ALJ Orders: Administrative Law Judges

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	Respondents
Date: Oct. 8, 2004	Respondents: James F. Glaza, d/b/a FalconFinancial Services, Inc. Release No. 3-11012
Date: Oct. 6, 2004	Respondents: Kenneth A. Orr Release No. 3-11650
Date: Sept. 23, 2004	Respondents: John A. Carley, Mark N. Dohlen, Eugene C. Geiger, Paul A. Giles, Roy E. Gould, Thomas A Kaufmann, Alfred Peeper, Edward H. Price, Christopher H. Zacharias, Le Fond Mondial D'Investissement S.A., and Spencer Edwards, Inc. Release No. 3-11626
Date: Sept. 22, 2004	Respondents: EVTC, Inc. Release No. 3-11560 File Number: 3-11560
Date: Sept. 17, 2004	Respondents: American Electric Power Company, Inc. Release No. 3-11616
Date: Sept. 14, 2004	Respondents: Richard S. Kern, Donald R. Kern, and Charles Wilkins Release No. 3-11537
Date: Sept. 13, 2004	Respondents: Stan Lee Media, Inc. Release No. 3-11584 File Number: 3-11584
Date: Aug. 31, 2004	Respondents: Rita J. McConville, and Kevin M. Harris, C.P.A. Release No. 3-11330
Date: Aug. 30, 2004	Respondents: Dominique S. Alvieri Release No. 3-11567 File Number: 3-11567
Date: Aug. 26, 2004	Respondents: Alnoor Jiwan Release No. 3-11553 File Number: 3-11553
Date: Aug. 24, 2004	Respondents: Dale Carone Release No. 3-11543 File Number: 3-11543
Date: Aug. 20, 2004	Respondents: Hunter Adams, Gregg Adams, Alan Berkun, Robert Lisnoff, James L. Bila, Leonard Bila, Christian Blake, Brian Carroll, Joseph Digirolamo, and Joseph Mannino Release No. 3-10624
Date: Aug. 9, 2004	Respondents: IFG Network Securities, Inc., Willlam Kissinger, Kissinger Advisory, Inc., Bert Miller, Glenn Wilkinson, and David Ledbetter Release No. 3-11179
Date: Aug. 9, 2004	Respondents: Richard S. Kern, Donald R. Kern, and Charles Wilkins Release No. 3-11537
Date: Aug. 5, 2004	Respondents: Richard S. Kern and Charles Wilkins James T. Kelly, Administrative Law Judge Release No. 3-11537 File Number: 3-11537
Date: Aug. 4, 2004	Respondents: Keith M. Roberts Release No. 3-11471
Date: July 27, 2004	Respondents: Steven E. Muth, Richard J. Rouse, and Bruce J. Bates Release No. 3-11346
Date: July 23, 2004	Respondents: Public Finance Consultants, Inc., Robert D. Fowler, Dolphin and Bradbury Incorporated, and Robert J. Bradbury Release No. 3-11465
Date: July 20, 2004	Respondents: Cary R. Kahn Release No. 3-11468
Date: July 19, 2004	Respondents: Public Finance Consultants, Inc., Robert D. Fowler, Dolphin and Bradbury Incorporated, and Robert J. Bradbury Release No. 3-11465
Date: July 15, 2004	Respondents: Ocumed Group, Inc. Release No. 3-11501
Date: July 14, 2004	Respondents: Keith M. Roberts Release No. 3-11471
Date: July 9, 2004	Respondents: Larry A. Stockett Release No. 3-11491
Date: July 7, 2004	Respondents: Ira Weiss and L. Andrew Shupe II Release No. 3-11462
Date: July 7, 2004	Respondents: Ocumed Group, Inc. Release No. 3-11501 File Number: 3-11501
Date: July 6, 2004	Respondents: Currency Trading International, Inc., Craig A. Cunningham, James R. Kelsall, and Christian J. Weber Release No. 3-11503
Date: June 17, 2004	Respondents: Steven Ingrassia and Slava Volman Release No. 3-11487
Date: June 9, 2004	Respondents: CDH & Affiliates, Inc. and C. David Hallman Release No. 3-11463 File Number: 3-11463
Date: June 8, 2004	Respondents: Public Finance Consultants, Inc., Robert D. Fowler, Dolphin and Bradbury Incorporated, and Robert J. Bradbury Release No. 3-11465
Date: June 7, 2004	Respondents: Rhino Ecosystems, Inc Release No. 3-11420 File Number: 3-11420
Date: June 4, 2004	Respondents: Steven Ingrassia and Slava Volman Release No. 3-11487
Date: June 3, 2004	Respondents: Uncommon Media Group, Inc. Release No. 3-11443 File Number: 3-11443
