ALJ Orders:
Administrative Law Judges

First Quarter

Additional Archives

Release No. Date Respondents

First Quarter

AP-4708 Mar. 24, 2017 Shallbetter Industries, Inc., et al.
AP-4707 Mar. 24, 2017 John Austin Gibson, Jr.
AP-4706 Mar. 24, 2017 Gray Financial Group, Inc., et al.
AP-4705 Mar. 23, 2017 William D. Bucci
AP-4704 Mar. 23, 2017 China Biopharma, Inc., et al.
AP-4703 Mar. 22, 2017 William Tirrell
AP-4702 Mar. 22, 2017 Hydrocarb Energy Corp.
AP-4701 Mar. 22, 2017 James P. Griffin
AP-4700 Mar. 21, 2017 Ubiquity, Inc.
AP-4699 Mar. 21, 2017 Sidewinder Explorations Inc.
AP-4698 Mar. 21, 2017 Tod A. Ditommaso, Esq.
AP-4697 Mar. 20, 2017 Shervin Neman and Neman Financial, Inc.
AP-4696 Mar. 20, 2017 Jason B. Smith
AP-4695 Mar. 20, 2017 Aaron R. Parthemer
AP-4694 Mar. 17, 2017 GCA I Acquisition Corp., et al.
AP-4693 Mar. 17, 2017 Warren D. Nadel
AP-4692 Mar. 17, 2017 Shallbetter Industries, Inc., et al.
AP-4691 Mar. 16, 2017 Med-X, Inc.
AP-4690 Mar. 16, 2017 Gl Capital Partners, LLC and Gl Investment Services, LLC
AP-4689 Mar. 16, 2017 Go Ez Corporation, Arc Lifestyle Group Inc. and Nova Smart Solutions Inc.
AP-4688 Mar. 16, 2017 Myriad Entertainment & Resorts, Inc., National Real Estate Limited Partnership VI and Paradise Communications Services, Inc.
AP-4687 Mar. 16, 2017 Adrian D. Beamish, CPA
AP-4686 Mar. 15, 2017 Alexander Kon
AP-4685 Mar. 15, 2017 Steven Zoernack and Equitystar Capital Management, LLC
AP-4684 Mar. 15, 2017 John Austin Gibson, Jr.
AP-4683 Mar. 15, 2017 RD Legal Capital, LLC and Roni Dersovitz
AP-4682 Mar. 15, 2017 Cirtran Corp., et al.
AP-4681 Mar. 14, 2017 Gray Financial Group, Inc., et al.
AP-4680 Mar. 14, 2017 Angel Oak Capital Partners, LLC, et al.
AP-4679 Mar. 14, 2017 Go Ez Corporation, Arc Lifestyle Group Inc. and Nova Smart Solutions Inc.
AP-4678 Mar. 13, 2017 Sylvester King Jr.
AP-4677 Mar. 13, 2017 Hydrocarb Energy Corp.
AP-4676 Mar. 13, 2017 Gray Financial Group, Inc., et al.
AP-4675 Mar. 13, 2017 Talman Harris and Victor Alfaya
AP-4674 Mar. 10, 2017 Prestige Financial Corp., et al.
AP-4673 Mar. 10, 2017 RD Legal Capital, LLC and Roni Dersovitz
AP-4672 Mar. 10, 2017 Lynn Tilton; Patriarch Partners, et al.
AP-4671 Mar. 10, 2017 GCA I Acquisition Corp., et al.
AP-4670 Mar. 9, 2017 RD Legal Capital, LLC and Roni Dersovitz
AP-4669 Mar. 9, 2017 Hans Peter Black and Interinvest Corporation, Inc.
AP-4668 Mar. 9, 2017 James P. Griffin
AP-4667 Mar. 9, 2017 Donald F. ("Jay") Lathen, Jr., Eden Arc Capital Management, LLC and Eden Arc Capital Advisors, LLC
AP-4666 Mar. 9, 2017 Brian C. Rose
AP-4665 Mar. 9, 2017 Rosalind Herman
AP-4664 Mar. 8, 2017 William Tirrell
AP-4663 Mar. 8, 2017 Thomas H. Caniford
AP-4662 Mar. 8, 2017 Robert L. Baker, et al.
AP-4661 Mar. 8, 2017 Alison, LLC and Stephen D. Alison
AP-4660 Mar. 8, 2017 Bryan Wayne Anderson
AP-4659 Mar. 7, 2017 Laurence I. Balter d/b/a Oracle Investment Research
AP-4658 Mar. 7, 2017 Sean P. Finn and M. Dwyer LLC
AP-4657 Mar. 7, 2017 RD Legal Capital, LLC and Roni Dersovitz
AP-4656 Mar. 6, 2017 Sylvester King Jr.
