ALJ Initial Decisions

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

Related Resources:


Date Sort ascending	Respondents
May 17, 2023	American CryptoFed DAO LLC Release No. 1415 See Also: Order Fixing Time and Place of Public Hearings and Instituting Administrative Proceedings Pursuant to Section 8(d) of the Securities Act of 1933 File Number: 3-21243
March 20, 2023	Horter Investment Management, LLC and Drew K. Horter Release No. 1414 See Also: Order Instituting Proceedings, Release No. IA-5853; File Number: 3-20531
Dec. 6, 2022	Electropremium Release No. 1413 See Also: Order Instituting Proceedings File Number: 3-21032
Feb. 11, 2022	Life Science Holdings, Inc. Release No. 1412 See Also: Order Instituting Proceedings , Finality Order File Number: 3-20627
Sept. 21, 2021	Reynolds, Norman T., Esq. Release No. 1411 See Also: Order Instituting Proceedings, Release No. 34-90259 , Finality Order, Release No. 34-93457 File Number: 3-20136
Aug. 12, 2021	Rosedale Asset Management, LLC f/k/a Princeton Advisory Wealth Management, LLC Release No. 1410 See Also: Order Instituting Proceedings, Release No. IA-5680 , Finality Order, Release No. IA-5875 File Number: 3-20220
Aug. 2, 2021	Sweet, Brian, CPA Release No. 1409 See Also: Order Instituting Proceedings, Release No. 34-82557 , Finality Order, Release No. 34-93005 File Number: 3-18347
Feb. 11, 2021	Mosshart, Joshua D. Release No. 1408 See Also: Order Instituting Proceedings, Release No. 34-82998 , Finality Order, Release No. 34-91438 File Number: 3-18422
Feb. 8, 2021	Anton & Chia, LLP Wahl, Gregory A., CPA Deutchman, Michael, CPA Chung, Georgia, CPA Shek, Tommy, CPA Release No. 1407 See Also: Order Instituting Proceedings, Release No. 34-82206 File Number: 3-18292
Jan. 5, 2021	Crest Radius, Inc. 7 Kaapa Tsolgo, Estonia Release No. 1406 See Also: Order Instituting Proceedings, Release No. 33-10843 , Finality Order, Release No. 33-10928 File Number: 3-20021
Nov. 9, 2020	Sears, William J. Release No. 1405 See Also: Order Instituting Proceedings, Release No. 33-10212 , Finality Order, Release No. 33-10929 File Number: 3-17547
Oct. 29, 2020	Goulding, Randall, Esq. Release No. 1404 See Also: Order Instituting Proceedings, Release No. 34-88155 , Finality Order, Release No. 34-92075 File Number: 3-19697
Sept. 25, 2020	Feathers, Mark Release No. 1403 See Also: Order Instituting Proceedings, Release No. 34-71565 File Number: 3-15755
Sept. 2, 2020	Harris, Talman Release No. 1402 See Also: Release Nos. 34-80197 , and 34-80198 , Finality Order, Release No. 34-90881 File Number: 3-17874
Aug. 13, 2020	Bebo, Laurie Buono, John, CPA Release No. 1401 See Also: Order Instituting Proceedings, Release No. 34-73722 File Number: 3-16293
April 3, 2020	Ascension Asset Management, LLC Gooder, Grenville M., JR. Release No. 1400 See Also: Order Instituting Proceedings, Release No. IA-5121 , Finality Order, Release Nos. IC-34168, IA-5665 File Number: 3-19024
March 31, 2020	China Biopharma, Inc. China Linen Textile Industry, Ltd. China Water Group, Inc. Scout Exploration, Inc. Teryl Resources Corp. Release No. 1399 See Also: Order Instituting Proceedings, Release No. 34-80293 , Finality Order, Release No. 34-90892 File Number: 3-17886
March 24, 2020	Gibson, Christopher M. Release No. 1398 See Also: Order Instituting Proceedings, Release No. 34-77466 File Number: 3-17184
