ALJ Orders

Between January 31, 2026, and February 3, 2026, the Commission experienced a lapse in appropriations. In light of the lapse, the Commission issued an order staying certain administrative proceedings. On February 4, 2026, the Commission issued an order lifting the stay and extending dates in the proceedings previously subject to the stay.

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
Oct. 10, 2018	Addington, Bryan Lee Release No. AP-6158 File Number: 3-18545
Oct. 10, 2018	Cibolan Gold Corporation Medbook World Inc. Pacific Gold Corp. Sungame Corporation (n/k/a Freevi Corp.), China Greenstar Corporation Cortronix Biomedical Advancement Technologies, Inc. HW Holdings, Inc. Microelectronics Technology Company, Mackenzie Taylor Minerals, Inc. Raptor Resources Holdings, Inc. Shoshone Silver Gold Mining Co. VR Holdings, Inc., Bohai Pharmaceuticals Group Inc., Hall Tees, Inc. Hosokawa Micron International, Inc. James River Coal Company Napa Sonoma Group Inc. (f/k/a Andes 1, Inc.) Self Change Corporation, Neurologix, Inc. Organic Alliance, Inc. Zinco do Brasil, Inc., Engage Eco Solutions, Inc. Old Stone Corporation Teltronics, Inc. (n/k/a Forerunner Technologies Inc.) Xunna Information Technology, Inc., Aervision Holdings, Inc. Amalgamated Pictures Corp. American Patriot Financial Group, Inc. Asia8, Inc., Penny Auction Solutions, Inc. Sebring Software, Inc. Studio II Brands, Inc., Icon Vapor, Inc. POWRtec International Corp. Silvergraph International, Inc. Walter Energy, Inc. (n/k/a New WEI. Inc.), Next Galaxy Corp. Novamex Energy, Inc. Occidental Development Group, Inc. Sable Natural Resources Corporation. Release No. AP-6159 File Number: 3-18077, 3-18097, 3-18149, 3-18151, 3-18155, 3-18180, 3-18191, 3-18199, 3-18202, 3-18210, 3-18219
Oct. 10, 2018	Lee, Christopher M., aka Rashid K. Khalfani Release No. AP-6160 File Number: 3-18454
Oct. 9, 2018	AFN, Inc. Allen Energy Company American Cascade Energy, Inc. Millenia Hope Inc. (n/k/a Clubs Choice Holdings, Inc.) Release No. AP-6145 File Number: 3-17743
Oct. 9, 2018	Evolucia, Inc. Legend International Holdings, Inc. OSL Holdings, Inc. Release No. AP-6146 File Number: 3-18014
Oct. 9, 2018	AV Therapeutics, Inc. Balqon Corporation Empress Mining Inc. (f/k/a Penola, Inc.) Passport Potash, Inc. Release No. AP-6147 File Number: 3-18095
Oct. 9, 2018	Green Parts International, Inc. Integrated Environmental Technologies, Ltd. M2 Ngage Group Inc. (n/k/a Troika Media Group)(a/k/a Roomlinx Inc.) Urban Barns Foods, Inc. Release No. AP-6148 File Number: 3-18497
Oct. 9, 2018	Medicus Homecare Inc. Release No. AP-6149 File Number: 3-18081
Oct. 9, 2018	Cardinal Resources, Inc. StationDigital Corp. Release No. AP-6150 File Number: 3-18004
Oct. 9, 2018	Griffin, James P. Release No. AP-6151 File Number: 3-17848
Oct. 9, 2018	Dearborn Bancorp, Inc. Greentech Mining International, Inc. Hoverink International Holdings, Inc. South West Coast Senior Living Corp. Release No. AP-6143 File Number: 3-18223