AP-4655 Mar. 6, 2017 David S. Hall, P.C. d/b/a the Hall Group CPAs, et al.
AP-4654 Mar. 6, 2017 Cirtran Corp., et al.
AP-4653 Mar. 3, 2017 Mark D. Holt (a/k/a Mark D. Holthusen)
AP-4652 Mar. 3, 2017 Robert L. Baker, et al.
AP-4651 Mar. 3, 2017 Edward Richardson Jr., CPA and Edward Richardson Jr.
AP-4650 Mar. 3, 2017 Gray Financial Group, Inc., et al.
AP-4649 Mar. 3, 2017 Shervin Neman and Neman Financial, Inc.
AP-4648 Mar. 3, 2017 Saving2retire, LLC and Marian P. Young
AP-4647 Mar. 3, 2017 Bluforest, Inc.
AP-4646 Mar. 2, 2017 Donald F. ("Jay") Lathen, Jr., Eden Arc Capital Management, LLC and Eden Arc Capital Advisors, LLC
AP-4645 Mar. 1, 2017 RD Legal Capital, LLC and Roni Dersovitz
AP-4644 Mar. 1, 2017 Saving2Retire, LLC and Marian P. Young
AP-4643 Mar. 1, 2017 Windsor Street Capital, et al.
AP-4642 Feb. 28, 2017 Med-X, Inc.
AP-4641 Feb. 28, 2017 AVT, Inc., et al.
AP-4640 Feb. 28, 2017 Go Ez Corporation, Arc Lifestyle Group Inc. and Nova Smart Solutions Inc.
AP-4639 Feb. 28, 2017 Myriad Entertainment & Resorts, Inc., National Real Estate Limited Partnership VI and Paradise Communications Services, Inc.
AP-4638 Feb. 28, 2017 Sidewinder Explorations Inc.
AP-4637 Feb. 28, 2017 Prestige Financial Corp., et al.
AP-4636 Feb. 28, 2017 Edward Richardson Jr., CPA and Edward Richardson Jr.
AP-4635 Feb. 28, 2017 Rosalind Herman
AP-4634 Feb. 28, 2017 Adrian D. Beamish, CPA
AP-4633 Feb. 28, 2017 GL Capital Partners, LLC and GL Investment Services, LLC
AP-4632 Feb. 27, 2017 Joe Lawler
AP-4631 Feb. 27, 2017 Shervin Neman and Neman Financial, Inc.
AP-4630 Feb. 27, 2017 John Austin Gibson, Jr.
AP-4629 Feb. 24, 2017 Hans Peter Black and Interinvest Corporation, Inc.
AP-4628 Feb. 24, 2017 Donald F. ("Jay") Lathen, Jr., Eden Arc Capital Management, LLC and Eden Arc Capital Advisors, LLC
AP-4627 Feb. 24, 2017 David S. Hall, P.C. d/b/a the Hall Group CPAs, et al.
AP-4626 Feb. 24, 2017 Gray Financial Group, Inc., et al.
AP-4625 Feb. 23, 2017 Robert L. Baker, et al.
AP-4624 Feb. 23, 2017 Thomas H. Caniford
AP-4623 Feb. 23, 2017 Hans Peter Black and Interinvest Corporation, Inc.
AP-4622 Feb. 23, 2017 RD Legal Capital, LLC and Roni Dersovitz
AP-4621 Feb. 23, 2017 Gray Financial Group, Inc., et al.
AP-4620 Feb. 22, 2017 Charles L. Hill, Jr.
AP-4619 Feb. 22, 2017 Gray Financial Group, Inc., et al.
AP-4618 Feb. 22, 2017 Barbara Duka
AP-4617 Feb. 21, 2017 Alexander Kon
AP-4616 Feb. 21, 2017 Angel Oak Capital Partners, LLC, et al.
AP-4615 Feb. 21, 2017 Gray Financial Group, Inc., et al.
AP-4614 Feb. 21, 2017 GL Capital Partners, LLC and GL Investment Services, LLC
AP-4613 Feb. 17, 2017 Hydrocarb Energy Corp.
AP-4612 Feb. 17, 2017 James P. Griffin
AP-4611 Feb. 17, 2017 Fibercorp International, Inc., Hygenics Pharmaceuticals, Inc. and Investors Trust, Inc.
AP-4610 Feb. 17, 2017 Delverton Resorts International Inc.
AP-4609 Feb. 17, 2017 GL Capital Partners, LLC and GL Investment Services, LLC
AP-4608 Feb. 16, 2017 Saving2Retire, LLC and Marian P. Young
AP-4607 Feb. 16, 2017 GL Investment Services, LLC
AP-4606 Feb. 15, 2017 Robert L. Baker, et al.
AP-4605 Feb. 14, 2017 Robert L. Baker, et al.
AP-4604 Feb. 13, 2017 Infeed Medica Corp.
