ALJ Initial Decisions

Between January 31, 2026, and February 3, 2026, the Commission experienced a lapse in appropriations. In light of the lapse, the Commission issued an order staying certain administrative proceedings. On February 4, 2026, the Commission issued an order lifting the stay and extending dates in the proceedings previously subject to the stay.

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

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Date Sort descending	Respondents
Dec. 31, 2012	Siris, Peter Release No. 477 See Also: Order Instituting Proceedings, Release Nos. 34-67949, IA-3481 File Number: 3-15057
Dec. 26, 2012	Lisa B. Premo Brenda P. Murray, Chief Administrative Law Judge Release No. 476 See Also: Order Instituting Proceedings, Release Nos. IA-3355, IC-29929 , Order Granting Extension, Release Nos. 34-68348, IA-3510, IC-30289 , Finality Order, Release Nos. IA-3541, IC-30372 File Number: 3-14697
Dec. 11, 2012	Stanley C. Brooks and Brookstreet Securities Corp. Carol Fox Foelak, Administrative Law Judge Release No. 475 File Number: 3-14983
Dec. 5, 2012	Fields, Anthony, CPA d/b/a Anthony Fields & Associates and d/b/a Platinum Securities Brokers Release No. 474 See Also: Order Instituting Proceedings, Release Nos. 33-9291, 34-66091, IA-3348, IC-29912 File Number: 3-14684
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 Release No. 473 See Also: Order Instituting Proceedings, Release No. 34-66249 , Order Making Findings and Imposing Sanctions, Release No. 34-66801 , Finality Order, Release No. 34-70708 File Number: 3-14720
Nov. 6, 2012	QuillIndustries, Inc. (n/k/a Eagle Worldwide Inc.), et al. Brenda P. Murray, Chief Administrative Law Judge Release No. 471 See Also: Order Instituting Proceedings, Release No. 34-67370 , Finality Order, Release No. 34-68366 File Number: 3-14943
Nov. 6, 2012	Jantzen, John Release No. 472 See Also: Order Instituting Proceedings, Release No. 34-66991 , Finality Order, Release No. 34-68396 File Number: 3-14880
Nov. 2, 2012	A-Power Energy Generation Systems, Ltd. Carol Fox Foelak, Administrative Law Judge Release No. 470 See Also: Order Instituting Proceedings, Release No. 34-67338 File Number: 3-14935
Sept. 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 Release No. 469 See Also: Order Instituting Proceedings, Release No. 34-67051 , Finality Order, Release No. 34-68120 File Number: 3-14890
Sept. 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 Release No. 468 See Also: Order Instituting Proceedings , Finality Order, Release No. 34-68205 File Number: 3-14623
Aug. 21, 2012	Bartko, Gregory, Esq. Release No. 467 See Also: Order Instituting Proceedings File Number: 3-14700
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 2-Track Global, Inc.) Brenda P. Murray, Chief Administrative Law Judge Release No. 466 See Also: Order Instituting Proceedings, Release No. 34-66672 , Finality Order, Release No. 34-67858 File Number: 3-14815
July 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 Release No. 465 See Also: Order Instituting Proceedings, Release No. 34-66672 , Finality Order, Release No. 34-67796 File Number: 3-14815
July 16, 2012	China MediaExpress Holdings, Inc. Brenda P. Murray, Chief Administrative Law Judge Release No. 464 See Also: Order Instituting Proceedings, Release No. 34-66586 , Finality Order, Release No. 34-67735 File Number: 3-14799
July 3, 2012	ProElite, Inc. and Universal Guardian Holdings, Inc. Brenda P. Murray, Chief Administrative Law Judge Release No. 463 See Also: Order Instituting Proceedings, Release No. 34-66621 , Finality Order, Release No. 34-67736 File Number: 3-14806
