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

1261 Oct. 15, 2018 James A. Winkelmann, Sr. and Blue Ocean Portfolios, LLC
Jason S. Patil,
Administrative Law Judge
File No. 3-17253
(Note: Order Instituting Proceedings, Release No. 33-10080)
1260 Oct. 15, 2018 RD Legal Capital, LLC, and Roni Dersovitz
Jason S. Patil,
Administrative Law Judge
File No. 3-17342
(Note: Order Instituting Proceedings, Release No. 33-10111)
See also Appedix A

Third Quarter

1259 Aug. 30, 2018 Donald F. ("Jay") Lathen, Jr., Eden Arc Capital Management, LLC and Eden Arc Capital Advisors, LLC
Jason S. Patil,
Administrative Law Judge
File No. 3-17387
(Note: Order Instituting Proceedings, Release Nos. 33-10120, 34-78572, IA-4485, IC-32214)

Second Quarter

1258 Jun. 20, 2018 Lawrence E. Penn, III
Carol Fox Foelak,
Administrative Law Judge
File No. 3-18288
(Note: Order Instituting Proceedings, Release Nos. IA-4811, 34-78572, IA-4485, IC-32214)
1257 Jun. 19, 2018 Content Checked Holdings, Inc., e.Digital Corp. and Liberty Coal Energy Corp.
Brenda P. Murray,
Chief Administrative Law Judge
File No. 3-18475
(Note: Order Instituting Proceedings, Release No. 34-83189)
1256 Jun. 19, 2018 Jeffrey D. Smith, Joseph Carswell and Michael W. Fullard
Cameron Elliot,
Administrative Law Judge
File No. 3-18271
(Note: Order Instituting Proceedings, Release No. 34-81983)
1255 Jun. 19, 2018 Hedgebrook, Jayhawk Energy, Inc. and Rubicon Financial, Inc.
James E. Grimes,
Administrative Law Judge
File No. 3-18484
(Note: Order Instituting Proceedings, Release No. 34-83245)
1254 Jun. 18, 2018 Baltia Air Lines, Inc., et al.
Carol Fox Foelak,
Administrative Law Judge
File No. 3-18472
(Note: Order Instituting Proceedings, Release No. 34-83184)
1253 May 31, 2018 Mark Megalli
Carol Fox Foelak,
Administrative Law Judge
File No. 3-18250
(Note: Order Instituting Proceedings, Release No. 34-81861)
1252 May 30, 2018 Marilynjean Interactive Inc.
Carol Fox Foelak,
Administrative Law Judge
File No. 3-18445
(Note: Order Instituting Proceedings, Release No. 34-83087)
1251 May 14, 2018 Gary C. Snisky
Brenda P. Murray,
Chief Administrative Law Judge
File No. 3-17645
(Note: Order Instituting Proceedings, Release No. 34-79169)
1250 Apr. 18, 2018 Retirement Surety LLC, et al.
Cameron Elliot,
Administrative Law Judge
File No. 3-18061
(Note: Order Instituting Proceedings, Release No. 33-10386)
1249 Apr. 17, 2018 Rosalind Herman
Carol Fox Foelak,
Administrative Law Judge
File No. 3-17828
(Note: Order Instituting Proceedings, Release No. IA-4643)
1248 Apr. 5, 2018 Gerardo E. Reyes
Brenda P. Murray,
Chief Administrative Law Judge
File No. 3-18126
(Note: Order Instituting Proceedings, Release No. 34-81458)
1247 Apr. 3, 2018 Affirmative Insurance Holdings, Inc., et al.
Cameron Elliot,
Administrative Law Judge
File No. 3-18378
(Note: Order Instituting Proceedings, Release No. 34-82762)

