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.

Related Resources

ALJ Orders RSS Feed


Date Sort descending	Respondents
April 29, 2019	Rossi, Matthew R. SJL Capital, LLC Release No. AP-6555 File Number: 3-19145
April 26, 2019	Pruitt, David, CPA Release No. AP-6551 File Number: 3-17950
April 26, 2019	BioCoral, Inc. GC China Turbine Corp. Race World International, Inc. Worldwide Biotech & Pharmaceutical Co. Release No. AP-6552 File Number: 3-16604
April 25, 2019	Starkot Corp. Release No. AP-6550 File Number: 3-19146
April 24, 2019	Anderson, Traci J., CPA Carnahan, Timothy W. CYIOS Corporation Release No. AP-6549 File Number: 3-16386
April 22, 2019	Pruitt, David, CPA Release No. AP-6547 File Number: 3-17950
April 22, 2019	Spring Hill Capital Markets, LLC Spring Hill Capital Partners, LLC Spring Hill Capital Holdings, LLC White, Kevin D. Release No. AP-6548 File Number: 3-16353
April 19, 2019	Anton & Chia, LLP Wahl, Gregory A., CPA Deutchman, Michael, CPA Chung, Georgia, CPA Shek, Tommy, CPA Release No. AP-6546 File Number: 3-18292
April 18, 2019	Bruton, Karen, CPA Hope Advisors, LLC, Bruton, Karen, CPA Release No. AP-6545 File Number: 3-18789, 3-18790
April 17, 2019	J.S. Oliver Capital Management, L.P. Mausner, Ian O. Drennan, Douglas F. Release No. AP-6544 File Number: 3-15446
April 16, 2019	Pruitt, David, CPA Release No. AP-6543 File Number: 3-17950
April 15, 2019	Fox, Joseph J. Release No. AP-6541 File Number: 3-16795
April 15, 2019	Angel Oak Capital Partners, LLC Peraza Capital and Investment, LLC Prabhu, Sreeniwas Wells, David W. Release No. AP-6542 File Number: 3-17849
April 12, 2019	Saving2Retire, LLC Young, Marian P. Release No. AP-6539 File Number: 3-17352
April 12, 2019	Bruton, Karen, CPA Hope Advisors, LLC, Bruton, Karen, CPA Release No. AP-6540 File Number: 3-18789, 3-18790
April 10, 2019	Daspin, Edward M. (a/k/a "Edward (Ed) Michael") Agostini, Luigi Lux, Lawrence R. Release No. AP-6538 File Number: 3-16509
April 9, 2019	Baker, Robert L. Herrera, Jacob B. Bowen, Michael D. Ballard, Terrence A. Release No. AP-6537 File Number: 3-17716
April 4, 2019	Angel Oak Capital Partners, LLC Peraza Capital and Investment, LLC Prabhu, Sreeniwas Wells, David W. Release No. AP-6536 File Number: 3-17849
April 2, 2019	Bandimere, David F. Young, John O. Release No. AP-6535 File Number: 3-15124
April 2, 2019	Pruitt, David, CPA Release No. AP-6534 File Number: 3-17950
April 1, 2019	Harris, Talman, Alfaya, Victor Release No. AP-6531 File Number: 3-17874, 3-17875
April 1, 2019	Harris, Talman, Alfaya, Victor Release No. AP-6532 File Number: 3-17874, 3-17875
April 1, 2019	Spring Hill Capital Markets, LLC Spring Hill Capital Partners, LLC Spring Hill Capital Holdings, LLC White, Kevin D. Release No. AP-6533 File Number: 3-16353
March 29, 2019	Pruitt, David, CPA Release No. AP-6529 File Number: 3-17950
March 29, 2019	Gibson, Christopher M. Release No. AP-6530 File Number: 3-17184
March 28, 2019	Can-Cal Resources Ltd. China Fruits Corp. Skystar Bio-Pharmaceutical Co. Release No. AP-6525 File Number: 3-18017
March 28, 2019	Retirement Surety LLC Crescendo Financial LLC Rose, Thomas Leeman, David Featherstone, David Release No. AP-6526 File Number: 3-18061
March 28, 2019	Terracciano, Eugene Release No. AP-6527 File Number: 3-18414
March 28, 2019	Pruitt, David, CPA Release No. AP-6528 File Number: 3-17950
March 27, 2019	Bandimere, David F. Young, John O. Release No. AP-6521 File Number: 3-15124
March 27, 2019	Angel Oak Capital Partners, LLC Peraza Capital and Investment, LLC Prabhu, Sreeniwas Wells, David W. Release No. AP-6522 File Number: 3-17849
March 27, 2019	Bercowy, Gregory M. Release No. AP-6523 File Number: 3-18508
March 27, 2019	Bandimere, David F. Young, John O. Release No. AP-6524 File Number: 3-15124