June 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 Release No. 462 See Also: Order Instituting Proceedings, Release No. 34-66446 , Order Making Findings and Revoking Registration, Release No. 34-66693 , Finality Order, Release No. 34-67543 File Number: 3-14767
June 20, 2012	Ran H. Furman (Corrected) Cameron Elliot, Administrative Law Judge Release No. 459A See Also: Order Instituting Proceedings, Release No. 34-65271, AAER-3318 , Order Denying Motion, Release No. 34-65680, AAER-3334 , Finality Order, Release No. 34-67549 File Number: 3-14532
June 19, 2012	Amazon Biotech, Inc. and Andover Holdings, Inc. Cameron Elliot, Administrative Law Judge Release No. 461 See Also: Order Instituting Proceedings, Release No. 34-66546 , Finality Order, Release No. 34-67636 File Number: 3-14794
June 14, 2012	American United Gold Corporation, AMS Homecare Inc., Aucxis Corp., and CYOP Systems International Inc. Brenda P. Murray, Chief Administrative Law Judge Release No. 460 See Also: Order Instituting Proceedings, Release No. 34-66456 File Number: 3-14770
May 24, 2012	Koch, Donald L. Koch Asset Management LLC Release No. 458 See Also: Order Instituting Proceedings, Release No. 34-64337, IA-3190, IC-29659 File Number: 3-14355
April 20, 2012	Montford and Company, Inc. d/b/a Montford Associates Montford, Ernest V., Sr. Release No. 457 See Also: Order Instituting Proceedings, Release No. IA-3273 File Number: 3-14536
April 4, 2012	Peter Emrich, Alberto Ferreiras, James Frankfurth, Frank Rossi, and Dana Valensky Robert G. Mahony, Administrative Law Judge Release No. 456 See Also: Order Instituting Proceedings, Release No. 34-65167 , Finality Order, Release No. 34-66917 File Number: 3-14509
March 19, 2012	Terry Harris Brenda P. Murray, Chief Administrative Law Judge Release No. 455 See Also: Order Instituting Proceedings, Release No. IA-3309 , Finality Order, Release No. IA-3484 File Number: 3-14610
Feb. 22, 2012	China-Biotics, Inc. Carol Fox Foelak, Administrative Law Judge Release No. 454 See Also: Order Instituting Proceedings, Release No. 34-65510 File Number: 3-14581
Feb. 15, 2012	Ablest Inc. Absolute Potential, Inc. (f/k/a Absolute Waste Services Inc.) Alpha Petroleum Exploration Corp. AMCV Capital Trust I American Health Inc. Avid Sportswear & Golf Corp. (n/k/a Merger Co., Inc.) The Bighub.com, Inc. (n/k/a Capital Consultants Funding, Inc.) Release No. 453 See Also: Order Instituting Proceedings, Release No. 34-65560 File Number: 3-14587
Feb. 14, 2012	Gualario & Co., LLC and Ronald Gualario Carol Fox Foelak, Administrative Law Judge Release No. 452 See Also: Order Instituting Proceedings, Release No. 33-9202 , Finality Order, Release Nos. 33-9310, 34-66751, IA-3392, IC-30028 File Number: 3-14340
Feb. 10, 2012	Jenkins, Leila C. Release No. 451 See Also: Order Instituting Proceedings, Release Nos. 34-64849 and IA-3235 , Finality Order, Release No. 34-66548 File Number: 3-14458
Feb. 6, 2012	Locke Capital Management, Inc. Cameron Elliot, Administrative Law Judge Release No. 450 See Also: Order Instituting Proceedings, Release No. IA-3234 , Finality Order, Release No. IA-3381 File Number: 3-14457
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 Release No. 449 See Also: Order Instituting Proceedings, Release No. 34-65274 , Finality Order, Release No. 34-66437 File Number: 3-14534
Jan. 5, 2012	Pelosi, Michael R. Release No. 448 See Also: Order Instituting Proceedings, Release No. IA-3141 , Opinion, Release No. IA-3805 File Number: 3-14194
Jan. 4, 2012	Alfred Clay Ludlum, III Brenda P. Murray, Chief Administrative Law Judge Release No. 447 See Also: Order Instituting Proceedings, Release No. IA-3294 , Opinion, Release No. IA-3628 File Number: 3-14572

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