AP-4603 Feb. 13, 2017 AVT, Inc., et al.
AP-4602 Feb. 13, 2017 Hans Peter Black and Interinvest Corporation, Inc.
AP-4601 Feb. 13, 2017 Adrian D. Beamish, CPA
AP-4600 Feb. 13, 2017 Sylvester King Jr.
AP-4599 Feb. 13, 2017 Delverton Resorts International Inc.
AP-4598 Feb. 13, 2017 Jason B. Smith
AP-4597 Feb. 10, 2017 Infeed Medica Corp.
AP-4596 Feb. 10, 2017 Ironridge Global Partners, LLC and Ironridge Global IV, Ltd.
AP-4595 Feb. 9, 2017 Ironridge Global Partners, LLC and Ironridge Global IV, Ltd.
AP-4594 Feb. 9, 2017 Augustine Capital Management, et al.
AP-4593 Feb. 8, 2017 Rosalind Herman
AP-4592 Feb. 7, 2017 Gray Financial Group, Inc., et al.
AP-4591 Feb. 7, 2017 Ironridge Global Partners, LLC and Ironridge Global IV, Ltd.
AP-4590 Feb. 7, 2017 Jason B. Smith
AP-4589 Feb. 6, 2017 Ironridge Global Partners, LLC and Ironridge Global IV, Ltd.
AP-4588 Feb. 6, 2017 William Tirrell
AP-4587 Feb. 3, 2017 Windsor Street Capital, et al.
AP-4586 Feb. 3, 2017 Thomas H. Caniford
AP-4585 Feb. 3, 2017 Fibercorp International, Inc., Hygenics Pharmaceuticals, Inc. and Investors Trust, Inc.
AP-4584 Feb. 3, 2017 AVT, Inc., et al.
AP-4583 Feb. 3, 2017 Delverton Resorts International Inc.
AP-4582 Feb. 3, 2017 Alexander Kon
AP-4581 Feb. 3, 2017 Adrian D. Beamish, CPA
AP-4580 Feb. 2, 2017 Mark D. Holt (a/k/a Mark D. Holthusen)
AP-4579 Feb. 1, 2017 Ironridge Global Partners, LLC and Ironridge Global IV, Ltd.
AP-4578 Feb. 1, 2017 Windsor Street Capital, et al.
AP-4577 Jan. 31, 2017 Robert S. McGregor
AP-4576 Jan. 31, 2017 Robert S. McGregor
AP-4575 Jan. 31, 2017 Infeed Medica Corp.
AP-4574 Jan. 31, 2017 Ironridge Global Partners, LLC and Ironridge Global IV, Ltd.
AP-4573 Jan. 31, 2017 GL Investment Services, LLC
AP-4572 Jan. 31, 2017 GL Capital Partners, LLC
AP-4571 Jan. 31, 2017 AFN, Inc., et al.
AP-4570 Jan. 30, 2017 Roy Dekel
AP-4569 Jan. 30, 2017 Ironridge Global Partners, LLC and Ironridge Global IV, Ltd.
AP-4568 Jan. 30, 2017 Barbara Duka
AP-4567 Jan. 30, 2017 Jason B. Smith
AP-4566 Jan. 30, 2017 Charles L. Hill, Jr.
AP-4565 Jan. 30, 2017 Saving2Retire, LLC and Marian P. Young
AP-4564 Jan. 27, 2017 Donald F. ("Jay") Lathen, Jr., Eden Arc Capital Management, LLC and Eden Arc Capital Advisors, LLC
AP-4563 Jan. 27, 2017 Robert L. Baker, et al.
AP-4562 Jan. 27, 2017 Gray Financial Group, Inc., et al.
AP-4561 Jan. 27, 2017 RD Legal Capital, LLC and Roni Dersovitz
AP-4560 Jan. 27, 2017 Laurence I. Balter d/b/a Oracle Investment Research
AP-4559 Jan. 27, 2017 Brian C. Rose
AP-4558 Jan. 27, 2017 Daniel R. Bartholomew and Karl I. Hjelvik
AP-4557 Jan. 27, 2017 Windsor Street Capital, L.P. (f/k/a/ Meyers Associates, L.P.) and John David Telfer
AP-4556 Jan. 27, 2017 Infeed Medica Corp.
AP-4555 Jan. 27, 2017 Hans Peter Black and Interinvest Corporation, Inc.
AP-4554 Jan. 27, 2017 Med-X, Inc.
AP-4553 Jan. 26, 2017 Karl E. Hahn
AP-4552 Jan. 26, 2017 Adrian D. Beamish, CPA
AP-4551 Jan. 26, 2017 Donald F. ("Jay") Lathen, Jr., Eden Arc Capital Management, LLC and Eden Arc Capital Advisors, LLC
AP-4550 Jan. 25, 2017 Gray Financial Group, Inc., et al.
