ALJ Orders

During enforcement proceedings assigned to one of the SEC's administrative law judges (ALJs), a judge may issue orders to schedule hearings, rule on motions or the admissibility of evidence, or otherwise communicate information to the parties involved.

View orders arranged by date below.

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Date Sort ascending	Respondents
Dec. 24, 2003	Rita J. McConville and Kevin M. Harris, C.P.A. Release No. 3-11330
Dec. 18, 2003	Harrison Securities, Inc., Frederick C. Blumer, and Nebrissa Song Release No. 3-11084
Dec. 17, 2003	Rita J. McConville and Kevin M. Harris, C.P.A. Release No. 3-11330
Dec. 8, 2003	Rita J. McConville and Kevin M. Harris, C.P.A. Release No. 3-11330
Dec. 4, 2003	Shane Ferras Release No. 3-11283 File Number: 3-11283
Dec. 3, 2003	Putnam Investment Management, LLC Release No. 3-11317
Nov. 25, 2003	Hunter Adams, et al. Release No. 3-10624
Nov. 24, 2003	Pattinson Hayton Release No. 3-11063
Nov. 18, 2003	Nevis Capital Management, LLC, David R. Wilmerding, III, and Jon C. Baker Release No. 3-11201
Nov. 18, 2003	Nevis Capital Management, LLC, David R. Wilmerding, III, and Jon C. Baker Release No. 3-11201
Nov. 14, 2003	Philip L. Pascale, CPA Release No. 3-11194
Nov. 10, 2003	Nevis Capital Management, LLC, David R. Wilmerding, III, and Jon C. Baker Release No. 3-11201
Nov. 6, 2003	Wendell D. Belden Release No. 3-11213 File Number: 3-11213
Nov. 5, 2003	Darius L. Lee Release No. 3-11210
Oct. 30, 2003	Michael Batterman and Randall B. Batterman, III Release No. 3-11259
Oct. 22, 2003	IFG Network Securities, Inc. Release No. 3-11179
Oct. 10, 2003	IFG Network Securities, Inc., William Kissinger, KissingerAdvisory, Inc., Bert Miller, Glenn Wilkinson, and David Ledbetter Release No. 3-11179
Oct. 9, 2003	Castle Securities Corp. and Michael T. Studer Release No. 3-11229
Oct. 7, 2003	Harrison Securities, Inc., Frederick C. Blumer, and Nebrissa Song Release No. 3-11084
Oct. 3, 2003	Harrison Securities, Inc., Frederick C. Blumer, and Nebrissa Song Release No. 3-11084
Oct. 1, 2003	Jean-Paul Bolduc, et al. Release No. 3-9793
Sept. 24, 2003	Steven Wise and Larry Vindman Release No. 3-11247
Sept. 23, 2003	Cyrus Industries, Inc. Release No. 3-11221 File Number: 3-11221
Sept. 17, 2003	Louis W. Ratfield Release No. 3-11225 File Number: 3-11225
Sept. 17, 2003	John DelPrince Release No. 3-11223 File Number: 3-11223
Sept. 12, 2003	IFG Network Securities, Inc., William Kissinger, Kissinger Advisory, Inc., Bert Miller,Glenn Wilkinson, and David Ledbetter Release No. 3-11179
Sept. 12, 2003	IFG Network Securities, Inc., William Kissinger, Kissinger Advisory, Inc., Bert Miller,Glenn Wilkinson, and David Ledbetter Release No. 3-11179
Sept. 10, 2003	Xaibe, Inc. and Lowell Nicholas Release No. 3-11182 File Number: 3-11182
Sept. 8, 2003	Darius L. Lee Release No. 3-11210 File Number: 3-11210
Aug. 25, 2003	Kevin H. Goldstein and Jackwest Corporation Release No. 3-11010
Aug. 25, 2003	Global Telemedia International, Inc. Release No. 3-11181
Aug. 19, 2003	RGW Acquisition Corporation I, RGW Acquisition Corporation II, RGW Acquisition Corporation III, RGW Acquisition Corporation IV, RGW Acquisition Corporation V, RGW Acquisition Corporation VI, RGW Acquisition Corporation VII, RGW Acquisition Corporation VIII, RGW Acquisition Corporation IX, RGW Acquisition Corporation X Release No. 3-11183 File Number: 3-11183
July 17, 2003	Liberty National Securities, Inc., Robert J. Guyer, and Sonia Howe Radencovici Release No. 3-11087 File Number: 3-11087
June 30, 2003	Liberty National Securities, Inc., Robert J. Guyer, and Sonia Howe Radencovici Release No. 3-11087 File Number: 3-11087
June 27, 2003	Jean-Paul Bolduc, et al. Release No. 3-9793
June 25, 2003	James F. Glaza, D/B/A Falcon Financial Services, Inc. Release No. 3-11012
