. 21, 2013	Brandolino, James L. Release No. AP-974 File Number: 3-15546
Oct. 21, 2013	Philip David Horn Brenda P. Murray, Chief Administrative Law Judge Release No. AP-979 File Number: 3-15520
Oct. 21, 2013	Philbrook, James A. Release No. AP-978 File Number: 3-15575
Oct. 18, 2013	Kinross-Kennedy, John, CPA Release No. AP-971 File Number: 3-15536
Oct. 18, 2013	AcuNetx, Inc., et al. Carol Fox Foelak, Administrative Law Judge Release No. 34-70710 File Number: 3-15517
Oct. 18, 2013	Timbervest, LLC Shapiro, Joel Barth Boden, Walter William Anthony, III Zell, Donald David, Jr. Jones, Gordon, II Release No. AP-969 File Number: 3-15519
Oct. 18, 2013	James R. Lanier (Corrected) Carol Fox Foelak, Administrative Law Judge Release No. AP-970 File Number: 3-15513
Oct. 17, 2013	Anhui Taiyang Poultry Co., Inc., a/k/a The Parkview Group, Inc., et al. Release No. 34-70699 File Number: 3-15452
Oct. 17, 2013	Gatherum, Laurie GEI Financial Services, Inc. Goldstein, Norman Release No. AP-967 File Number: 3-15447
Oct. 17, 2013	AcuNetx, Inc., et al. Carol Fox Foelak, Administrative Law Judge Release No. AP-968 File Number: 3-15517
Oct. 16, 2013	Bonanza One, Inc. China Century Dragon Media, Inc. Farrallon, Inc. Ora Electronics, Inc. Tia I, Inc. Tia II, Inc. Release No. 34-70690 File Number: 3-15516
Oct. 16, 2013	Left Behind Games, Inc. Release No. AP-963 File Number: 3-15522
Oct. 16, 2013	Bishop, Darlene A. Release No. AP-960 File Number: 3-15438
Oct. 16, 2013	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-964 File Number: 3-15255
Oct. 16, 2013	American Asset Development, Inc. aVinci Media Corp. Ceragenix Pharmaceuticals, Inc. Marshall Holdings International, Inc. MedCom USA, Incorporated Millenium Holding Group, Inc. Release No. AP-965 File Number: 3-15505
Oct. 16, 2013	G-2 Trading LLC Release No. AP-961 File Number: 3-15495
Oct. 16, 2013	Berkman, Craig d/b/a Ventures Trust LLC Kern, John B Face Off Acquisitions, LLC Face Off Management, LLC a/k/a Face Off Acquisitions Management, LLC Ventures Trust II LLC Ventures Trust III LLC Ventures Trust IV LLC Ventures Trust V LLC Ventures Trust VI LLC Ventures Trust Asset Fund LLC Ventures Trust Management LLC Ventures Trust Asset Management, LLC a/k/a Ventures Trust II Asset Management, LLC Assensus Capital, LLC Assensus Capital Management, LLC Release No. AP-966 File Number: 3-15249
Oct. 16, 2013	Ferraro, Alan Release No. AP-962 File Number: 3-15527
Oct. 15, 2013	Moore, Shawn H. Release No. AP-954 File Number: 3-15560
Oct. 15, 2013	Collyard, Gary A. Release No. AP-958 File Number: 3-15448
Oct. 15, 2013	Edmund E. Wilson (Corrected) Carol Fox Foelak, Administrative Law Judge Release No. AP-959 File Number: 3-15501
Oct. 15, 2013	Jones, Corbin Release No. AP-955 File Number: 3-15558
Oct. 15, 2013	Geidel, Timothy J. Release No. AP-956 File Number: 3-15556
Oct. 15, 2013	Moraitis, John Release No. AP-957 File Number: 3-15510
Oct. 11, 2013	ZPR Investment Management, Inc. Zavanelli, Max E. Release No. AP-953 File Number: 3-15263
Oct. 11, 2013	Anasazi Capital Corp. Certified Diabetic Services, Inc. Chartwell International, Inc. (n/k/a Covalent Energy International, Inc.) China Junlian Integrated Surveillance, Inc. First Sun South Corp. FirstPlus Financial Group, Inc. Great American Hotels & Resorts, Inc. Release No. 34-70660 File Number: 3-15439
Oct. 11, 2013	Crescent Moon, Inc., et al. Release No. 34-70661 File Number: 3-15449
Oct. 10, 2013	China Sky One Medical, Inc. Release No. AP-952 File Number: 3-15005
Oct. 9, 2013	Patch International, Inc. QuadTech International, Inc. Strategic Resources, Ltd. Virtual Medical Centre, Inc. Release No. AP-949 File Number: 3-15499
Oct. 9, 2013	American Energy Production, Inc. Best Energy Services, Inc. Community Central Bank Corporation Explortex Energy, Inc. HemoBioTech, Inc. Larrea Biosciences Corporation MBI Financial, Inc. Million Dollar Saloon, Inc. Release No. AP-950 File Number: 3-15496
Oct. 9, 2013	Anthony, Donald J., Jr. Chiappone, Frank H. Feldman, Richard D. Gamello, William P. Guzzetti, Andrew G. Lex, William F. Livingston, Thomas E. Mayer, Brian T. Rabinovich, Philip S. Rogers, Ryan C. Release No. AP-951 File Number: 3-15514
