ALJ Orders:
Administrative Law Judges

First Quarter

Additional Archives

Release No. Date Respondents

First Quarter

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