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 descending	Respondents
Aug. 14, 2019	Bandimere, David F. Young, John O. Release No. AP-6655 File Number: 3-15124
Aug. 8, 2019	Raymond J. Lucia Companies, Inc. Lucia, Raymond J., Sr. Release No. AP-6652 File Number: 3-15006
Aug. 8, 2019	Hall, David S., P.C. d/b/a the Hall Group CPAs Hall, David S., CPA Cochran, Michelle L. Helterbran, CPA Cisneros, Susan A. Release No. AP-6653 File Number: 3-17228
Aug. 6, 2019	Anderson, Traci J., CPA Carnahan, Timothy W. CYIOS Corporation Release No. AP-6650 File Number: 3-16386
Aug. 6, 2019	Gibson, Christopher M. Release No. AP-6651 File Number: 3-17184
Aug. 5, 2019	Daspin, Edward M. (a/k/a "Edward (Ed) Michael") Agostini, Luigi Lux, Lawrence R. Release No. AP-6649 File Number: 3-16509
Aug. 5, 2019	Gibson, Christopher M. Release No. AP-6648 File Number: 3-17184
Aug. 1, 2019	Rossi, Matthew R. SJL Capital, LLC Release No. AP-6647 File Number: 3-19145
July 30, 2019	Daspin, Edward M. (a/k/a "Edward (Ed) Michael") Agostini, Luigi Lux, Lawrence R. Release No. AP-6646 File Number: 3-16509
July 29, 2019	Daspin, Edward M. (a/k/a "Edward (Ed) Michael") Agostini, Luigi Lux, Lawrence R. Release No. AP-6645 File Number: 3-16509
July 25, 2019	Anderson, Traci J., CPA Carnahan, Timothy W. CYIOS Corporation Release No. AP-6643 File Number: 3-16386
July 25, 2019	Raymond J. Lucia Companies, Inc. Lucia, Raymond J., Sr. Release No. AP-6644 File Number: 3-15006
July 24, 2019	Pruitt, David, CPA Release No. AP-6641 File Number: 3-17950
July 24, 2019	Bebo, Laurie Buono, John, CPA Release No. AP-6642 File Number: 3-16293
July 23, 2019	Gibson, Christopher M. Release No. AP-6638 File Number: 3-17184
July 23, 2019	Raymond J. Lucia Companies, Inc. Lucia, Raymond J., Sr. Release No. AP-6639 File Number: 3-15006
July 23, 2019	Anton & Chia, LLP Wahl, Gregory A., CPA Deutchman, Michael, CPA Chung, Georgia, CPA Shek, Tommy, CPA Release No. AP-6640 File Number: 3-18292
July 23, 2019	Hall, David S., P.C. d/b/a the Hall Group CPAs Hall, David S., CPA Cochran, Michelle L. Helterbran, CPA Cisneros, Susan A. Release No. AP-6635 File Number: 3-17228
July 23, 2019	Rossi, Matthew R. SJL Capital, LLC Release No. AP-6636 File Number: 3-19145
July 23, 2019	Daspin, Edward M. (a/k/a "Edward (Ed) Michael") Agostini, Luigi Lux, Lawrence R. Release No. AP-6637 File Number: 3-16509
July 19, 2019	Anton & Chia, LLP Wahl, Gregory A., CPA Deutchman, Michael, CPA Chung, Georgia, CPA Shek, Tommy, CPA Release No. AP-6633 File Number: 3-18292
July 19, 2019	Retirement Surety LLC Crescendo Financial LLC Rose, Thomas Leeman, David Featherstone, David Release No. AP-6634 File Number: 3-18061
July 18, 2019	Anderson, Traci J., CPA Carnahan, Timothy W. CYIOS Corporation Release No. AP-6632 File Number: 3-16386
July 17, 2019	Bandimere, David F. Young, John O. Release No. AP-6630 File Number: 3-15124
July 17, 2019	Anton & Chia, LLP Wahl, Gregory A., CPA Deutchman, Michael, CPA Chung, Georgia, CPA Shek, Tommy, CPA Release No. AP-6631 File Number: 3-18292
July 15, 2019	Raymond J. Lucia Companies, Inc. Lucia, Raymond J., Sr. Release No. AP-6628 File Number: 3-15006
July 15, 2019	Gibson, Christopher M. Release No. AP-6629 File Number: 3-17184
July 11, 2019	Gibson, Christopher M. Release No. AP-6624 File Number: 3-17184
July 11, 2019	Harding Advisory LLC Chau, Wing F. Release No. AP-6625 File Number: 3-15574
July 11, 2019	Anderson, Traci J., CPA Carnahan, Timothy W. CYIOS Corporation Release No. AP-6626 File Number: 3-16386
July 11, 2019	Retirement Surety LLC Crescendo Financial LLC Rose, Thomas Leeman, David Featherstone, David Release No. AP-6627 File Number: 3-18061
July 10, 2019	Anderson, Traci J., CPA Carnahan, Timothy W. CYIOS Corporation Release No. AP-6622 File Number: 3-16386