Date: May 28, 2004	Respondents: Hunter Adams, Jason A. Cohen, Steven M. Cohen, David Hirsch, Jonathan D. Winston, John J. Gremmo, III, James L. Bila, Christian W. Blake, Louis R. Facchini, Jr., Roberto A. Mangiarano, Joseph P. Mannino, David M. Margules, James J. Pellizzi, David M. Pesso, Michael Pugliese, Christopher J. Russo, Howard I. Weinstein, and Robert J. Winston Release No. 3-11437
Date: May 27, 2004	Respondents: Michael Boston Release No. 3-11459 File Number: 3-11459
Date: May 27, 2004	Respondents: Public Finance Consultants, Inc., Robert D. Fowler, Dolphin and Bradbury Incorporated, and Robert J. Bradbury Release No. 3-11465
Date: May 24, 2004	Respondents: Frank D. Gruttadauria Release No. 3-11460 File Number: 3-11460
Date: May 19, 2004	Respondents: John F. Turant, Jr. Other No.: IA-2238 Release No. 3-11403 File Number: 3-11403
Date: May 18, 2004	Respondents: Robert Cournoyer Release No. 3-11442 File Number: 3-11442
Date: May 12, 2004	Respondents: Edward Becker Release No. 3-11367
Date: May 10, 2004	Respondents: Paul Wayne Mason (a/k/a Louis Ronnie Sarpy), Kristin Luck Emery, and Laurence Mark Anderson (a/k/a Ron Laurence) Release No. 3-11361 File Number: 3-11361
Date: May 3, 2004	Respondents: Steven E. Muth, Richard J. Rouse, and Bruce J. Bates Release No. 3-11346
Date: April 29, 2004	Respondents: Robert Cournoyer Release No. 3-11442
Date: April 19, 2004	Respondents: Joseph Petrolino and Eric Siversen Release No. 3-11433 File Number: 3-11433
Date: April 16, 2004	Respondents: Michael Garian, a/k/a Melkon Gharakhanian, a/k/a Bika Balian Release No. 3-11432 File Number: 3-11432
Date: April 14, 2004	Respondents: Harrison Securities, Inc., Frederick C. Blumer, and Nebrissa Song Release No. 3-11084
Date: April 8, 2004	Respondents: Edward Becker Release No. 3-11367
Date: April 7, 2004	Respondents: Putnman Investment Management, LLC Release No. 3-11317
Date: April 7, 2004	Respondents: Rhino Ecosystems, Inc. Release No. 3-11420
Date: April 4, 2004	Respondents: Paul Wayne Mason (a/k/a Louis Ronnie Sarpy), Kristin Luck Emery, and Laurence Mark Anderson (a/k/a Ron Laurence) Release No. 3-11361 File Number: 3-11361
Date: March 31, 2004	Respondents: Putnman Investment Management, LLC Release No. 3-11317
Date: March 31, 2004	Respondents: Rhino Ecosystems, Inc. Release No. 3-11420
Date: March 30, 2004	Respondents: Paul Wayne Mason (a/k/a Louis Ronnie Sarpy), Kristin Luck Emery, and Laurence Mark Anderson (a/k/a Ron Laurence) Release No. 3-11361 File Number: 3-11361
Date: March 30, 2004	Respondents: Mark Deyak Release No. 3-11385
Date: March 26, 2004	Respondents: Putnman Investment Management, LLC Release No. 3-11317
Date: March 25, 2004	Respondents: Harrison Securities, Inc., Frederick C. Blumer, and Nebrissa Song Release No. 3-11084
Date: March 23, 2004	Respondents: Putnman Investment Management, LLC Release No. 3-11317
Date: March 18, 2004	Respondents: Putnman Investment Management, LLC Release No. 3-11317
Date: March 18, 2004	Respondents: Steven E. Muth, Richard J. Rouse, and Bruce J. Bates Release No. 3-11346
Date: March 17, 2004	Respondents: Rita J. McConville, and Kevin M. Harris, C.P.A. Release No. 3-11330
Date: March 8, 2004	Respondents: Rita J. McConville, and Kevin M. Harris, C.P.A. Release No. 3-11330
Date: March 4, 2004	Respondents: Bruce Follick, Salvatore Tavolacci, Donald Brooks, Karl Donovan, Aaron Sandstrom, and Derek Shapiro Release No. 3-11343
Date: March 4, 2004	Respondents: Edward Becker Release No. 3-11367
Date: March 4, 2004	Respondents: Paul A. Flynn Release No. 3-11390
Date: March 3, 2004	Respondents: Lorsin, Inc., Loretta M. Lockhart, Craig K. Hjalmarson, Russell Management, Inc., George R. Siembida, Harold Engel, Jr., Microcap Marketing, Inc., and Shane M. Nelson Release No. 3-11310
Date: March 3, 2004	Respondents: Putnman Investment Management, LLC Release No. 3-11317
