SEC Seal Home | Jobs | Fast Answers | Site Map | Search
U.S. Securities and Exchange Commission


  About the SEC

  Filings (EDGAR)

  Regulatory Actions

  Staff Interps

  Investor Info

  News & Statements

  Litigation

  ALJ


ALJ Initial Decisions 
ALJ Orders 

  Information for...

  Divisions

ALJ Initial Decisions:
Administrative Law Judges
Archives 2008

Administrative Law Judges issued the following Initial Decisions pursuant to 5 U.S.C § 557 and 17 C.F.R. § 201.360(a).

Fourth Quarter | Third Quarter | Second Quarter | First Quarter 

Additional Archives

Release No. Date Respondents
Fourth Quarter
366 Dec. 18, 2008 Executive Registrar & Transfer, Inc. and John J. Donnelly
Robert G. Mahony,
Administrative Law Judge
File No. 3-12966
(Note: Finality Order, Release No. 34-59338)
365 Dec. 18, 2008 Online Gaming Systems Ltd. (n/k/a Advanced Resources Group Ltd.)
Robert G. Mahony,
Administrative Law Judge
File No. 3-13139
(Note: Finality Order, Release No. 34-59319)
364 Dec. 15, 2008 Markland Technologies, Inc.
Carol Fox Foelak,
Administrative Law Judge
File No. 3-13147
(Note: Finality Order, Release No. 34-59476)
363 Dec. 5, 2008 Thomas J. Dudchik and Rodney R. Schoemann
Robert G. Mahony,
Administrative Law Judge
File No. 3-12943
(Note: Finality Order, Release No. 33-9001; Opinion, Release No. 33-9076)
See also:  Court of Appeals Opinion
362 Nov. 19, 2008 Steven Sirianni
James T. Kelly,
Administrative Law Judge
File No. 3-13084
(Note: Finality Order, Release No. IA-2823)
361 Nov. 14, 2008 Waterfalls Corp.
Carol Fox Foelak,
Administrative Law Judge
File No. 3-13153
(Note: Finality Order, Release No. 34-59122)
360 Nov. 7, 2008 vFinance Investments, Inc. and Richard Campanella
Robert G. Mahony,
Administrative Law Judge
File No. 3-12918
(Note: Opinion, Release No. 34-62448)
359 Oct. 7, 2008 Maria T. Giesige
Brenda P. Murray,
Chief Administrative Law Judge
File No. 3-12747
(Note: Opinion, Release No. 34-60000)
358 Oct. 1, 2008 The Nasdaq Stock Market, LLC
Robert G. Mahony,
Administrative Law Judge
File No. 3-12384
(Note: Finality Order, Release No. 34-58912)
Third Quarter
357 Sep. 16, 2008 Jamie L. Solow
Carol Fox Foelak,
Administrative Law Judge
File No. 3-13066
(Note: Finality Order, Release No. 34-58831)
356 Sep. 9, 2008 Douglas G. Frederick
Brenda P. Murray,
Chief Administrative Law Judge
File No. 3-13004
(Note: Finality Order, Release No. 34-58751)
355 Sep. 9, 2008 Scott B. Gann
Robert G. Mahony,
Administrative Law Judge
File No. 3-13009
(Note: Opinion, Release No. 34-59729)
354 Aug. 18, 2008 Mitchell M. Maynard and Dorice A. Maynard
Brenda P. Murray,
Chief Administrative Law Judge
File No. 3-13008
(Note: Opinion, Release No. IA-2875)
353 Jul. 28, 2008 Guy P. Riordan
Brenda P. Murray,
Chief Administrative Law Judge
File No. 3-12829
(Note: Opinion, Release No. 33-9085)
See also:  Court of Appeals Opinion
352 Jul. 14, 2008 Clarence Friend
Carol Fox Foelak,
Administrative Law Judge
File No. 3-13017
(Note: Finality Order, Release No. 34-58370)
351 Jul. 14, 2008 Amaroq Asset Management, LLC and Dwight Andree Sean O'Neal Jones
James T. Kelly,
Administrative Law Judge
File No. 3-12822
(Note: Finality Order, Release No. IA-2770)
350 Jul. 10, 2008 Pritchard Capital Partners, LLC, Thomas Ward Pritchard, Joseph John VanCook, and Elizabeth Ann McMahon
Robert G. Mahony,
Administrative Law Judge
File No. 3-12753
(Note: Opinion, Release No. 34-61039A; and Opinion, Release No. 34-59550)
Second Quarter
349 Jun. 18, 2008 NEXT Financial Group, Inc.
James T. Kelly,
Administrative Law Judge
File No. 3-12738
(Note: Finality Order, Release No. 34-58192)
348 Apr. 28, 2008 Warren Lammert, Lars Soderberg, and Lance Newcomb
Carol Fox Foelak,
Administrative Law Judge
File No. 3-12386
(Note: Finality Order, Release Nos. 33-8921, 34-57882, IA-2737, IC-28290)
First Quarter
347 Mar. 25, 2008 Byron S. Rainner
Robert G. Mahony,
Administrative Law Judge
File No. 3-12828
(Note: ALJ Opinion, Initial Decision Release No. 377)
346 Mar. 10, 2008 Thomas C. Bridge, James D. Edge, and Jeffrey K. Robles
Brenda P. Murray,
Chief Administrative Law Judge
File No. 3-12626
(Note: Opinion, Release No. 33-9068)
345 Feb. 20, 2008 Justin F. Ficken
Robert G. Mahony,
Administrative Law Judge
File No. 3-12832
(Note: Opinion, Release No. 34-58802)
344 Jan. 30, 2008 Diatect International Corporation
James T. Kelly,
Administrative Law Judge
File No. 3-12843
(Note: Corrected Finality Order, Release No. 34-57438A)
343 Jan. 25, 2008 Jonathan Carman
James T. Kelly,
Administrative Law Judge
File No. 3-12736
(Note: Finality Order, Release No. 34-57437)
342 Jan. 18, 2008 C.R. Williams, Inc., and Charles Russell Williams II
Brenda P. Murray,
Chief Administrative Law Judge
File No. 3-12834
(Note: Finality Order, Release No. IA-2717)
341 Jan. 15, 2008 Kevin Hall, CPA, and Rosemary Meyer, CPA
Carol Fox Foelak,
Administrative Law Judge
File No. 3-12208
(Note: Opinion, Release No. 34-61162)
340 Jan. 14, 2008 Trautman Wasserman & Company, Inc., Gregory O. Trautman, Samuel M. Wasserman, Mark Barbera, James A. Wilson, Jr., Jerome Snyder, and Forde H. Prigot
Brenda P. Murray,
Chief Administrative Law Judge
File No. 3-12559
(Note: Finality Order, Release No. 34-57493; Opinion, Release No. 33-9088A)

 

http://www.sec.gov/alj/aljdec/aljdecarchive/aljdecarc2008.shtml

Contact | Employment | Links | FOIA | Forms | Privacy Policy
Modified: 12/20/2011