July 10, 2019	Finn, Sean P. M. Dwyer LLC Release No. AP-6623 File Number: 3-17693
July 9, 2019	Fox, Joseph J. Release No. AP-6621 File Number: 3-16795
July 2, 2019	Anderson, Traci J., CPA Carnahan, Timothy W. CYIOS Corporation Release No. AP-6620 File Number: 3-16386
July 1, 2019	Gibson, Christopher M. Release No. AP-6618 File Number: 3-17184
July 1, 2019	Ascension Asset Management, LLC Gooder, Grenville M., JR. Release No. AP-6619 File Number: 3-19024
June 28, 2019	Gibson, Christopher M. Release No. AP-6616 File Number: 3-17184
June 28, 2019	Retirement Surety LLC Crescendo Financial LLC Rose, Thomas Leeman, David Featherstone, David Release No. AP-6617 File Number: 3-18061
June 28, 2019	Gibson, Christopher M. Release No. AP-6615 File Number: 3-17184
June 24, 2019	Anderson, Traci J., CPA Carnahan, Timothy W. CYIOS Corporation Release No. AP-6613 File Number: 3-16386
June 24, 2019	Daspin, Edward M. (a/k/a "Edward (Ed) Michael") Agostini, Luigi Lux, Lawrence R. Release No. AP-6614 File Number: 3-16509
June 21, 2019	Amundsen, Joseph S., CPA Remus, Michael T., CPA Remus Michael, CPA Release No. AP-6612 File Number: 3-18994
June 17, 2019	Amundsen, Joseph S., CPA Remus, Michael T., CPA Remus Michael, CPA Release No. AP-6610 File Number: 3-18994
June 17, 2019	Baker, Robert L. Herrera, Jacob B. Bowen, Michael D. Ballard, Terrence A. Release No. AP-6611 File Number: 3-17716
June 14, 2019	Daspin, Edward M. (a/k/a "Edward (Ed) Michael") Agostini, Luigi Lux, Lawrence R. Release No. AP-6609 File Number: 3-16509
June 14, 2019	Anton & Chia, LLP Wahl, Gregory A., CPA Deutchman, Michael, CPA Chung, Georgia, CPA Shek, Tommy, CPA Release No. AP-6605 File Number: 3-18292
June 14, 2019	Bebo, Laurie Buono, John, CPA Release No. AP-6606 File Number: 3-16293
June 14, 2019	Bebo, Laurie Buono, John, CPA Release No. AP-6607 File Number: 3-16293
June 14, 2019	Teran, Alfred C. Release No. AP-6608 File Number: 3-18098
June 13, 2019	Gibson, Christopher M. Release No. AP-6600 File Number: 3-17184
June 13, 2019	Fox, Joseph J. Release No. AP-6601 File Number: 3-16795
June 13, 2019	Retirement Surety LLC Crescendo Financial LLC Rose, Thomas Leeman, David Featherstone, David Release No. AP-6602 File Number: 3-18061
June 13, 2019	Angel Oak Capital Partners, LLC Peraza Capital and Investment, LLC Prabhu, Sreeniwas Wells, David W. Release No. AP-6603 File Number: 3-17849
June 13, 2019	Amundsen, Joseph S., CPA Remus, Michael T., CPA Remus Michael, CPA Release No. AP-6604 File Number: 3-18994
June 12, 2019	Gibson, Christopher M. Release No. AP-6599 File Number: 3-17184
June 7, 2019	Harding Advisory LLC Chau, Wing F. Release No. AP-6597 File Number: 3-15574
June 7, 2019	Saving2Retire, LLC Young, Marian P. Release No. AP-6598 File Number: 3-17352
June 5, 2019	Pruitt, David, CPA Release No. AP-6596 File Number: 3-17950
June 5, 2019	Bebo, Laurie Buono, John, CPA Release No. AP-6595 File Number: 3-16293
June 4, 2019	Gibson, Christopher M. Release No. AP-6594 File Number: 3-17184
June 3, 2019	Gibson, Christopher M. Release No. AP-6593 File Number: 3-17184
May 31, 2019	Angel Oak Capital Partners, LLC Peraza Capital and Investment, LLC Prabhu, Sreeniwas Wells, David W. Release No. AP-6590 File Number: 3-17849
May 31, 2019	Saving2Retire, LLC Young, Marian P. Release No. AP-6591 File Number: 3-17352
May 31, 2019	Gibson, Christopher M. Release No. AP-6592 File Number: 3-17184
May 30, 2019	Teran, Alfred C. Release No. AP-6588 File Number: 3-18098
May 30, 2019	Baker, Robert L. Herrera, Jacob B. Bowen, Michael D. Ballard, Terrence A. Release No. AP-6589 File Number: 3-17716
May 29, 2019	Harding Advisory LLC Chau, Wing F. Release No. AP-6586 File Number: 3-15574
