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

1387 Oct. 16, 2019 Edward M. Daspin, et al.
Brenda P. Murray,
Chief Administrative Law Judge
File No. 3-16509
(Note: Order Instituting Proceedings, Release No. 33-9755)

Third Quarter

1386 Sep. 16, 2019 Karen Bruton and Hope Advisors, LLC
Carol Fox Foelak,
Administrative Law Judge
File Nos. 3-18789, 3-18790
(Note: Order Instituting Proceedings, Release No. 34-84198)
1385 Aug. 26, 2019 Robert L. Baker, et al.
Brenda P. Murray,
Chief Administrative Law Judge
File No. 3-17716
(Note: Order Instituting Proceedings, Release No. 33-10264)
1384 Aug. 26, 2019 Saving2Retire, LLC and Marian P. Young
Brenda P. Murray,
Chief Administrative Law Judge
File No. 3-17352
(Note: Order Instituting Proceedings, Release No. IA-4457)
1383 Aug. 23, 2019 Angel Oak Capital Partners, LLC, et al.
James E. Grimes,
Administrative Law Judge
File No. 3-17849
(Note: Order Instituting Proceedings, Release No. 34-80053)
1382 Jul. 30, 2019 Joseph J. Fox
Carol Fox Foelak,
Administrative Law Judge
File No. 3-16795
(Note: Order Instituting Proceedings, Release No. 33-9908)

Second Quarter

1381 Jun. 28, 2019 Talman Harris and Victor Alfaya
Carol Fox Foelak,
Administrative Law Judge
File No. 3-17874
(Note: Order Instituting Proceedings, Release No. 34-80198); Finality Order, Release No. 34-87162)
1380 Jun. 28, 2019 Talman Harris and Victor Alfaya
Carol Fox Foelak,
Administrative Law Judge
File Nos. 3-17874, 3-17875
(Note: Order Instituting Proceedings, Release No. 34-80197)
1379 Jun. 5, 2019 Gary C. Snisky
James E. Grimes,
Administrative Law Judge
File No. 3-17645
(Note: Order Instituting Proceedings, Release No. 34-79169); Finality Order, Release No. 34-86968)
1378 May 30, 2019 Angela Rubbo Beckcom Monaco
Brenda P. Murray,
Chief Administrative Law Judge
File No. 3-18481
(Note: Order Instituting Proceedings, Release No. 34-83234); Finality Order, Release No. 34-86843)
1377 May 28, 2019 BioCoral, Inc., et al.
Brenda P. Murray,
Chief Administrative Law Judge
File No. 3-16604
(Note: Order Instituting Proceedings, Release No. 34-75204); Finality Order, Release No. 34-86846)
1376 May 9, 2019 Jason A. Halek
Brenda P. Murray,
Chief Administrative Law Judge
File No. 3-18534
(Note: Order Instituting Proceedings, Release No. 34-83394); Finality Order, Release No. 34-86786)
1375 May 8, 2019 Sean P. Finn and M. Dwyer LLC
James E. Grimes,
Administrative Law Judge
File No. 3-17693
(Note: Order Instituting Proceedings, Release No. 34-79367)
1374 Apr. 22, 2019 Anthony C. Zufelt
Brenda P. Murray,
Chief Administrative Law Judge
File No. 3-17907
(Note: Order Instituting Proceedings, Release No. 34-80402); Finality Order, Release No. 34-86482)
1373 Apr. 15, 2019 Hui Feng, Law Offices of Feng & Associates and P.C.
Carol Fox Foelak,
Administrative Law Judge
File No. 3-18209
(Note: Order Instituting Proceedings, Release No. 34-81711; Finality Order, Release No. 34-86478)
1372 Apr. 10, 2019 Jeffrey Gainer
James E. Grimes,
Administrative Law Judge
File No. 3-18130
(Note: Order Instituting Proceedings, Release No. 34-81461); Finality Order, Release No. 34-86366)
1371 Apr. 5, 2019 Rosalind Herman
James E. Grimes,
Administrative Law Judge
File No. 3-17828
(Note: Order Instituting Proceedings, Release No. IA-4643; Finality Order, Release No. IA-5297)

