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.
1415
File Number:
3-21243
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Date: |
Respondents:
Release No.
1414
File Number:
3-20531
|
Date: |
Respondents:
Release No.
1413
See Also:
Order Instituting Proceedings
File Number:
3-21032
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Date: |
Respondents:
Release No.
1412
See Also:
Order Instituting Proceedings
,
Finality Order
File Number:
3-20627
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Date: |
Respondents:
Release No.
1411
See Also:
Order Instituting Proceedings, Release No. 34-90259
,
Finality Order, Release No. 34-93457
File Number:
3-20136
|
Date: |
Respondents:
Release No.
1410
File Number:
3-20220
|
Date: |
Respondents:
Release No.
1409
See Also:
Order Instituting Proceedings, Release No. 34-82557
,
Finality Order, Release No. 34-93005
File Number:
3-18347
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Date: |
Respondents:
Release No.
1408
See Also:
Order Instituting Proceedings, Release No. 34-82998
,
Finality Order, Release No. 34-91438
File Number:
3-18422
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Date: |
Respondents: Anton & Chia, LLP Wahl, Gregory A., CPA Deutchman, Michael, CPA Chung, Georgia, CPA Shek, Tommy, CPA
Release No.
1407
File Number:
3-18292
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Date: |
Respondents:
Release No.
1406
See Also:
Order Instituting Proceedings, Release No. 33-10843
,
Finality Order, Release No. 33-10928
File Number:
3-20021
|
Date: |
Respondents:
Release No.
1405
See Also:
Order Instituting Proceedings, Release No. 33-10212
,
Finality Order, Release No. 33-10929
File Number:
3-17547
|
Date: |
Respondents:
Release No.
1404
See Also:
Order Instituting Proceedings, Release No. 34-88155
,
Finality Order, Release No. 34-92075
File Number:
3-19697
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Date: |
Respondents:
Release No.
1403
File Number:
3-15755
|
Date: |
Respondents:
Release No.
1402
File Number:
3-17874
|
Date: |
Respondents:
Release No.
1401
File Number:
3-16293
|
Date: |
Respondents:
Release No.
1400
See Also:
Order Instituting Proceedings, Release No. IA-5121
,
Finality Order, Release Nos. IC-34168, IA-5665
File Number:
3-19024
|
Date: |
Respondents:
Release No.
1399
See Also:
Order Instituting Proceedings, Release No. 34-80293
,
Finality Order, Release No. 34-90892
File Number:
3-17886
|
Date: |
Respondents:
Release No.
1398
File Number:
3-17184
|
Date: |
Respondents:
Release No.
1397
See Also:
Order Instituting Proceedings, Release No. 33-10629
,
Finality Order, Release No. 33-10917
File Number:
3-19146
|
Date: |
Respondents:
Release No.
1396
See Also:
Order Instituting Proceedings, Release No. 34-79367
,
Finality Order, Release No. 34-90871
File Number:
3-17693
|
Date: |
Respondents:
Release No.
1395
See Also:
Order Instituting Proceedings, Release No. 34-80892
,
Finality Order, Release No. 34-90840
File Number:
3-18017
|
Date: |
Respondents:
Release No.
1394
File Number:
3-16386
|
Date: |
Respondents:
Release No.
1393
File Number:
3-19142
|
Date: |
Respondents:
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
|
Date: |
Respondents:
Release No.
1391
File Number:
3-18994
|
Date: |
Respondents:
Release No.
1389
File Number:
3-17990
|
Date: |
Respondents:
Release No.
1390
File Number:
3-17990
|
Date: |
Respondents:
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
|
Date: |
Respondents:
Release No.
1387
File Number:
3-16509
|
Date: |
Respondents:
Release No.
1386
See Also:
Order Instituting Proceedings, Release No. 34-84198
,
Finality Order, Release Nos. IA-5419, AAER-4109
File Number:
3-18789
|
Date: |
Respondents:
Release No.