March 17, 2020	Starkot Corp. Release No. 1397 See Also: Order Instituting Proceedings, Release No. 33-10629 , Finality Order, Release No. 33-10917 File Number: 3-19146
Feb. 18, 2020	Finn, Sean P. M. Dwyer LLC Release No. 1396 See Also: Order Instituting Proceedings, Release No. 34-79367 , Finality Order, Release No. 34-90871 File Number: 3-17693
Jan. 28, 2020	Can-Cal Resources Ltd. China Fruits Corp. Skystar Bio-Pharmaceutical Co. Release No. 1395 See Also: Order Instituting Proceedings, Release No. 34-80892 , Finality Order, Release No. 34-90840 File Number: 3-18017
Jan. 10, 2020	Anderson, Traci J., CPA Carnahan, Timothy W. CYIOS Corporation Release No. 1394 See Also: Order Instituting Proceedings, Release No. 33-9725 File Number: 3-16386
Dec. 23, 2019	Graham, Jonathan Edward Release No. 1393 See Also: Order Instituting Proceedings, Release No. 33-10628 File Number: 3-19142
Dec. 20, 2019	Retirement Surety LLC Crescendo Financial LLC Rose, Thomas Leeman, David Featherstone, David Release No. 1392 See Also: Order Instituting Proceedings, Release No. 33-10386 , Finality Order, Release Nos. 34-90846, IA-5660, IC-34162 File Number: 3-18061
Dec. 5, 2019	Amundsen, Joseph S., CPA Remus, Michael T., CPA Remus Michael, CPA Release No. 1391 See Also: Order Instituting Proceedings, Release No. 34-85081 File Number: 3-18994
Nov. 12, 2019	Digital Brand Media & Marketing Group, Inc. Intellicell Biosciences, Inc. Release No. 1389 See Also: Order Instituting Proceedings, Release No. 34-80701 File Number: 3-17990
Nov. 12, 2019	Digital Brand Media & Marketing Group, Inc. Intellicell Biosciences, Inc. Release No. 1390 See Also: Order Instituting Proceedings, Release No. 34-80701 File Number: 3-17990
Oct. 22, 2019	Terracciano, Eugene Release No. 1388 See Also: Order Instituting Proceedings, Release No. 34-82958 , Finality Order, Release Nos. 34-90842, IA-5659, IC-34160 File Number: 3-18414
Oct. 16, 2019	Daspin, Edward M. (a/k/a "Edward (Ed) Michael") Agostini, Luigi Lux, Lawrence R. Release No. 1387 File Number: 3-16509
Sept. 16, 2019	Bruton, Karen, CPA Hope Advisors, LLC Release No. 1386 See Also: Order Instituting Proceedings, Release No. 34-84198 , Finality Order, Release Nos. IA-5419, AAER-4109 File Number: 3-18789
Aug. 26, 2019	Saving2Retire, LLC Young, Marian P. Release No. 1384 See Also: Order Instituting Proceedings, Release No. IA-4457 File Number: 3-17352
Aug. 26, 2019	Baker, Robert L. Herrera, Jacob B. Bowen, Michael D. Ballard, Terrence A. Release No. 1385 See Also: Order Instituting Proceedings, Release No. 33-10264 , Finality Order, Release No. 34-87675 File Number: 3-17716
Aug. 23, 2019	Angel Oak Capital Partners, LLC Peraza Capital and Investment, LLC Prabhu, Sreeniwas Wells, David W. Release No. 1383 See Also: Order Instituting Proceedings, Release No. 34-80053 , Finality Order, Release No. 34-87630 File Number: 3-17849
July 30, 2019	Fox, Joseph J. Release No. 1382 See Also: Order Instituting Proceedings, Release No. 33-9908 , Finality Order, Release No. 34-87683 File Number: 3-16795
June 28, 2019	Harris, Talman Release No. 1380 See Also: Release Nos. 34-80197 File Number: 3-17874
June 28, 2019	Harris, Talman Release No. 1381 See Also: and 34-80198 , Finality Order, Release No. 34-87162 File Number: 3-17874