First Quarter

1370 Mar. 25, 2019 Gregory Reyftmann
Cameron Elliot,
Administrative Law Judge
File No. 3-17959
(Note: Order Instituting Proceedings, Release No. 34-80568; Finality Order, Release No. 34-86245)
1369 Mar. 18, 2019 Shervin Neman and Neman Financial, Inc.
Carol Fox Foelak,
Administrative Law Judge
File No. 3-17699
(Note: Order Instituting Proceedings, Release No. IA-4575); Finality Order, Release No. IA-5257)
1368 Mar. 18, 2019 CellCyte Genetics Corp., China Pediatric Pharmaceuticals, Inc. and Hawker Energy, Inc.
Cameron Elliot,
Administrative Law Judge
File No. 3-18141
(Note: Order Instituting Proceedings, Release No. 34-81489; Finality Order, Release No. 34-86243)
1367 Mar. 15, 2019 Gerardo E. Reyes
Cameron Elliot,
Administrative Law Judge
File No. 3-18126
(Note: Order Instituting Proceedings, Release No. 34-81458); Finality Order, Release No. 34-86114)
1366 Mar. 12, 2019 Changda International Holdings, Inc.
Cameron Elliot,
Administrative Law Judge
File No. 3-17029
(Note: Order Instituting Proceedings, Release No. 34-76785; Finality Order, Release No. 34-86090)
1365 Mar. 12, 2019 Infrastructure International, Inc.
James E. Grimes,
Administrative Law Judge
File No. 3-17132
(Note: Order Instituting Proceedings, Release No. 34-77227; Finality Order, Release No. 34-86088)
1364 Mar. 8, 2019 Fern Holdings Corp., et al.
Brenda P. Murray,
Chief Administrative Law Judge
File No. 3-18530
(Note: Order Instituting Proceedings, Release No. 34-83373; Finality Order, Release No. 34-86056)
1363 Mar. 7, 2019 Bluforest, Inc.
Carol Fox Foelak,
Administrative Law Judge
File No. 3-17558
(Note: Order Instituting Proceedings, Release No. 34-78891; Finality Order, Release No. 34-86057)
1362 Mar. 5, 2019 Jeffrey D. Smith, Joseph Carswell and Michael W. Fullard
Carol Fox Foelak,
Administrative Law Judge
File No. 3-18271
(Note: Order Instituting Proceedings, Release No. 34-81983); Finality Order, Release No. 34-86059)
1361 Mar. 5, 2019 African Copper Corp., Genmed Holding Corp. and Yanglin Soybean, Inc.
Cameron Elliot,
Administrative Law Judge
File No. 3-16965
(Note: Order Instituting Proceedings, Release No. 34-76476; Finality Order, Release No. 34-86058)
1360 Mar. 4, 2019 Christopher M. Lee and a/k/a Rashid K. Khalfani
James E. Grimes,
Administrative Law Judge
File No. 3-18454
(Note: Order Instituting Proceedings, Release No. IA-4898); Finality Order, Release No. IA-5246)
1359 Feb. 26, 2019 Biovest International, Inc., et al.
Cameron Elliot,
Administrative Law Judge
File No. 3-17935
(Note: Order Instituting Proceedings, Release No. 34-80493)
1358 Feb. 22, 2019 Demitrios Hallas
James E. Grimes,
Administrative Law Judge
File No. 3-18229
(Note: Order Instituting Proceedings, Release No. 34-81743); Finality Order, Release No. 34-85926)
1357 Feb. 22, 2019 Lawrence E. Penn, III
James E. Grimes,
Administrative Law Judge
File No. 3-18288
(Note: Order Instituting Proceedings, Release No. IA-4811); Finality Order, Release No. IA-5240)
1356 Feb. 21, 2019 Icon Vapor, Inc., et al.
Brenda P. Murray,
Chief Administrative Law Judge
File No. 3-18210
(Note: Order Instituting Proceedings, Release No. 34-81712; Finality Order, Release No. 34-85918)
1355 Feb. 21, 2019 Oriental Dragon Corp.
James E. Grimes,
Administrative Law Judge
File No. 3-18450
(Note: Order Instituting Proceedings, Release No. 34-83099; Finality Order, Release No. 34-85815)
1354 Feb. 15, 2019 Bohai Pharmaceuticals Group Inc.
Brenda P. Murray,
Chief Administrative Law Judge
File No. 3-18151
(Note: Order Instituting Proceedings, Release No. 34-81527; Finality Order, Release No. 34-85818)
1353 Feb. 14, 2019 China Domestica Bio-Technology Holdings, Inc.
James E. Grimes,
Administrative Law Judge
File No. 3-17031
(Note: Order Instituting Proceedings, Release No. 34-76793; Finality Order, Release No. 34-85816)
1352 Feb. 14, 2019 E-Waste Systems, Inc.
Brenda P. Murray,
Chief Administrative Law Judge
File No. 3-18107
(Note: Order Instituting Proceedings, Release No. 34-81375; Finality Order, Release No. 34-85898)
1351 Feb. 14, 2019 Capitol City Bancshares, Inc., et al.
Carol Fox Foelak,
Administrative Law Judge
File No. 3-17366
(Note: Order Instituting Proceedings, Release No. 34-78507; Finality Order, Release No. 34-85805)
1350 Feb. 14, 2019 Meridian Co., Ltd.
James E. Grimes,
Administrative Law Judge
File No. 3-18188
(Note: Order Instituting Proceedings, Release No. 34-81649; Finality Order, Release No. 34-85809)
1349 Feb. 12, 2019 William D. Bucci
James E. Grimes,
Administrative Law Judge
File No. 3-17888
(Note: Order Instituting Proceedings, Release No. 34-80299); Finality Order, Release No. 34-85894)
1348 Feb. 6, 2019 Andrew Stitt
James E. Grimes,
Administrative Law Judge
File No. 3-17621
(Note: Order Instituting Proceedings, Release No. 34-79067); Finality Order, Release No. 34-85890)
1347 Feb. 5, 2019 GL Capital Partners, LLC and GL Investment Services, LLC
Brenda P. Murray,
Chief Administrative Law Judge
File Nos. 3-17818 and 17819
(Note: Order Instituting Proceedings, Release No. IA-4629); Corrected Finality Order, Release No. IA-5238)
1346 Feb. 5, 2019 Brian Michael Berger
James E. Grimes,
Administrative Law Judge
File No. 3-18129
(Note: Order Instituting Proceedings, Release No. 34-81460); Finality Order, Release No. 34-85893)
1345 Feb. 4, 2019 Joseph Vitale
Cameron Elliot,
Administrative Law Judge
File No. 3-18252
(Note: Order Instituting Proceedings, Release No. 34-81875); Finality Order, Release No. 34-85884)