AP-4549 Jan. 25, 2017 Gray Financial Group, Inc., et al.
AP-4548 Jan. 25, 2017 Middlebury Securities, LLC and Gregory Osborn
AP-4547 Jan. 25, 2017 Shervin Neman and Neman Financial, Inc.
AP-4546 Jan. 25, 2017 Christopher M. Gibson
AP-4545 Jan. 24, 2017 Gray Financial Group, Inc., et al.
AP-4544 Jan. 24, 2017 Robert S. McGregor
AP-4543 Jan. 24, 2017 Gray Financial Group, Inc., et al.
AP-4542 Jan. 23, 2017 Donald F. ("Jay") Lathen, Jr., Eden Arc Capital Management, LLC and Eden Arc Capital Advisors, LLC
AP-4541 Jan. 23, 2017 Alexander Kon
AP-4540 Jan. 23, 2017 Jason B. Smith
AP-4539 Jan. 23, 2017 Middlebury Securities, LLC and Gregory Osborn
AP-4538 Jan. 23, 2017 Wilson-Davis & Company, Inc.
AP-4537 Jan. 23, 2017 Brian C. Rose
AP-4536 Jan. 19, 2017 Augustine Capital Management, et al.
AP-4535 Jan. 19, 2017 AFN, Inc., et al.
AP-4534 Jan. 19, 2017 Laurence I. Balter d/b/a Oracle Investment Research
AP-4533 Jan. 18, 2017 Donald F. ("Jay") Lathen, Jr., Eden Arc Capital Management, LLC and Eden Arc Capital Advisors, LLC
AP-4532 Jan. 18, 2017 Pab Bankshares, Inc. and USAbg Corp.
AP-4531 Jan. 18, 2017 Middlebury Securities, LLC and Gregory Osborn
AP-4530 Jan. 18, 2017 Gray Financial Group, Inc., et al.
AP-4529 Jan. 17, 2017 Curtis A. Peterson
AP-4528 Jan. 17, 2017 Wilson-Davis & Company, Inc.
AP-4527 Jan. 17, 2017 China Domestica Bio-Technology Holdings, Inc.
AP-4526 Jan. 13, 2017 RD Legal Capital, LLC and Roni Dersovitz
AP-4525 Jan. 13, 2017 Laurence I. Balter d/b/a Oracle Investment Research
AP-4524 Jan. 13, 2017 Alexander Kon
AP-4523 Jan. 13, 2017 Saving2Retire, LLC and Marian P. Young
AP-4522 Jan. 13, 2017 BioElectronics Corp., et al.
AP-4521 Jan. 12, 2017 RD Legal Capital, LLC and Roni Dersovitz
AP-4520 Jan. 12, 2017 Augustine Capital Management (f/k/a Augustine Capital Management, Inc.), et al.
AP-4519 Jan. 11, 2017 Gray Financial Group, Inc., et al.
AP-4518 Jan. 11, 2017 Roy Dekel (a/k/a Mark D. Holthusen)
AP-4517 Jan. 11, 2017 Mark D. Holt (a/k/a Mark D. Holthusen)
AP-4516 Jan. 11, 2017 James Y. Lee
AP-4515 Jan. 11, 2017 RD Legal Capital, LLC and Roni Dersovitz
AP-4514 Jan. 10, 2017 Adrian D. Beamish, CPA
AP-4513 Jan. 10, 2017 Donald F. ("Jay") Lathen, et al.
AP-4512 Jan. 10, 2017 Ironridge Global Partners, LLC and Ironridge Global IV, Ltd.
AP-4511 Jan. 9, 2017 Bay City Transfer Agency, Registrar, Inc. and Nitin M. Amersey
AP-4510 Jan. 9, 2017 Alexander Kon
AP-4509 Jan. 9, 2017 Gray Financial Group, Inc., et al.
AP-4508 Jan. 9, 2017 Donald F. ("Jay") Lathen, et al.
AP-4507 Jan. 9, 2017 Barbara Duka
AP-4506 Jan. 9, 2017 Alexander Kon
AP-4505 Jan. 9, 2017 Alexander Kon
AP-4504 Jan. 6, 2017 Adrian D. Beamish, CPA
AP-4503 Jan. 6, 2017 Robert L. Baker, et al.
AP-4502 Jan. 6, 2017 William Tirrell
AP-4501 Jan. 5, 2017 Alexander Kon
AP-4500 Jan. 4, 2017 Ben Franklin Retail Stores, Inc., Enrotek Corp. and Spectre Gaming, Inc.
AP-4499 Jan. 4, 2017 RD Legal Capital, LLC and Roni Dersovitz
AP-4498 Jan. 3, 2017 Sen Yu International Holdings, Inc.
AP-4497 Jan. 3, 2017 Sheldon Rose and MKJJ Consulting LLC