ALJ Initial Decisions: Administrative Law Judges
Administrative Law Judges issued the following Initial Decisions pursuant to 5 U.S.C § 557 and 17 C.F.R. § 201.360(a).
ALJ Initial Decisions: Administrative Law Judges Table
Respondents
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Date: |
Respondents:
Release No.
477
File Number:
3-15057
|
Date: |
Respondents:
Release No.
476
See Also:
Order Instituting Proceedings, Release Nos. IA-3355, IC-29929
,
Order Granting Extension, Release Nos. 34-68348, IA-3510, IC-30289
,
Finality Order, Release Nos. IA-3541, IC-30372
File Number:
3-14697
|
Date: |
Respondents:
Release No.
475
File Number:
3-14983
|
Date: |
Respondents:
Release No.
474
File Number:
3-14684
|
Date: |
Respondents:
Release No.
473
See Also:
Order Instituting Proceedings, Release No. 34-66249
,
Order Making Findings and Imposing Sanctions, Release No. 34-66801
,
Finality Order, Release No. 34-70708
File Number:
3-14720
|
Date: |
Respondents:
Release No.
471
See Also:
Order Instituting Proceedings, Release No. 34-67370
,
Finality Order, Release No. 34-68366
File Number:
3-14943
|
Date: |
Respondents:
Release No.
472
See Also:
Order Instituting Proceedings, Release No. 34-66991
,
Finality Order, Release No. 34-68396
File Number:
3-14880
|
Date: |
Respondents:
Release No.
470
File Number:
3-14935
|
Date: |
Respondents:
Release No.
469
See Also:
Order Instituting Proceedings, Release No. 34-67051
,
Finality Order, Release No. 34-68120
File Number:
3-14890
|
Date: |
Respondents:
Release No.
468
File Number:
3-14623
|
Date: |
Respondents:
Release No.
467
See Also:
Order Instituting Proceedings
File Number:
3-14700
|
Date: |
Respondents:
Release No.
466
See Also:
Order Instituting Proceedings, Release No. 34-66672
,
Finality Order, Release No. 34-67858
File Number:
3-14815
|
Date: |
Respondents:
Release No.
465
See Also:
Order Instituting Proceedings, Release No. 34-66672
,
Finality Order, Release No. 34-67796
File Number:
3-14815
|
Date: |
Respondents:
Release No.
464
See Also:
Order Instituting Proceedings, Release No. 34-66586
,
Finality Order, Release No. 34-67735
File Number:
3-14799
|
Date: |
Respondents:
Release No.
463
See Also:
Order Instituting Proceedings, Release No. 34-66621
,
Finality Order, Release No. 34-67736
File Number:
3-14806
|
Date: |
Respondents:
Release No.
462
See Also:
Order Instituting Proceedings, Release No. 34-66446
,
Order Making Findings and Revoking Registration, Release No. 34-66693
,
Finality Order, Release No. 34-67543
File Number:
3-14767
|
Date: |
Respondents:
Release No.
459A
See Also:
Order Instituting Proceedings, Release No. 34-65271, AAER-3318
,
Order Denying Motion, Release No. 34-65680, AAER-3334
,
Finality Order, Release No. 34-67549
File Number:
3-14532
|
Date: |
Respondents:
Release No.
461
See Also:
Order Instituting Proceedings, Release No. 34-66546
,
Finality Order, Release No. 34-67636
File Number:
3-14794
|
Date: |
Respondents:
Release No.
460
File Number:
3-14770
|
Date: |
Respondents:
Release No.
458
File Number:
3-14355
|
Date: |
Respondents:
Release No.
457
File Number:
3-14536
|
Date: |
Respondents:
Release No.
456
See Also:
Order Instituting Proceedings, Release No. 34-65167
,
Finality Order, Release No. 34-66917
File Number:
3-14509
|
Date: |
Respondents:
Release No.
455
File Number:
3-14610
|
Date: |
Respondents:
Release No.
454
File Number:
3-14581
|
Date: |
Respondents:
Release No.
453
File Number:
3-14587
|
Date: |
Respondents:
Release No.
452
See Also:
Order Instituting Proceedings, Release No. 33-9202
,
Finality Order, Release Nos. 33-9310, 34-66751, IA-3392, IC-30028
File Number:
3-14340
|
Date: |
Respondents:
Release No.
451
See Also:
Order Instituting Proceedings, Release Nos. 34-64849 and IA-3235
,
Finality Order, Release No. 34-66548
File Number:
3-14458
|
Date: |
Respondents:
Release No.
450
File Number:
3-14457
|
Date: |
Respondents:
Release No.
449
See Also:
Order Instituting Proceedings, Release No. 34-65274
,
Finality Order, Release No. 34-66437
File Number:
3-14534
|
Date: |
Respondents:
Release No.
448
File Number:
3-14194
|
Date: |
Respondents:
Release No.
447
File Number:
3-14572
|