March 27, 2019	Bandimere, David F. Young, John O. Release No. AP-6520 File Number: 3-15124
March 26, 2019	Penn, Lawrence E., III Release No. AP-6517 File Number: 3-18288
March 26, 2019	Saving2Retire, LLC Young, Marian P. Release No. AP-6518 File Number: 3-17352
March 26, 2019	Anderson, Traci J., CPA Carnahan, Timothy W. CYIOS Corporation Release No. AP-6519 File Number: 3-16386
March 25, 2019	Bebo, Laurie Buono, John, CPA Release No. AP-6516 File Number: 3-16293
March 22, 2019	Saving2Retire, LLC Young, Marian P. Release No. AP-6515 File Number: 3-17352
March 20, 2019	Bandimere, David F. Young, John O. Release No. AP-6513 File Number: 3-15124
March 20, 2019	China Biopharma, Inc. China Linen Textile Industry, Ltd. China Water Group, Inc. Scout Exploration, Inc. Teryl Resources Corp. Release No. AP-6514 File Number: 3-17886
March 19, 2019	Spring Hill Capital Markets, LLC Spring Hill Capital Partners, LLC Spring Hill Capital Holdings, LLC White, Kevin D. Release No. AP-6511 File Number: 3-16353
March 19, 2019	BioCoral, Inc. GC China Turbine Corp. Race World International, Inc. Worldwide Biotech & Pharmaceutical Co. Release No. AP-6512 File Number: 3-16604
March 18, 2019	Anderson, Traci J., CPA Carnahan, Timothy W. CYIOS Corporation Release No. AP-6510 File Number: 3-16386
March 18, 2019	Och-Ziff Capital Management Group LLC Oz Management LP Och, Daniel S. Frank, Joel M. Release No. AP-6502 File Number: 3-17595
March 18, 2019	Baker, Robert L. Herrera, Jacob B. Bowen, Michael D. Ballard, Terrence A. Release No. AP-6503 File Number: 3-17716
March 18, 2019	Teran, Alfred C. Release No. AP-6504 File Number: 3-18098
March 18, 2019	Mosshart, Joshua D. Release No. AP-6505 File Number: 3-18422
March 18, 2019	J.S. Oliver Capital Management, L.P. Mausner, Ian O. Drennan, Douglas F. Release No. AP-6506 File Number: 3-15446
March 18, 2019	Gibson, Christopher M. Release No. AP-6507 File Number: 3-17184
March 18, 2019	Snisky, Gary C. Release No. AP-6508 File Number: 3-17645
March 18, 2019	Can-Cal Resources Ltd. China Fruits Corp. Skystar Bio-Pharmaceutical Co. Release No. AP-6509 File Number: 3-18017
March 15, 2019	Bandimere, David F. Young, John O. Release No. AP-6497 File Number: 3-15124
March 15, 2019	Feng, Hui Law Offices of Feng & Associates, P.C. Release No. AP-6498 File Number: 3-18209
March 15, 2019	Anton & Chia, LLP Wahl, Gregory A., CPA Deutchman, Michael, CPA Chung, Georgia, CPA Shek, Tommy, CPA Release No. AP-6499 File Number: 3-18292
March 15, 2019	Bandimere, David F. Young, John O. Release No. AP-6500 File Number: 3-15124
March 15, 2019	Can-Cal Resources Ltd. China Fruits Corp. Skystar Bio-Pharmaceutical Co. Release No. AP-6501 File Number: 3-18017
March 14, 2019	Fox, Joseph J. Release No. AP-6496 File Number: 3-16795
March 13, 2019	Daspin, Edward M. (a/k/a "Edward (Ed) Michael") Agostini, Luigi Lux, Lawrence R. Release No. AP-6494 File Number: 3-16509
March 13, 2019	J.S. Oliver Capital Management, L.P. Mausner, Ian O. Drennan, Douglas F. Release No. AP-6495 File Number: 3-15446
March 12, 2019	Zufelt, Anthony C. Release No. AP-6493 File Number: 3-17907
March 11, 2019	Anderson, Traci J., CPA Carnahan, Timothy W. CYIOS Corporation Release No. AP-6492 File Number: 3-16386
March 11, 2019	Retirement Surety LLC Crescendo Financial LLC Rose, Thomas Leeman, David Featherstone, David Release No. AP-6491 File Number: 3-18061
March 8, 2019	Fox, Joseph J. Release No. AP-6489 File Number: 3-16795
March 8, 2019	Daspin, Edward M. (a/k/a "Edward (Ed) Michael") Agostini, Luigi Lux, Lawrence R. Release No. AP-6490 File Number: 3-16509
March 7, 2019	Saving2Retire, LLC Young, Marian P. Release No. AP-6488 File Number: 3-17352
March 6, 2019	Bandimere, David F. Young, John O. Release No. AP-6483 File Number: 3-15124
March 6, 2019	Daspin, Edward M. (a/k/a "Edward (Ed) Michael") Agostini, Luigi Lux, Lawrence R. Release No. AP-6484 File Number: 3-16509