June 5, 2019	Snisky, Gary C. Release No. 1379 See Also: Order Instituting Proceedings, Release No. 34-79169 , Finality Order, Release No. 34-86968 File Number: 3-17645
May 30, 2019	Angela Rubbo Beckcom Monaco Release No. 1378 See Also: Order Instituting Proceedings, Release No. 34-83234 , Finality Order, Release No. 34-86843 File Number: 3-18481
May 28, 2019	BioCoral, Inc. GC China Turbine Corp. Race World International, Inc. Worldwide Biotech & Pharmaceutical Co. Release No. 1377, 34-75204, 34-86846 See Also: Order Instituting Proceedings, Release No. 34-75204 , Finality Order, Release No. 34-86846 File Number: 3-16604
May 9, 2019	Halek, Jason A. Release No. 1376 See Also: Order Instituting Proceedings, Release No. 34-83394 , Finality Order, Release No. 34-86786 File Number: 3-18534
May 8, 2019	Finn, Sean P. M. Dwyer LLC Release No. 1375 See Also: Order Instituting Proceedings, Release No. 34-79367 File Number: 3-17693
April 22, 2019	Zufelt, Anthony C. Release No. 1374 See Also: Order Instituting Proceedings, Release No. 34-80402 , Finality Order, Release No. 34-86482 File Number: 3-17907
April 15, 2019	Feng, Hui Law Offices of Feng & Associates, P.C. Release No. 1373 See Also: Order Instituting Proceedings, Release No. 34-81711 , Finality Order, Release No. 34-86478 File Number: 3-18209
April 10, 2019	Gainer, Jeffrey Release No. 1372 See Also: Order Instituting Proceedings, Release No. 34-81461 , Finality Order, Release No. 34-86366 File Number: 3-18130
April 5, 2019	Herman, Rosalind Release No. 1371 See Also: Order Instituting Proceedings, Release No. IA-4643 , Finality Order, Release No. IA-5297 File Number: 3-17828
March 25, 2019	Reyftmann, Gregory Release No. 1370 See Also: Order Instituting Proceedings, Release No. 34-80568 , Finality Order, Release No. 34-86245 File Number: 3-17959
March 18, 2019	CellCyte Genetics Corp. China Pediatric Pharmaceuticals, Inc. Hawker Energy, Inc. Release No. 1368 See Also: Order Instituting Proceedings, Release No. 34-81489 , Finality Order, Release No. 34-86243 File Number: 3-18141
March 18, 2019	Neman, Shervin Neman Financial, Inc. Release No. 1369 See Also: Order Instituting Proceedings, Release No. IA-4575 , Finality Order, Release No. IA-5257 File Number: 3-17699
March 15, 2019	Reyes, Gerardo E. Release No. 1367 See Also: Order Instituting Proceedings, Release No. 34-81458 , Finality Order, Release No. 34-86114 File Number: 3-18126
March 12, 2019	Infrastructure International, Inc. Release No. 1365 See Also: Order Instituting Proceedings, Release No. 34-77227 , Finality Order, Release No. 34-86088 File Number: 3-17132
March 12, 2019	Changda International Holdings, Inc. Release No. 1366 See Also: Order Instituting Proceedings, Release No. 34-76785 , Finality Order, Release No. 34-86090 File Number: 3-17029
March 8, 2019	Fern Holdings Corp. Fortune Capital Financial Holding Corp. Gaming Entertainment International, Inc. Global Food Technologies, Inc. Release No. 1364 See Also: Order Instituting Proceedings, Release No. 34-83373 , Finality Order, Release No. 34-86056 File Number: 3-18530
March 7, 2019	Bluforest, Inc. Release No. 1363 See Also: Order Instituting Proceedings, Release No. 34-78891 , Finality Order, Release No. 34-86057 File Number: 3-17558
March 5, 2019	African Copper Corp. Genmed Holding Corp. Yanglin Soybean, Inc. Release No. 1361 See Also: Order Instituting Proceedings, Release No. 34-76476 , Finality Order, Release No. 34-86058 File Number: 3-16965