First Quarter

1246 Mar. 23, 2018 Patric Ken Baccam a/k/a Khanh Sengpraseuth
James E. Grimes,
Administrative Law Judge
File No. 3-18276
(Note: Order Instituting Proceedings, Release No. 34-82030)
1245 Mar. 19, 2018 Canwealth Minerals Corp., et al.
Brenda P. Murray,
Chief Administrative Law Judge
File No. 3-18353
(Note: Order Instituting Proceedings, Release No. 34-82610; Finality Order, Release No. 34-83472)
1244 Mar. 16, 2018 California Mines Corp., Cindisue Mining Corp. and Dune Energy, Inc.
Carol Fox Foelak,
Administrative Law Judge
File No. 3-18360
(Note: Order Instituting Proceedings, Release No. 34-82639; Finality Order, Release No. 34-83473)
1243 Mar. 12, 2018 Joseph Vitale
Jason S. Patil,
Administrative Law Judge
File No. 3-18252
(Note: Order Instituting Proceedings, Release No. 34-81875)
1242 Mar. 12, 2018 Hui Feng, Law Offices of Feng & Associates and P.C.
Cameron Elliot,
Administrative Law Judge
File No. 3-18209
(Note: Order Instituting Proceedings, Release No. 34-81711)
1241 Mar. 7, 2018 Altona Resources, Inc., et al.
Brenda P. Murray,
Chief Administrative Law Judge
File No. 3-18339
(Note: Order Instituting Proceedings, Release No. 34-82527; Finality Order, Release No. 34-83374)
1240 Mar. 6, 2018 Blacksands Petroleum, Inc., et al.
Jason S. Patil,
Administrative Law Judge
File No. 3-18333
(Note: Order Instituting Proceedings, Release No. 34-82463; Finality Order, Release No. 34-83375)
1239 Mar. 1, 2018 Anthony C. Zufelt
James E. Grimes,
Administrative Law Judge
File No. 3-17907
(Note: Order Instituting Proceedings, Release No. 34-80402; Finality Order, Release No. 34-83277)
1238 Feb. 27, 2018 Demitrios Hallas
Carol Fox Foelak,
Administrative Law Judge
File No. 3-18229
(Note: Order Instituting Proceedings, Release No. 34-81743; Finality Order, Release No. 34-83284)
1237 Feb. 26, 2018 Abakan, Inc., et al.
Carol Fox Foelak,
Administrative Law Judge
File No. 3-18327
(Note: Order Instituting Proceedings, Release No. 34-82419; Finality Order, Release No. 34-83261)
1236 Feb. 22, 2018 American Nano Silicon Technologies, Inc., et al.
James E. Grimes,
Administrative Law Judge
File No. 3-18326
(Note: Order Instituting Proceedings, Release No. 34-82412; Finality Order, Release No. 34-83283)
1235 Feb. 21, 2018 China Precision Steel, Inc. and Golden River Resources Corp.
Jason S. Patil,
Administrative Law Judge
File No. 3-18152
(Note: Order Instituting Proceedings, Release No. 34-81529; Finality Order, Release No. 34-83260)
1234 Feb. 21, 2018 Ambicom Holdings, Inc., et al.
Carol Fox Foelak,
Administrative Law Judge
File No. 3-18336
(Note: Order Instituting Proceedings, Release No. 34-82507; Finality Order, Release No. 34-83287)
1233 Feb. 6, 2018 Gregory Reyftmann
Brenda P. Murray,
Chief Administrative Law Judge
File No. 3-17959
(Note: Order Instituting Proceedings, Release No. 34-80568; Finality Order, Release No. 34-83259)
1232 Feb. 2, 2018 Abakan, Inc., et al.
Carol Fox Foelak,
Administrative Law Judge
File No. 3-18327
(Note: Order Instituting Proceedings, Release No. 34-82419; Finality Order, Release No. 34-83266)
1231 Jan. 30, 2018 Andrew Stitt
Carol Fox Foelak,
Administrative Law Judge
File No. 3-17621
(Note: Order Instituting Proceedings, Release No. 34-79067; Finality Order, Release No. 34-83258)
1230 Jan. 29, 2018 Prospect Ventures, Inc., et al.
James E. Grimes,
Administrative Law Judge
File No. 3-17945
(Note: Order Instituting Proceedings, Release No. 34-80532; Finality Order, Release No. 34-83288)