March 6, 2019	Bercowy, Gregory M. Release No. AP-6485 File Number: 3-18508
March 6, 2019	Can-Cal Resources Ltd. China Fruits Corp. Skystar Bio-Pharmaceutical Co. Release No. AP-6486 File Number: 3-18017
March 6, 2019	Angel Oak Capital Partners, LLC Peraza Capital and Investment, LLC Prabhu, Sreeniwas Wells, David W. Release No. AP-6487 File Number: 3-17849
March 5, 2019	Bercowy, Gregory M. Release No. AP-6482 File Number: 3-18508
March 4, 2019	Anderson, Traci J., CPA Carnahan, Timothy W. CYIOS Corporation Release No. AP-6474 File Number: 3-16386
March 4, 2019	Retirement Surety LLC Crescendo Financial LLC Rose, Thomas Leeman, David Featherstone, David Release No. AP-6475 File Number: 3-18061
March 4, 2019	Bercowy, Gregory M. Release No. AP-6476 File Number: 3-18508
March 4, 2019	Angel Oak Capital Partners, LLC Peraza Capital and Investment, LLC Prabhu, Sreeniwas Wells, David W. Release No. AP-6477 File Number: 3-17849
March 4, 2019	Bebo, Laurie Buono, John, CPA Release No. AP-6478 File Number: 3-16293
March 4, 2019	Saving2Retire, LLC Young, Marian P. Release No. AP-6479 File Number: 3-17352
March 4, 2019	Pruitt, David, CPA Release No. AP-6480 File Number: 3-17950
March 4, 2019	Retirement Surety LLC Crescendo Financial LLC Rose, Thomas Leeman, David Featherstone, David Release No. AP-6481 File Number: 3-18061
March 4, 2019	Bandimere, David F. Young, John O. Release No. AP-6473 File Number: 3-15124
Feb. 28, 2019	Angel Oak Capital Partners, LLC Peraza Capital and Investment, LLC Prabhu, Sreeniwas Wells, David W. Release No. AP-6472 File Number: 3-17849
Feb. 28, 2019	Bebo, Laurie Buono, John, CPA Release No. AP-6470 File Number: 3-16293
Feb. 28, 2019	Daspin, Edward M. (a/k/a "Edward (Ed) Michael") Agostini, Luigi Lux, Lawrence R. Release No. AP-6471 File Number: 3-16509
Feb. 26, 2019	Can-Cal Resources Ltd. China Fruits Corp. Skystar Bio-Pharmaceutical Co. Release No. AP-6469 File Number: 3-18017
Feb. 21, 2019	Bebo, Laurie Buono, John, CPA Release No. AP-6468 File Number: 3-16293
Feb. 19, 2019	Pruitt, David, CPA Release No. AP-6465 File Number: 3-17950
Feb. 19, 2019	African Copper Corp. Genmed Holding Corp. Yanglin Soybean, Inc. Release No. AP-6466 File Number: 3-16965
Feb. 19, 2019	CellCyte Genetics Corp. China Pediatric Pharmaceuticals, Inc. Hawker Energy, Inc. Release No. AP-6467 File Number: 3-18141
Feb. 15, 2019	Snisky, Gary C. Release No. AP-6461 File Number: 3-17645
Feb. 15, 2019	Baker, Robert L. Herrera, Jacob B. Bowen, Michael D. Ballard, Terrence A. Release No. AP-6462 File Number: 3-17716
Feb. 15, 2019	Infrastructure International, Inc. Release No. AP-6463 File Number: 3-17132
Feb. 15, 2019	Gainer, Jeffrey Release No. AP-6464 File Number: 3-18130
Feb. 14, 2019	Changda International Holdings, Inc. Release No. AP-6457 File Number: 3-17029
Feb. 14, 2019	Terracciano, Eugene Release No. AP-6458 File Number: 3-18414
Feb. 14, 2019	Daspin, Edward M. (a/k/a "Edward (Ed) Michael") Agostini, Luigi Lux, Lawrence R. Release No. AP-6459 File Number: 3-16509
Feb. 14, 2019	China Biopharma, Inc. China Linen Textile Industry, Ltd. China Water Group, Inc. Scout Exploration, Inc. Teryl Resources Corp. Release No. AP-6460 File Number: 3-17886
Feb. 14, 2019	Neman, Shervin Neman Financial, Inc. Release No. AP-6456 File Number: 3-17699
Feb. 13, 2019	Fern Holdings Corp. Fortune Capital Financial Holding Corp. Gaming Entertainment International, Inc. Global Food Technologies, Inc. Release No. AP-6453 File Number: 3-18530
Feb. 13, 2019	BioCoral, Inc. GC China Turbine Corp. Race World International, Inc. Worldwide Biotech & Pharmaceutical Co. Release No. AP-6454 File Number: 3-16604

Rules & Regulations

Enforcement & Litigation

Compliance

ALJ Orders

More in this Section

ALJ Orders