Date: Feb. 27, 2004	Respondents: Paul W. Mason (a/k/a Louis R. Sarpy), Kristin L. Emery, and Laurence M. Anderson (a/k/a Ron Laurence) Release No. 3-11361
Date: Feb. 26, 2004	Respondents: Luis F. Lorie Release No. 3-11355
Date: Feb. 24, 2004	Respondents: Harrison Securities, Inc., Frederick C. Blumer, and Nebrissa Song Release No. 3-11084
Date: Feb. 18, 2004	Respondents: Valentin Fernandez, Juan Fernandez, Daniel J. Phillips, Matthew D. Stone and Haskell P. Stone Release No. 3-11347
Date: Feb. 17, 2004	Respondents: Paul A. Barrios III And Dennis P. O'Connell, Jr. Release No. 3-11319 File Number: 3-11319
Date: Feb. 17, 2004	Respondents: Grant Thornton LLP, Doeren Mayhew & Co. P.C., Peter M . Behrens, CPA, Marvin J. Morris, CPA, and Benedict P. Rybicki, CPA Release No. 3-11377
Date: Feb. 13, 2004	Respondents: Gregg Becker Release No. 3-11366 File Number: 3-11366
Date: Feb. 3, 2004	Respondents: Paul Joseph Sheehan dba Paul J. Sheehan & Associates Release No. 3-11365 File Number: 3-11365
Date: Feb. 2, 2004	Respondents: Valentin Fernandez, Juan Fernandez, Daniel J. Phillips, Matthew D. Stone and Haskell P. Stone Release No. 3-11347 File Number: 3-11347
Date: Jan. 28, 2004	Respondents: Michael Batterman and Randall B. Batterman III Release No. 3-11259
Date: Jan. 28, 2004	Respondents: Gregg Becker Release No. 3-11366
Date: Jan. 28, 2004	Respondents: Edward Becker Release No. 3-11367
Date: Jan. 21, 2004	Respondents: Steven E. Muth, Richard J. Rouse, and Bruce J. Bates Release No. 3-11346
Date: Jan. 16, 2004	Respondents: Putnman Investment Management, LLC Release No. 3-11317
Date: Jan. 12, 2004	Respondents: Michael Batterman and Randall B. Batterman III Release No. 3-11259
Date: Jan. 9, 2004	Respondents: Harrison Securities, Inc., Frederick C. Blumer, and Nebrissa Song Release No. 3-11084
Date: Jan. 7, 2004	Respondents: Michael B. Rawdin, Hard Asset Management, Inc., and David Cohen Release No. 3-11234
Date: Jan. 6, 2004	Respondents: Harrison Securities, Inc., Frederick C. Blumer, and Nebrissa Song Release No. 3-11084
Date: Dec. 24, 2003	Respondents: Rita J. McConville and Kevin M. Harris, C.P.A. Release No. 3-11330
Date: Dec. 18, 2003	Respondents: Harrison Securities, Inc., Frederick C. Blumer, and Nebrissa Song Release No. 3-11084
Date: Dec. 17, 2003	Respondents: Rita J. McConville and Kevin M. Harris, C.P.A. Release No. 3-11330
Date: Dec. 8, 2003	Respondents: Rita J. McConville and Kevin M. Harris, C.P.A. Release No. 3-11330
Date: Dec. 4, 2003	Respondents: Shane Ferras Release No. 3-11283 File Number: 3-11283
Date: Dec. 3, 2003	Respondents: Putnam Investment Management, LLC Release No. 3-11317
Date: Nov. 25, 2003	Respondents: Hunter Adams, et al. Release No. 3-10624
Date: Nov. 24, 2003	Respondents: Pattinson Hayton Release No. 3-11063
Date: Nov. 18, 2003	Respondents: Nevis Capital Management, LLC, David R. Wilmerding, III, and Jon C. Baker Release No. 3-11201
Date: Nov. 18, 2003	Respondents: Nevis Capital Management, LLC, David R. Wilmerding, III, and Jon C. Baker Release No. 3-11201
Date: Nov. 14, 2003	Respondents: Philip L. Pascale, CPA Release No. 3-11194
Date: Nov. 10, 2003	Respondents: Nevis Capital Management, LLC, David R. Wilmerding, III, and Jon C. Baker Release No. 3-11201
Date: Nov. 6, 2003	Respondents: Wendell D. Belden Release No. 3-11213 File Number: 3-11213
Date: Nov. 5, 2003	Respondents: Darius L. Lee Release No. 3-11210
Date: Oct. 30, 2003	Respondents: Michael Batterman and Randall B. Batterman, III Release No. 3-11259
Date: Oct. 22, 2003	Respondents: IFG Network Securities, Inc. Release No. 3-11179
Date: Oct. 10, 2003	Respondents: IFG Network Securities, Inc., William Kissinger, KissingerAdvisory, Inc., Bert Miller, Glenn Wilkinson, and David Ledbetter Release No. 3-11179