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


  Information for...

  Divisions


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).

Fourth Quarter | Third Quarter | Second Quarter | First Quarter 

Additional Archives

Release No. Date Respondents
Fourth Quarter
477 Dec. 31, 2012 Peter Siris
Carol Fox Foelak,
Administrative Law Judge
File No. 3-15057
(Note: Order Instituting Proceedings, Release Nos. 34-67949, IA-3481)
476 Dec. 26, 2012 Lisa B. Premo
Brenda P. Murray,
Chief Administrative Law Judge
File No. 3-14697
(Note: Order Instituting Proceedings, Release Nos. IA-3355, IC-29929 and Order Granting Extension, Release Nos. 34-68348, IA-3510, IC-30289; Finality Order, Release Nos. IA-3541, IC-30372)
475 Dec. 11, 2012 Stanley C. Brooks and Brookstreet Securities Corp.
Carol Fox Foelak,
Administrative Law Judge
File No. 3-14983
(Note: Order Instituting Proceedings, Release Nos. 34-67658A, IA-3444A and Finality Order, Release No. 34-68773, IA-3542)
474 Dec. 5, 2012 Anthony Fields, CPA d/b/a Anthony Fields & Associates and d/b/a Platinum Securities Brokers
Carol Fox Foelak,
Administrative Law Judge
File No. 3-14684
(Note: Order Instituting Proceedings, Release Nos. 33-9291, 34-66091, IA-3348, IC-29912)
473 Nov. 28, 2012 Alchemy Ventures, Inc., Km Capital Management, LLC, Zanshin Enterprises, LLC, Mark H. Rogers, Steven D. Hotovec, Joshua A. Klein, Yisroel M. Wachs, Frank K. McDonald, and Douglas G. Frederick
Cameron Elliot,
Administrative Law Judge
File No. 3-14720
(Note: Order Instituting Proceedings, Release No. 34-66249 and Order Making Findings and Imposing Sanctions, Release No. 34-66801; Finality Order, Release No. 34-70708)
472 Nov. 6, 2012 John Jantzen
Cameron Elliot,
Administrative Law Judge
File No. 3-14880
(Note: Order Instituting Proceedings, Release No. 34-66991); Finality Order, Release No. 34-68396)
471 Nov. 6, 2012 QuillIndustries, Inc. (n/k/a Eagle Worldwide Inc.), et al.
Brenda P. Murray,
Chief Administrative Law Judge
File No. 3-14943
(Note: Order Instituting Proceedings, Release No. 34-67370; Finality Order, Release No. 34-68366)
470 Nov. 2, 2012 A-Power Energy Generation Systems, Ltd.
Carol Fox Foelak,
Administrative Law Judge
File No. 3-14935
(Note: Order Instituting Proceedings, Release No. 34-67338)
Third Quarter
469 Sep. 18, 2012 Quintek Technologies, Inc., The Saint James Co., Urigen Pharmaceuticals, Inc., Valor Energy Corp., Wherify Wireless, Inc., and WinWin Gaming, Inc.
Cameron Elliot,
Administrative Law Judge
File No. 3-14890
(Note: Order Instituting Proceedings, Release No. 34-67051 ; Finality Order, Release No. 34-68120)
468 Sep. 14, 2012 Leaddog Capital Markets, LLC, f/k/a Leaddog Capital Partners, Inc., Chris Messalas, and Joseph LaRocco, Esq.
Carol Fox Foelak,
Administrative Law Judge
File No. 3-14623
(Note: Order Instituting Proceedings; Finality Order, Release No. 34-68205)
467 Aug. 21, 2012 Gregory Bartko, Esq.
Cameron Elliot,
Administrative Law Judge
File No. 3-14700
(Note: Order Instituting Proceedings)
466 Aug. 7, 2012 Advanced Biophotonics, Inc., Advanced Viral Research Corp., Brantley Capital Corp., Brilliant Technologies Corporation, 4C Controls, Inc., and 2-Track Global, Inc. (As to 4C Controls, Inc.)
Brenda P. Murray,
Chief Administrative Law Judge
File No. 3-14815
(Note: Order Instituting Proceedings, Release No. 34-66672; Finality Order, Release No. 34-67858)
465 Jul. 24, 2012 Advanced Biophotonics, Inc., Advanced Viral Research Corp., Brantley Capital Corp., Brilliant Technologies Corporation, 4C Controls, Inc., and 2-Track Global, Inc. (As to 2-Track Global, Inc.)
Brenda P. Murray,
Chief Administrative Law Judge
File No. 3-14815
(Note: Order Instituting Proceedings, Release No. 34-66672; Finality Order, Release No. 34-67796)
464 Jul. 16, 2012 China MediaExpress Holdings, Inc.
Brenda P. Murray,
Chief Administrative Law Judge
File No. 3-14799
(Note: Order Instituting Proceedings, Release No. 34-66586; Finality Order, Release No. 34-67735)
463 Jul. 3, 2012 ProElite, Inc. and Universal Guardian Holdings, Inc.
Brenda P. Murray,
Chief Administrative Law Judge