1384
File Number:
3-17352
|
Date: |
Respondents:
Release No.
1385
See Also:
Order Instituting Proceedings, Release No. 33-10264
,
Finality Order, Release No. 34-87675
File Number:
3-17716
|
Date: |
Respondents: 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
|
Date: |
Respondents:
Release No.
1382
File Number:
3-16795
|
Date: |
Respondents:
Release No.
1380
See Also:
Release Nos. 34-80197
File Number:
3-17874
|
Date: |
Respondents:
Release No.
1381
See Also:
and 34-80198
,
Finality Order, Release No. 34-87162
File Number:
3-17874
|
Date: |
Respondents:
Release No.
1379
See Also:
Order Instituting Proceedings, Release No. 34-79169
,
Finality Order, Release No. 34-86968
File Number:
3-17645
|
Date: |
Respondents:
Release No.
1378
See Also:
Order Instituting Proceedings, Release No. 34-83234
,
Finality Order, Release No. 34-86843
File Number:
3-18481
|
Date: |
Respondents:
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
|
Date: |
Respondents:
Release No.
1376
See Also:
Order Instituting Proceedings, Release No. 34-83394
,
Finality Order, Release No. 34-86786
File Number:
3-18534
|
Date: |
Respondents:
Release No.
1375
File Number:
3-17693
|
Date: |
Respondents:
Release No.
1374
See Also:
Order Instituting Proceedings, Release No. 34-80402
,
Finality Order, Release No. 34-86482
File Number:
3-17907
|
Date: |
Respondents:
Release No.
1373
See Also:
Order Instituting Proceedings, Release No. 34-81711
,
Finality Order, Release No. 34-86478
File Number:
3-18209
|
Date: |
Respondents:
Release No.
1372
See Also:
Order Instituting Proceedings, Release No. 34-81461
,
Finality Order, Release No. 34-86366
File Number:
3-18130
|
Date: |
Respondents:
Release No.
1371
File Number:
3-17828
|
Date: |
Respondents:
Release No.
1370
See Also:
Order Instituting Proceedings, Release No. 34-80568
,
Finality Order, Release No. 34-86245
File Number:
3-17959
|
Date: |
Respondents:
Release No.
1368
See Also:
Order Instituting Proceedings, Release No. 34-81489
,
Finality Order, Release No. 34-86243
File Number:
3-18141
|
Date: |
Respondents:
Release No.
1369
File Number:
3-17699
|
Date: |
Respondents:
Release No.
1367
See Also:
Order Instituting Proceedings, Release No. 34-81458
,
Finality Order, Release No. 34-86114
File Number:
3-18126
|
Date: |
Respondents:
Release No.
1365
See Also:
Order Instituting Proceedings, Release No. 34-77227
,
Finality Order, Release No. 34-86088
File Number:
3-17132
|
Date: |
Respondents:
Release No.
1366
See Also:
Order Instituting Proceedings, Release No. 34-76785
,
Finality Order, Release No. 34-86090
File Number:
3-17029
|
Date: |
Respondents:
Release No.
1364
See Also:
Order Instituting Proceedings, Release No. 34-83373
,
Finality Order, Release No. 34-86056
File Number:
3-18530
|
Date: |
Respondents:
Release No.
1363
See Also:
Order Instituting Proceedings, Release No. 34-78891
,
Finality Order, Release No. 34-86057
File Number:
3-17558
|
Date: |
Respondents:
Release No.
1361
See Also:
Order Instituting Proceedings, Release No. 34-76476
,
Finality Order, Release No. 34-86058
File Number:
3-16965
|
Date: |
Respondents:
Release No.
1362
See Also:
Order Instituting Proceedings, Release No. 34-81983
,
Finality Order, Release No. 34-86059
File Number:
3-18271
|
Date: |
Respondents:
Release No.
1360
File Number:
3-18454
|
Date: |
Respondents:
Release No.