June 24, 2003	Iosif Pak, a/k/a Joseph Pak, and Roman Sakharovich, a/k/a Roman Sakh Release No. 3-11104 File Number: 3-11104
June 16, 2003	Iosif Pak, a/k/a Joseph Pak, and Roman Sakharovich, a/k/a Roman Sakh Release No. 3-11104
May 5, 2003	Salvatore Piazza, et al. Release No. 3-10229
May 1, 2003	David Edwards, James Edwards, Kevin Lynds and Gerald J. Stock Release No. 3-11002
April 29, 2003	Edgar B. Alacan and Mayer Dallal Release No. 3-10765
April 22, 2003	Hexagon Consolidated Companies of America, Inc. Release No. 3-11059 File Number: 3-11059
April 17, 2003	A.S. Goldmen & Co., Inc., Anthony J. Marchiano, Stuart E. Winkler, John T. Diasabeyagunawardena, (a.k.a. John Abbey), John P. Delcioppo, Christopher M. Delcioppo, Vincent J. Lia, Duane P. Taylor, and Charles Trento Release No. 3-9933
April 10, 2003	William E. Kraemer Release No. 3-11037 File Number: 3-11037
April 3, 2003	Eduardo Villar Release No. 3-11044 File Number: 3-11044
March 31, 2003	Jeffrey R. Patterson and Terrance Turman Release No. 3-10936
March 26, 2003	A.S. Goldmen & Co., Inc., Anthony J. Marchiano, Stuart E. Winkler, John T. Diasabeyagunawardena, (a.k.a. John Abbey), John P. Delcioppo, Christopher M. Delcioppo, Vincent J. Lia, Duane P. Taylor, and Charles Trento Release No. 3-9933
March 24, 2003	Jeffrey M. Goldberg Release No. 3-10997
March 21, 2003	J.W. Barclay & Co., Inc., John A. Bruno, Michael J. Wills, Edgar B. Alacan, Emmanuel P. CubeMayer Dallal, Danoo Noor, Sr., Emanuele A. Scarso, and Michael B. Scott Release No. 3-10765
March 20, 2003	Ernst & Young LLP Release No. 3-10933
March 19, 2003	J.W. Barclay & Co., Inc., John A. Bruno, Michael J. Wills, Edgar B. Alacan, Emmanuel P. CubeMayer Dallal, Danoo Noor, Sr., Emanuele A. Scarso, and Michael B. Scott Release No. 3-10765
March 18, 2003	Sharad Kapoor Release No. 3-10945 File Number: 3-10945
March 13, 2003	Jeffrey R. Patterson and Terrance Turman Release No. 3-10936
March 11, 2003	Ernst & Young LLP Release No. 3-10933
March 10, 2003	Jean-Paul Bolduc, et al. Release No. 3-9793
March 4, 2003	Jean-Paul Bolduc, et al. Release No. 3-9793
Feb. 25, 2003	Igor Fleyshmakher a/k/a Isaac Flash a/k/a Isaac Marks Release No. 3-11016 File Number: 3-11016
Feb. 25, 2003	Eric Pereman Release No. 3-11017 File Number: 3-11017
Feb. 21, 2003	Jeffrey R. Patterson and Terrance Turman Release No. 3-10936
Feb. 20, 2003	Ernst & Young LLP Release No. 3-10933
Feb. 19, 2003	Leslie A. Arouh Release No. 3-10884
Feb. 19, 2003	Jeffrey R. Patterson and Terrance Turman Release No. 3-10936
Feb. 14, 2003	J.W. Barclay & Co., Inc., et al. Release No. 3-10765
Feb. 13, 2003	J.W. Barclay & Co., Inc., John A. Bruno, Michael J. Wills, Edgar B. Alacan, Emmanuel P. CubeMayer Dallal, Danoo Noor, Sr., Emanuele A. Scarso, and Michael B. Scott Release No. 3-10765
Feb. 12, 2003	J.W. Barclay & Co., Inc., John A. Bruno, Michael J. Wills, Edgar B. Alacan, Emmanuel P. CubeMayer Dallal, Danoo Noor, Sr., Emanuele A. Scarso, and Michael B. Scott Release No. 3-10765
Jan. 31, 2003	Ives Health Company, Inc. Release No. 3-10871 File Number: 3-10871
Jan. 31, 2003	Arjun Sekhri Release No. 3-10946 File Number: 3-10946
Jan. 28, 2003	Dennis S. Herula Release No. 3-10931
Jan. 22, 2003	Jeffrey Trenk Release No. 3-9148
Jan. 16, 2003	J.W. Barclay & Co., Inc., John A. Bruno, Michael J. Wills, Edgar B. Alacan, Emmanuel P. CubeMayer Dallal, Danoo Noor, Sr., Emanuele A. Scarso, and Michael B. Scott Release No. 3-10765
Jan. 14, 2003	Oxford Capital Management, Inc. and John G. Danz, Jr. Release No. 3-10895
Jan. 13, 2003	Robert C. Sears Release No. 3-10929
Jan. 10, 2003	Gordon J. Rollert Release No. 3-10996 File Number: 3-10996
Jan. 9, 2003	Clarke T. Blizzard and Rudolph Abel Release No. 3-10007
Jan. 9, 2003	Salman Shariff Release No. 3-10927
Jan. 6, 2003	Clarke T. Blizzard and Rudolph Abel Release No. 3-10007
Jan. 3, 2003	Monica Lynn Coleman Release No. 3-10875

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