File No. 3-14806
(Note: Order Instituting Proceedings, Release No. 34-66621; Finality Order, Release No. 34-67736)
Second Quarter
462 Jun. 25, 2012 Jetronic Industries, Inc. (n/k/a New Bastion Development, Inc.), Lions Petroleum, Inc. (n/k/a China Hongxing Agritech, Inc.), MDI, Inc., and Mobilepro Corp.
Cameron Elliot,
Administrative Law Judge
File No. 3-14767
(Note: Order Instituting Proceedings, Release No. 34-66446 and Order Making Findings and Revoking Registration, Release No. 34-66693; Finality Order, Release No. 34-67543)
461 Jun. 19, 2012 Amazon Biotech, Inc. and Andover Holdings, Inc.
Cameron Elliot,
Administrative Law Judge
File No. 3-14794
(Note: Order Instituting Proceedings, Release No. 34-66546); Finality Order, Release No. 34-67636)
460 Jun. 14, 2012 American United Gold Corporation, AMS Homecare Inc., Aucxis Corp., and CYOP Systems International Inc.
Brenda P. Murray,
Chief Administrative Law Judge
File No. 3-14770
(Note: Order Instituting Proceedings, Release No. 34-66456)
459A Jun. 20, 2012 Ran H. Furman (Corrected)
Cameron Elliot,
Administrative Law Judge
File No. 3-14532
(Note: Order Instituting Proceedings, Release No. 34-65271, AAER-3318; Order Denying Motion, Release No. 34-65680, AAER-3334; Finality Order, Release No. 34-67549)
458 May 24, 2012 Donald L. Koch and Koch Asset Management LLC
Carol Fox Foelak,
Administrative Law Judge
File No. 3-14355
(Note: Order Instituting Proceedings, Release No. 34-64337, IA-3190, IC-29659)
457 Apr. 20, 2012 Montford and Company, Inc. d/b/a Montford Associates, and Ernest V. Montford, Sr.
Brenda P. Murray
Chief Administrative Law Judge
File No. 3-14536
(Note: Order Instituting Proceedings, Release No. IA-3273)
456 Apr. 4, 2012 Peter Emrich, Alberto Ferreiras, James Frankfurth, Frank Rossi, Dana Valensky
Brenda P. Murray,
Chief Administrative Law Judge
File No. 3-14509
(Note: Order Instituting Proceedings, Release No. 34-65167; Finality Order, Release No. 34-66917)
First Quarter
455 Mar. 19, 2012 Terry Harris
Brenda P. Murray,
Chief Administrative Law Judge
File No. 3-14610
(Note: Order Instituting Proceedings, Release No. IA-3309; Finality Order, Release No. IA-3484)
454 Feb. 22, 2012 China-Biotics, Inc.
Carol Fox Foelak,
Administrative Law Judge
File No. 3-14581
(Note: Order Instituting Proceedings, Release No. 34-65510)
453 Feb. 15, 2012 Ablest Inc.
Carol Fox Foelak,
Administrative Law Judge
File No. 3-14587
(Note: Order Instituting Proceedings, Release No. 34-65560)
452 Feb. 14, 2012 Gualario & Co., LLC and Ronald Gualario
Carol Fox Foelak,
Administrative Law Judge
File No. 3-14340
(Note: Order Instituting Proceedings, Release No. 33-9202; Finality Order, Release Nos. 33-9310, 34-66751, IA-3392, IC-30028)
451 Feb. 10, 2012 Leila C. Jenkins
Cameron Elliot,
Administrative Law Judge
File No. 3-14458
(Note: Order Instituting Proceedings, Release Nos. 34-64849 and IA-3235; Finality Order, Release No. 34-66548)
450 Feb. 6, 2012 Locke Capital Management, Inc.
Cameron Elliot,
Administrative Law Judge
File No. 3-14457
(Note: Order Instituting Proceedings, Release No. IA-3234; Finality Order, Release No. IA-3381)
449 Jan. 24, 2012 American Capital Partners Limited, Inc., American Educators Financial Corp. (N/K/A Asia Ventures Corp.), Austral Pacific Energy Ltd, Bidville, Inc. (N/K/A Primedge, Inc.), Bio-Warm Corp. (N/K/A Phi Gold Corp.), Black Rock Golf Corp. (A/K/A Aurus Corp.), Broadband Wireless International Corp., and Buffalo Gold Ltd.
Brenda P. Murray,
Chief Administrative Law Judge
File No. 3-14534
(Note: Order Instituting Proceedings, Release No. 34-65274; Finality Order, Release No. 34-66437)
448 Jan. 5, 2012 Michael R. Pelosi
Cameron Elliot,
Administrative Law Judge
File No. 3-14194
(Note: Order Instituting Proceedings, Release No. IA-3141; Opinion, Release No. IA-3805)
447 Jan. 4, 2012 Alfred Clay Ludlum, III
Brenda P. Murray,
Chief Administrative Law Judge
File No. 3-14572
(Note: Order Instituting Proceedings, Release No. IA-3294; Opinion, Release No. IA-3628)

 

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


Modified: 09/30/2014