March 5, 2019	Smith, Jeffrey D. Carswell, Joseph Fullard, Michael W. Release No. 1362 See Also: Order Instituting Proceedings, Release No. 34-81983 , Finality Order, Release No. 34-86059 File Number: 3-18271
March 4, 2019	Lee, Christopher M., aka Rashid K. Khalfani Release No. 1360 See Also: Order Instituting Proceedings, Release No. IA-4898 , Finality Order, Release No. IA-5246 File Number: 3-18454
Feb. 26, 2019	Biovest International, Inc. Olie Inc. (n/k/a Syndicate Business Development Corp.) Stargate Entertainment, Inc. Three Sigma Ventures, Inc. Release No. 1359 See Also: Order Instituting Proceedings, Release No. 34-80493 File Number: 3-17935
Feb. 22, 2019	Penn, Lawrence E., III Release No. 1357 See Also: Order Instituting Proceedings, Release Nos. IA-4811, 34-78572, IA-4485, IC-32214 , Finality Order, Release No. IA-5240 File Number: 3-18288
Feb. 22, 2019	Hallas, Demitrios Release No. 1358 See Also: Order Instituting Proceedings, Release No. 34-81743 , Finality Order, Release No. 34-85926 File Number: 3-18229
Feb. 21, 2019	Oriental Dragon Corp. Release No. 1355 See Also: Order Instituting Proceedings, Release No. 34-83099 , Finality Order, Release No. 34-85815 File Number: 3-18450
Feb. 21, 2019	Icon Vapor, Inc. POWRtec International Corp. Silvergraph International, Inc. Walter Energy, Inc. (n/k/a New WEI. Inc.) Release No. 1356 See Also: Order Instituting Proceedings, Release No. 34-81712 , Finality Order, Release No. 34-85918 File Number: 3-18210
Feb. 15, 2019	Bohai Pharmaceuticals Group Inc. Release No. 1354 See Also: Order Instituting Proceedings, Release No. 34-81527 , Finality Order, Release No. 34-85818 File Number: 3-18151
Feb. 14, 2019	China Domestica Bio-Technology Holdings, Inc. Release No. 1353 See Also: Order Instituting Proceedings, Release No. 34-76793 , Finality Order, Release No. 34-85816 File Number: 3-17031
Feb. 14, 2019	Meridian Co., Ltd. Release No. 1350 See Also: Order Instituting Proceedings, Release No. 34-81649 , Finality Order, Release No. 34-85809 File Number: 3-18188
Feb. 14, 2019	Capitol City Bancshares, Inc. Chang-On International, Inc. Computer Graphics International Inc. John D. Oil and Gas Company Legal Life Plans, Inc. Powder River Coal Corp. Release No. 1351 See Also: Order Instituting Proceedings, Release No. 34-78507 , Finality Order, Release No. 34-85805 File Number: 3-17366
Feb. 14, 2019	E-Waste Systems, Inc. Release No. 1352 See Also: Order Instituting Proceedings, Release No. 34-81375 , Finality Order, Release No. 34-85898 File Number: 3-18107
Feb. 12, 2019	Bucci, William D. Release No. 1349 See Also: Order Instituting Proceedings, Release No. 34-80299 , Finality Order, Release No. 34-85894 File Number: 3-17888
Feb. 6, 2019	Stitt, Andrew Release No. 1348 See Also: Order Instituting Proceedings, Release No. 34-79067 , Finality Order, Release No. 34-85890 File Number: 3-17621
Feb. 5, 2019	GL Capital Partners, LLC Release No. 1347 See Also: Order Instituting Proceedings , Corrected Finality Order, Release No. IA-5238 File Number: 3-17818
Feb. 5, 2019	Berger, Brian Michael Release No. 1346 See Also: Order Instituting Proceedings, Release No. 34-81460 , Finality Order, Release No. 34-85893 File Number: 3-18129
Feb. 4, 2019	Vitale, Joseph Release No. 1345 See Also: Order Instituting Proceedings, Release No. 34-81875 , Finality Order, Release No. 34-85884 File Number: 3-18252