1359
File Number:
3-17935
|
Date: |
Respondents:
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
|
Date: |
Respondents:
Release No.
1358
See Also:
Order Instituting Proceedings, Release No. 34-81743
,
Finality Order, Release No. 34-85926
File Number:
3-18229
|
Date: |
Respondents:
Release No.
1355
See Also:
Order Instituting Proceedings, Release No. 34-83099
,
Finality Order, Release No. 34-85815
File Number:
3-18450
|
Date: |
Respondents:
Release No.
1356
See Also:
Order Instituting Proceedings, Release No. 34-81712
,
Finality Order, Release No. 34-85918
File Number:
3-18210
|
Date: |
Respondents:
Release No.
1354
See Also:
Order Instituting Proceedings, Release No. 34-81527
,
Finality Order, Release No. 34-85818
File Number:
3-18151
|
Date: |
Respondents:
Release No.
1350
See Also:
Order Instituting Proceedings, Release No. 34-81649
,
Finality Order, Release No. 34-85809
File Number:
3-18188
|
Date: |
Respondents:
Release No.
1351
See Also:
Order Instituting Proceedings, Release No. 34-78507
,
Finality Order, Release No. 34-85805
File Number:
3-17366
|
Date: |
Respondents:
Release No.
1352
See Also:
Order Instituting Proceedings, Release No. 34-81375
,
Finality Order, Release No. 34-85898
File Number:
3-18107
|
Date: |
Respondents:
Release No.
1353
See Also:
Order Instituting Proceedings, Release No. 34-76793
,
Finality Order, Release No. 34-85816
File Number:
3-17031
|
Date: |
Respondents:
Release No.
1349
See Also:
Order Instituting Proceedings, Release No. 34-80299
,
Finality Order, Release No. 34-85894
File Number:
3-17888
|
Date: |
Respondents:
Release No.
1348
See Also:
Order Instituting Proceedings, Release No. 34-79067
,
Finality Order, Release No. 34-85890
File Number:
3-17621
|
Date: |
Respondents:
Release No.
1346
See Also:
Order Instituting Proceedings, Release No. 34-81460
,
Finality Order, Release No. 34-85893
File Number:
3-18129
|
Date: |
Respondents:
Release No.
1347
File Number:
3-17818
|
Date: |
Respondents:
Release No.
1345
See Also:
Order Instituting Proceedings, Release No. 34-81875
,
Finality Order, Release No. 34-85884
File Number:
3-18252
|
Date: |
Respondents:
Release No.
1340
See Also:
Order Instituting Proceedings, Release No. 34-79186
,
Finality Order, Release No. 34-85792
File Number:
3-17650
|
Date: |
Respondents:
Release No.
1341
See Also:
Order Instituting Proceedings, Release No. 34-81726
,
Finality Order, Release No. 34-85787
File Number:
3-18219
|
Date: |
Respondents:
Release No.
1342
See Also:
Order Instituting Proceedings, Release No. 34-83312
,
Finality Order, Release No. 34-85784
File Number:
3-18500
|
Date: |
Respondents:
Release No.
1343
See Also:
Order Instituting Proceedings, Release No. 34-81026
,
Finality Order, Release No. 34-85786
File Number:
3-18047
|
Date: |
Respondents:
Release No.
1344
See Also:
Order Instituting Proceedings, Release No. 34-81607
,
Finality Order, Release No. 34-85785
File Number:
3-18176
|
Date: |
Respondents:
Release No.
1339
See Also:
Order Instituting Proceedings, Release No. 34-83459
,
Finality Order, Release No. 34-85801
File Number:
3-18545
|
Date: |
Respondents:
Release No.
1338
See Also:
Order Instituting Proceedings, Release No. 34-83281
,
Finality Order, Release No. 34-85769
File Number:
3-18492
|
Date: |
Respondents:
Release No.
1335
See Also:
Order Instituting Proceedings, Release No. 34-81300
,
Finality Order, Release No. 34-85733
File Number:
3-18097
|
Date: |
Respondents:
Release No.
