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).

• Litigated AP Case Materials (Open)

• Litigated AP Case Materials (Closed)

• Electronic Filings in Administrative Proceedings (eFAP)

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ALJ Initial Decisions: Administrative Law Judges Table

Date	Respondents
Date: Dec. 23, 2019	Respondents: Graham, Jonathan Edward Release No. 1393 See Also: Order Instituting Proceedings, Release No. 33-10628 File Number: 3-19142
Date: Dec. 20, 2019	Respondents: 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
Date: Dec. 5, 2019	Respondents: 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
Date: Nov. 12, 2019	Respondents: 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
Date: Nov. 12, 2019	Respondents: 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
Date: Oct. 22, 2019	Respondents: 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
Date: Oct. 16, 2019	Respondents: Daspin, Edward M. (a/k/a "Edward (Ed) Michael") Agostini, Luigi Lux, Lawrence R. Release No. 1387 File Number: 3-16509
Date: Sept. 16, 2019	Respondents: 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
Date: Aug. 26, 2019	Respondents: Saving2Retire, LLC Young, Marian P. Release No. 1384 See Also: Order Instituting Proceedings, Release No. IA-4457 File Number: 3-17352
Date: Aug. 26, 2019	Respondents: 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
Date: Aug. 23, 2019	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: July 30, 2019	Respondents: 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
Date: June 28, 2019	Respondents: Harris, Talman Release No. 1380 See Also: Release Nos. 34-80197 File Number: 3-17874
Date: June 28, 2019	Respondents: Harris, Talman Release No. 1381 See Also: and 34-80198 , Finality Order, Release No. 34-87162 File Number: 3-17874
Date: June 5, 2019	Respondents: 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
Date: May 30, 2019	Respondents: 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
Date: May 28, 2019	Respondents: 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
Date: May 9, 2019	Respondents: 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
Date: May 8, 2019	Respondents: Finn, Sean P. M. Dwyer LLC Release No. 1375 See Also: Order Instituting Proceedings, Release No. 34-79367 File Number: 3-17693
Date: April 22, 2019	Respondents: 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
Date: April 15, 2019	Respondents: 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
Date: April 10, 2019	Respondents: Gainer, Jeffrey Release No. 1372 See Also: Order Instituting Proceedings, Release No. 34-81461 , Finality Order, Release No. 34-86366 File Number: 3-18130
Date: April 5, 2019	Respondents: Herman, Rosalind Release No. 1371 See Also: Order Instituting Proceedings, Release No. IA-4643 , Finality Order, Release No. IA-5297 File Number: 3-17828
Date: March 25, 2019	Respondents: Reyftmann, Gregory Release No. 1370 See Also: Order Instituting Proceedings, Release No. 34-80568 , Finality Order, Release No. 34-86245 File Number: 3-17959
Date: March 18, 2019	Respondents: 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
Date: March 18, 2019	Respondents: 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
Date: March 15, 2019	Respondents: 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
Date: March 12, 2019	Respondents: 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
Date: March 12, 2019	Respondents: 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
Date: March 8, 2019	Respondents: 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
Date: March 7, 2019	Respondents: Bluforest, Inc. Release No. 1363 See Also: Order Instituting Proceedings, Release No. 34-78891 , Finality Order, Release No. 34-86057 File Number: 3-17558
Date: March 5, 2019	Respondents: 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
Date: March 5, 2019	Respondents: 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
Date: March 4, 2019	Respondents: 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
Date: Feb. 26, 2019	Respondents: 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
Date: Feb. 22, 2019	Respondents: 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
Date: Feb. 22, 2019	Respondents: Hallas, Demitrios Release No. 1358 See Also: Order Instituting Proceedings, Release No. 34-81743 , Finality Order, Release No. 34-85926 File Number: 3-18229
Date: Feb. 21, 2019	Respondents: 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
Date: Feb. 21, 2019	Respondents: 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
Date: Feb. 15, 2019	Respondents: 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
Date: Feb. 14, 2019	Respondents: 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
Date: Feb. 14, 2019	Respondents: 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
Date: Feb. 14, 2019	Respondents: 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
Date: Feb. 14, 2019	Respondents: 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
Date: Feb. 12, 2019	Respondents: 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
Date: Feb. 6, 2019	Respondents: Stitt, Andrew Release No. 1348 See Also: Order Instituting Proceedings, Release No. 34-79067 , Finality Order, Release No. 34-85890 File Number: 3-17621
Date: Feb. 5, 2019	Respondents: 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
Date: Feb. 5, 2019	Respondents: GL Capital Partners, LLC Release No. 1347 See Also: Order Instituting Proceedings , Corrected Finality Order, Release No. IA-5238 File Number: 3-17818
Date: Feb. 4, 2019	Respondents: Vitale, Joseph Release No. 1345 See Also: Order Instituting Proceedings, Release No. 34-81875 , Finality Order, Release No. 34-85884 File Number: 3-18252