Dec. 21, 2018	Lawler, Joe Release No. 1340 See Also: Order Instituting Proceedings, Release No. 34-79186 , Finality Order, Release No. 34-85792 File Number: 3-17650
Dec. 21, 2018	Solo International, Inc. Urban Hydroponics, Inc. Your Event, Inc. Release No. 1342 See Also: Order Instituting Proceedings, Release No. 34-83312 , Finality Order, Release No. 34-85784 File Number: 3-18500
Dec. 21, 2018	Ibex Advanced Mortgage Technology, Inc. Release No. 1343 See Also: Order Instituting Proceedings, Release No. 34-81026 , Finality Order, Release No. 34-85786 File Number: 3-18047
Dec. 21, 2018	ANV Security Group, Inc. Release No. 1344 See Also: Order Instituting Proceedings, Release No. 34-81607 , Finality Order, Release No. 34-85785 File Number: 3-18176
Dec. 21, 2018	Next Galaxy Corp. Novamex Energy, Inc. Occidental Development Group, Inc. Sable Natural Resources Corporation. Release No. 1341 See Also: Order Instituting Proceedings, Release No. 34-81726 , Finality Order, Release No. 34-85787 File Number: 3-18219
Dec. 20, 2018	Addington, Bryan Lee Release No. 1339 See Also: Order Instituting Proceedings, Release No. 34-83459 , Finality Order, Release No. 34-85801 File Number: 3-18545
Dec. 19, 2018	Play La Inc. Titan Trading Analytics, Inc. Release No. 1338 See Also: Order Instituting Proceedings, Release No. 34-83281 , Finality Order, Release No. 34-85769 File Number: 3-18492
Dec. 18, 2018	China Greenstar Corporation Cortronix Biomedical Advancement Technologies, Inc. HW Holdings, Inc. Microelectronics Technology Company Release No. 1335 See Also: Order Instituting Proceedings, Release No. 34-81300 , Finality Order, Release No. 34-85733 File Number: 3-18097
Dec. 18, 2018	Neurologix, Inc. Organic Alliance, Inc. Zinco do Brasil, Inc. Release No. 1336 See Also: Order Instituting Proceedings, Release No. 34-81625 , Finality Order, Release No. 34-85735 File Number: 3-18180
Dec. 18, 2018	Penny Auction Solutions, Inc. Sebring Software, Inc. Studio II Brands, Inc. Release No. 1337 See Also: Order Instituting Proceedings, Release No. 34-81690 , Finality Order, Release No. 34-85736 File Number: 3-18202
Dec. 14, 2018	KollagenX Corp. Microlin Bio, Inc. Vaccinogen, Inc. Virtus Oil and Gas Corp. Release No. 1334 See Also: Order Instituting Proceedings, Release No. 34-81706 , Finality Order, Release No. 34-85720 File Number: 3-18207
Dec. 13, 2018	COPsync, Inc. Falconridge Oil Technologies Corp. FLASR, Inc. Fonon Corp. Release No. 1332 See Also: Order Instituting Proceedings, Release No. 34-83297 , Finality Order, Release No. 34-85718 File Number: 3-18496
Dec. 13, 2018	GO EZ Corporation Green St. Energy, Inc. Hyperview Ltd. Imogo Mobile Technologies Corp. Release No. 1333 See Also: Order Instituting Proceedings, Release No. 34-81694 , Finality Order, Release No. 34-85719 File Number: 3-18204
Dec. 12, 2018	Universal Bioenergy, Inc. Release No. 1331 See Also: Order Instituting Proceedings, Release No. 34-83135 , Finality Order, Release No. 34-85708 File Number: 3-18461
Dec. 11, 2018	Alcorn, David Release No. 1328 See Also: Order Instituting Proceedings, Release No. 34-83130 , Finality Order, Release No. 34-85706 File Number: 3-18460