1336
See Also:
Order Instituting Proceedings, Release No. 34-81625
,
Finality Order, Release No. 34-85735
File Number:
3-18180
|
Date: |
Respondents:
Release No.
1337
See Also:
Order Instituting Proceedings, Release No. 34-81690
,
Finality Order, Release No. 34-85736
File Number:
3-18202
|
Date: |
Respondents:
Release No.
1334
See Also:
Order Instituting Proceedings, Release No. 34-81706
,
Finality Order, Release No. 34-85720
File Number:
3-18207
|
Date: |
Respondents:
Release No.
1332
See Also:
Order Instituting Proceedings, Release No. 34-83297
,
Finality Order, Release No. 34-85718
File Number:
3-18496
|
Date: |
Respondents:
Release No.
1333
See Also:
Order Instituting Proceedings, Release No. 34-81694
,
Finality Order, Release No. 34-85719
File Number:
3-18204
|
Date: |
Respondents:
Release No.
1331
See Also:
Order Instituting Proceedings, Release No. 34-83135
,
Finality Order, Release No. 34-85708
File Number:
3-18461
|
Date: |
Respondents:
Release No.
1328
See Also:
Order Instituting Proceedings, Release No. 34-83130
,
Finality Order, Release No. 34-85706
File Number:
3-18460
|
Date: |
Respondents:
Release No.
1329
See Also:
Order Instituting Proceedings, Release No. 34-81536
,
Finality Order, Release No. 34-85712
File Number:
3-18155
|
Date: |
Respondents:
Release No.
1330
File Number:
3-18007
|
Date: |
Respondents:
Release No.
1327
See Also:
Order Instituting Proceedings, Release No. 34-81524
,
Finality Order, Release No. 34-85680
File Number:
3-18148
|
Date: |
Respondents:
Release No.
1326
See Also:
Order Instituting Proceedings, Release No. 34-81618
,
Finality Order, Release No. 34-85679
File Number:
3-18179
|
Date: |
Respondents:
Release No.
1324
See Also:
Order Instituting Proceedings, Release No. 34-81540
,
Finality Order, Release No. 34-85677
File Number:
3-18157
|
Date: |
Respondents:
Release No.
1325
See Also:
Order Instituting Proceedings, Release No. 34-83232
,
Finality Order, Release No. 34-85675
File Number:
3-18480
|
Date: |
Respondents:
Release No.
1322
See Also:
Order Instituting Proceedings, Release No. 34-80981
,
Finality Order, Release No. 34-85659
File Number:
3-18037
|
Date: |
Respondents:
Release No.
1323
See Also:
Order Instituting Proceedings, Release No. 34-81723
,
Finality Order, Release No. 34-85661
File Number:
3-18217
|
Date: |
Respondents:
Release No.
1320
See Also:
Order Instituting Proceedings, Release No. 34-81237
,
Finality Order, Release No. 34-85645
File Number:
3-18082
|
Date: |
Respondents:
Release No.
1321
See Also:
Order Instituting Proceedings, Release No. 34-81692
,
Finality Order, Release No. 34-85648
File Number:
3-18203
|
Date: |
Respondents:
Release No.
1317
See Also:
Order Instituting Proceedings, Release No. 34-81356
,
Finality Order, Release No. 34-85619
File Number:
3-18106
|
Date: |
Respondents:
Release No.
1318
See Also:
Order Instituting Proceedings, Release No. 34-81656
,
Finality Order, Release No. 34-85621
File Number:
3-18189
|
Date: |
Respondents:
Release No.
1319
See Also:
Order Instituting Proceedings, Release No. 34-81533
,
Finality Order, Release No. 34-85615
File Number:
3-18153
|
Date: |
Respondents:
Release No.
1312
See Also:
Order Instituting Proceedings, Release No. 34-81658
,
Finality Order, Release No. 34-85570
File Number:
3-18190
|