Oct. 9, 2013	HydroGen Corp., et al. Release No. 34-70634 File Number: 3-15464
Oct. 9, 2013	Home System Group Release No. AP-948 File Number: 3-15506
Oct. 8, 2013	China Cablecom Holdings Ltd. (n/k/a China Cablecom Ltd.) Release No. AP-943 File Number: 3-15453
Oct. 8, 2013	A.G. Volney Center, Inc. (f/k/a Buddha Steel, Inc.) China Green Material Technologies, Inc. China Tractor Holdings, Inc. Franklin Towers Enterprises, Inc. Release No. AP-944 File Number: 3-15497
Oct. 8, 2013	G-2 Trading LLC Release No. AP-945 File Number: 3-15495
Oct. 8, 2013	J.S. Oliver Capital Management, L.P. Mausner, Ian O. Drennan, Douglas F. Release No. AP-942 File Number: 3-15446
Oct. 8, 2013	Municipal Mortgage & Equity LLC, et al. Release No. AP-947 File Number: 3-15498
Oct. 8, 2013	Skyview Holdings Corp., Stonecrest One, Inc., et al. Brenda P. Murray, Chief Administrative Law Judge Release No. AP-946 File Number: 3-15515
Oct. 7, 2013	Municipal Mortgage & Equity LLC, et al. Release No. 34-70616 File Number: 3-15498
Oct. 7, 2013	ZPR Investment Management, Inc. Zavanelli, Max E. Release No. AP-940 File Number: 3-15263
Oct. 7, 2013	China Ritar Power Corp. Release No. AP-941 File Number: 3-15551
Oct. 3, 2013	Anasazi Capital Corp. Certified Diabetic Services, Inc. Chartwell International, Inc. (n/k/a Covalent Energy International, Inc.) China Junlian Integrated Surveillance, Inc. First Sun South Corp. FirstPlus Financial Group, Inc. Great American Hotels & Resorts, Inc. Release No. 34-70604 File Number: 3-15439
Oct. 3, 2013	Bonanza One, Inc. China Century Dragon Media, Inc. Farrallon, Inc. Ora Electronics, Inc. Tia I, Inc. Tia II, Inc. Release No. AP-937 File Number: 3-15516
Oct. 3, 2013	J.S. Oliver Capital Management, L.P. Mausner, Ian O. Drennan, Douglas F. Release No. AP-938 File Number: 3-15446
Oct. 3, 2013	Cain, Philip Mark Release No. AP-939 File Number: 3-15548
Oct. 2, 2013	China Ruitai International Holdings Co., Ltd. Release No. AP-936 File Number: 3-15545
Oct. 2, 2013	GBS Com-Tech Corp. Gentia Software PLC Glengarry Holdings, Ltd. Global TeleSystems, Inc. Golden Health Holdings, Inc. Golden Vista International, Inc. Goolu, Inc. Release No. 34-70594 File Number: 3-15410
Oct. 2, 2013	China Ruitai International Holdings Co., Ltd. Ma, Dian Min Ma, Gang Tian, Jin Release No. AP-933 File Number: 3-15544
Oct. 2, 2013	Kinross-Kennedy, John, CPA Release No. AP-934 File Number: 3-15536
Oct. 2, 2013	Brandolino, James L. Release No. AP-935 File Number: 3-15546
Oct. 1, 2013	Axcess International, Inc., et al. Release No. 34-70582 File Number: 3-15470
Oct. 1, 2013	Big Bear Mining Corp., et al. Release No. 34-70583 File Number: 3-15465
Oct. 1, 2013	G-Cats Acquisition Corp. GalaGen, Inc. Galena Acquisition Corp. Garment Graphics, Inc. Release No. 34-70584 File Number: 3-15431
Oct. 1, 2013	K’s Media Release No. 34-70585 File Number: 3-15451
Oct. 1, 2013	Burns, Eric T. Release No. AP-931 File Number: 3-15468
Oct. 1, 2013	McCoy, Lawrence Maxwell Release No. AP-932 File Number: 3-15538
Sept. 30, 2013	McGinn, Timothy M. Smith, David L. Release No. AP-930 File Number: 3-15461
Sept. 30, 2013	Brian D. Fox Release No. 34-70556 File Number: 3-15191
Sept. 30, 2013	Ferraro, Alan Release No. AP-927 File Number: 3-15527
Sept. 30, 2013	Franz, George B., III Ruby Corporation Release No. AP-928 File Number: 3-15526
Sept. 30, 2013	Hicks, Richard D. Release No. AP-929 File Number: 3-15413
Sept. 30, 2013	Colorado 2001B Limited Partnership, et al. Release No. 34-70550 File Number: 3-15467
Sept. 27, 2013	Wilson, Joel I. Release No. AP-924 File Number: 3-15408
Sept. 27, 2013	Carbiz, Inc. InZon Corporation IQ Micro, Inc. Irwin Financial Corporation Princeton Media Group, Inc. Release No. AP-925 File Number: 3-15469
Sept. 27, 2013	Aesoph, John J., CPA Bennett, Darren M., CPA Release No. AP-921 File Number: 3-15168

Rules & Regulations

Enforcement & Litigation

Compliance

ALJ Orders

More in About

Breadcrumb

ALJ Orders