Dec. 11, 2018	Hall Tees, Inc. Hosokawa Micron International, Inc. James River Coal Company Napa Sonoma Group Inc. (f/k/a Andes 1, Inc.) Self Change Corporation Release No. 1329 See Also: Order Instituting Proceedings, Release No. 34-81536 , Finality Order, Release No. 34-85712 File Number: 3-18155
Dec. 11, 2018	New Western Energy Corp. Preferred Restaurant Brands, Inc. Primco Management, Inc. Release No. 1330 See Also: Order Instituting Proceedings, Release No. 34-80846 File Number: 3-18007
Dec. 10, 2018	BioPharma Manufacturing Solutions Inc. CLTC Ventures Corporation (n/k/a Dreamfly Productions Corporation) Crane Global Energy Company DCA Asset Management, Inc. Release No. 1327 See Also: Order Instituting Proceedings, Release No. 34-81524 , Finality Order, Release No. 34-85680 File Number: 3-18148
Dec. 7, 2018	China Hefeng Rescue Equipment, Inc. Greenworld Development, Inc. Mountain National Bancshares, Inc. UCP Holdings, Inc. Release No. 1326 See Also: Order Instituting Proceedings, Release No. 34-81618 , Finality Order, Release No. 34-85679 File Number: 3-18179
Dec. 6, 2018	Tintic Gold Mining Company Release No. 1324 See Also: Order Instituting Proceedings, Release No. 34-81540 , Finality Order, Release No. 34-85677 File Number: 3-18157
Dec. 6, 2018	Grey Fox Holdings Corp. (f/k/a Gray Fox Petroleum Corp.) Green Innovations Ltd. Red Giant Entertainment, Inc. Release No. 1325 See Also: Order Instituting Proceedings, Release No. 34-83232 , Finality Order, Release No. 34-85675 File Number: 3-18480
Nov. 30, 2018	Infinity Real Estate Holdings Corporation International Industrial Enterprise, Inc. Scor International Foods, Inc. Xhibit Corp. Release No. 1323 See Also: Order Instituting Proceedings, Release No. 34-81723 , Finality Order, Release No. 34-85661 File Number: 3-18217
Nov. 30, 2018	dELiA*s Inc. Global Energy, Inc. Release No. 1322 See Also: Order Instituting Proceedings, Release No. 34-80981 , Finality Order, Release No. 34-85659 File Number: 3-18037
Nov. 29, 2018	CNK Global Inc. (a/k/a American Life Holding Co. Inc.) Release No. 1320 See Also: Order Instituting Proceedings, Release No. 34-81237 , Finality Order, Release No. 34-85645 File Number: 3-18082
Nov. 29, 2018	IMK GROUP, INC. Mobilebits Holdings Corporation National Energy Services, Inc. Power of the Dream Ventures Inc. Release No. 1321 See Also: Order Instituting Proceedings, Release No. 34-81692 , Finality Order, Release No. 34-85648 File Number: 3-18203
Nov. 28, 2018	Creator Capital Ltd. Release No. 1318 See Also: Order Instituting Proceedings, Release No. 34-81656 , Finality Order, Release No. 34-85621 File Number: 3-18189
Nov. 28, 2018	GeoGlobal Resources, Inc. USA Synthetic Fuel Corp. Release No. 1319 See Also: Order Instituting Proceedings, Release No. 34-81533 , Finality Order, Release No. 34-85615 File Number: 3-18153
Nov. 28, 2018	China Du Kang Co., Ltd. Release No. 1317 See Also: Order Instituting Proceedings, Release No. 34-81356 , Finality Order, Release No. 34-85619 File Number: 3-18106
Nov. 27, 2018	Engage Eco Solutions, Inc. Old Stone Corporation Teltronics, Inc. (n/k/a Forerunner Technologies Inc.) Xunna Information Technology, Inc. Release No. 1314 See Also: Order Instituting Proceedings, Release No. 34-81663 , Finality Order, Release No. 34-85595 File Number: 3-18191

Rules & Regulations

Enforcement & Litigation

Compliance

ALJ Initial Decisions

More in this Section

Breadcrumb

ALJ Initial Decisions