May 29, 2019	Baker, Robert L. Herrera, Jacob B. Bowen, Michael D. Ballard, Terrence A. Release No. AP-6587 File Number: 3-17716
May 28, 2019	Amundsen, Joseph S., CPA Remus, Michael T., CPA Remus Michael, CPA Release No. AP-6585 File Number: 3-18994
May 23, 2019	Fox, Joseph J. Release No. AP-6584 File Number: 3-16795
May 21, 2019	Ascension Asset Management, LLC Gooder, Grenville M., JR. Release No. AP-6583 File Number: 3-19024
May 20, 2019	Daspin, Edward M. (a/k/a "Edward (Ed) Michael") Agostini, Luigi Lux, Lawrence R. Release No. AP-6582 File Number: 3-16509
May 17, 2019	Rossi, Matthew R. SJL Capital, LLC Release No. AP-6577 File Number: 3-19145
May 17, 2019	Rossi, Matthew R. SJL Capital, LLC Release No. AP-6578 File Number: 3-19145
May 17, 2019	Angel Oak Capital Partners, LLC Peraza Capital and Investment, LLC Prabhu, Sreeniwas Wells, David W. Release No. AP-6579 File Number: 3-17849
May 17, 2019	Anton & Chia, LLP Wahl, Gregory A., CPA Deutchman, Michael, CPA Chung, Georgia, CPA Shek, Tommy, CPA Release No. AP-6580 File Number: 3-18292
May 17, 2019	Baker, Robert L. Herrera, Jacob B. Bowen, Michael D. Ballard, Terrence A. Release No. AP-6581 File Number: 3-17716
May 16, 2019	Ascension Asset Management, LLC Gooder, Grenville M., JR. Release No. AP-6575 File Number: 3-19024
May 16, 2019	Angel Oak Capital Partners, LLC Peraza Capital and Investment, LLC Prabhu, Sreeniwas Wells, David W. Release No. AP-6576 File Number: 3-17849
May 14, 2019	Anton & Chia, LLP Wahl, Gregory A., CPA Deutchman, Michael, CPA Chung, Georgia, CPA Shek, Tommy, CPA Release No. AP-6572 File Number: 3-18292
May 14, 2019	Can-Cal Resources Ltd. China Fruits Corp. Skystar Bio-Pharmaceutical Co. Release No. AP-6573 File Number: 3-18017
May 14, 2019	Bandimere, David F. Young, John O. Release No. AP-6574 File Number: 3-15124
May 10, 2019	Daspin, Edward M. (a/k/a "Edward (Ed) Michael") Agostini, Luigi Lux, Lawrence R. Release No. AP-6570 File Number: 3-16509
May 10, 2019	Bebo, Laurie Buono, John, CPA Release No. AP-6571 File Number: 3-16293
May 8, 2019	Amundsen, Joseph S., CPA Remus, Michael T., CPA Remus Michael, CPA Release No. AP-6566 File Number: 3-18994
May 8, 2019	Ascension Asset Management, LLC Gooder, Grenville M., JR. Release No. AP-6567 File Number: 3-19024
May 8, 2019	Bandimere, David F. Young, John O. Release No. AP-6568 File Number: 3-15124
May 6, 2019	Starkot Corp. Release No. AP-6564 File Number: 3-19146
May 6, 2019	Harding Advisory LLC Chau, Wing F. Release No. AP-6565 File Number: 3-15574
May 3, 2019	Daspin, Edward M. (a/k/a "Edward (Ed) Michael") Agostini, Luigi Lux, Lawrence R. Release No. AP-6562 File Number: 3-16509
May 3, 2019	Amundsen, Joseph S., CPA Remus, Michael T., CPA Remus Michael, CPA Release No. AP-6563 File Number: 3-18994
May 3, 2019	China Biopharma, Inc. China Linen Textile Industry, Ltd. China Water Group, Inc. Scout Exploration, Inc. Teryl Resources Corp. Release No. AP-6561 File Number: 3-17886
May 2, 2019	Baker, Robert L. Herrera, Jacob B. Bowen, Michael D. Ballard, Terrence A. Release No. AP-6559 File Number: 3-17716
May 2, 2019	Saving2Retire, LLC Young, Marian P. Release No. AP-6560 File Number: 3-17352
May 1, 2019	Bandimere, David F. Young, John O. Release No. AP-6557 File Number: 3-15124
May 1, 2019	Rossi, Matthew R. SJL Capital, LLC Release No. AP-6558 File Number: 3-19145
April 30, 2019	Angel Oak Capital Partners, LLC Peraza Capital and Investment, LLC Prabhu, Sreeniwas Wells, David W. Release No. AP-6556 File Number: 3-17849
April 29, 2019	Harding Advisory LLC Chau, Wing F. Release No. AP-6553 File Number: 3-15574
April 29, 2019	Amundsen, Joseph S., CPA Remus, Michael T., CPA Remus Michael, CPA Release No. AP-6554 File Number: 3-18994

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