ALJ Initial Decisions:
Administrative Law Judges Archive: 2020

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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Release No. Date Respondents
Fourth Quarter
1405 Nov. 9, 2020 William J. Sears
James E. Grimes,
Administrative Law Judge
File No. 3-17547
(Note: Order Instituting Proceedings, Release No. 33-10212) Finality Order, Release No. 33-10929)
1404 Oct. 29, 2020 Randall Goulding, Esq.
Carol Fox Foelak,
Administrative Law Judge
File No. 3-19697
(Note: Order Instituting Proceedings, Release No. 34-88155); Finality Order, Release No. 34-92075)
Third Quarter
1403 Sep. 25, 2020 Mark Feathers
James E. Grimes,
Administrative Law Judge
File No. 3-15755
(Note: Order Instituting Proceedings, Release No. 34-71565)
1402 Sep. 2, 2020 Victor Alfaya and Talman Harris
Carol Fox Foelak,
Administrative Law Judge
File Nos. 3-17874, 3-17875
(Note: Order Instituting Proceedings, Release No. 34-80197); Order Instituting Proceedings, Release No. 34-80198); Finality Order, Release No. 34-90881
1401 Aug. 13, 2020 Laurie Bebo and John Buono, CPA
Jason S. Patil,
Administrative Law Judge
File No. 3-16293
(Note: Order Instituting Proceedings, Release No. 34-73722)
Second Quarter
1400 Apr. 3, 2020 Ascension Asset Management, LLC and Grenville M. Gooder, Jr.
Carol Fox Foelak,
Administrative Law Judge
File No. 3-19024
(Note: Order Instituting Proceedings, Release No. IA-5121); Finality Order, Release Nos. IC-34168, IA-5665
First Quarter
1399 Mar. 31, 2020 China Biopharma, Inc., et al.
Jason S. Patil,
Administrative Law Judge
File No. 3-17886
(Note: Order Instituting Proceedings, Release No. 34-80293); Finality Order, Release No. 34-90892
1398 Mar. 24, 2020 Christopher M. Gibson
James E. Grimes,
Administrative Law Judge
File No. 3-17184
(Note: Order Instituting Proceedings, Release No. 34-77466)
1397 Mar. 17, 2020 The Registration Statement of Starkot Corp.
Carol Fox Foelak,
Administrative Law Judge
File No. 3-19146
(Note: Order Instituting Proceedings, Release No. 33-10629; Finality Order, Release No. 33-10917
1396 Feb. 18, 2020 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; Finality Order, Release No. 34-90871
1395 Jan. 28, 2020 Can-Cal Resources Ltd., China Fruits Corp. and Skystar Bio-Pharmaceutical Co.
James E. Grimes,
Administrative Law Judge
File No. 3-18017
(Note: Order Instituting Proceedings, Release No. 34-80892); Finality Order, Release No. 34-90840
1394 Jan. 10, 2020 Traci J. Anderson, CPA, Timothy W. Carnahan and Cyios Corporation
James E. Grimes,
Administrative Law Judge
File No. 3-16386
(Note: Order Instituting Proceedings, Release No. 33-9725)