Oct. 9, 2018	A.C. Simmonds and Sons, Inc. Joshua Gold Resources, Inc. (f/k/a Enhanced Energy Solutions, Inc.) Game Plan Holdings, Inc. HashingSpace Corp. Release No. AP-6144 File Number: 3-17999
Oct. 5, 2018	Universal Bioenergy, Inc. Release No. AP-6142 File Number: 3-18461
Oct. 4, 2018	Fusion Pharm, Inc., Dittman, Scott M., CPA, Sears, William J., Microcap Management LLC Bayside Realty Holdings LLC Meadpoint Venture Partners, LLC, Bodden, Cliffe R. Release No. AP-6140 File Number: 3-17545, 3-17546, 3-17547, 3-17548, 3-17549
Oct. 4, 2018	Scarpino, Timothy C. Release No. AP-6141 File Number: 3-18483
Oct. 3, 2018	Wallace, Jason A. Release No. AP-6135 File Number: 3-18438
Oct. 3, 2018	Retirement Surety LLC Crescendo Financial LLC Rose, Thomas Leeman, David Featherstone, David Release No. AP-6136 File Number: 3-18061
Oct. 3, 2018	Holder, Cynthia, CPA Wada, Jeffrey, CPA Middendorf, David, CPA Whittle, Thomas, CPA Britt, David, CPA Release No. AP-6137 File Number: 3-18346
Oct. 3, 2018	Sweet, Brian, CPA Release No. AP-6138 File Number: 3-18347
Oct. 3, 2018	Terracciano, Eugene Release No. AP-6139 File Number: 3-18414
Oct. 3, 2018	Alcorn, David Release No. AP-6134 File Number: 3-18460
Oct. 2, 2018	Bandimere, David F. Young, John O. Release No. AP-6132 File Number: 3-15124
Oct. 2, 2018	Raymond J. Lucia Companies, Inc. Lucia, Raymond J., Sr. Release No. AP-6133 File Number: 3-15006
Oct. 2, 2018	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-6127 File Number: 3-17228
Oct. 2, 2018	Bebo, Laurie Buono, John, CPA Release No. AP-6128 File Number: 3-16293
Oct. 2, 2018	Anton & Chia, LLP Wahl, Gregory A., CPA Deutchman, Michael, CPA Chung, Georgia, CPA Shek, Tommy, CPA Release No. AP-6129 File Number: 3-18292
Oct. 2, 2018	Natural Blue Resources, Inc. Cohen, James E. Corazzi, Joseph A Release No. AP-6130 File Number: 3-15974
Oct. 2, 2018	Pruitt, David, CPA Release No. AP-6131 File Number: 3-17950
Oct. 1, 2018	Anthony, Donald J., Jr. Chiappone, Frank H. Feldman, Richard D. Gamello, William P. Guzzetti, Andrew G. Lex, William F. Livingston, Thomas E. Mayer, Brian T. Rabinovich, Philip S. Rogers, Ryan C. Release No. AP-6123 File Number: 3-15514
Oct. 1, 2018	Duka, Barbara, Tod A. Ditommaso, Esq. Release No. AP-6124 File Number: 3-16349, 3-17550
Oct. 1, 2018	Fox, Joseph J. Release No. AP-6125 File Number: 3-16795
Oct. 1, 2018	Anderson, Traci J., CPA Carnahan, Timothy W. CYIOS Corporation Release No. AP-6126 File Number: 3-16386
Sept. 28, 2018	Harris, Talman, Alfaya, Victor Release No. AP-6121 File Number: 3-17874, 3-17875
Sept. 28, 2018	Feng, Hui Law Offices of Feng & Associates, P.C. Release No. AP-6122 File Number: 3-18209
Sept. 28, 2018	Sears, William J., Microcap Management LLC Bayside Realty Holdings LLC Meadpoint Venture Partners, LLC Release No. AP-6116 File Number: 3-17547, 3-17548
Sept. 28, 2018	Smith, Jeffrey D. Carswell, Joseph Fullard, Michael W. Release No. AP-6117 File Number: 3-18271
Sept. 28, 2018	Fern Holdings Corp. Fortune Capital Financial Holding Corp. Gaming Entertainment International, Inc. Global Food Technologies, Inc. Release No. AP-6118 File Number: 3-18530
Sept. 28, 2018	Nadel, Warren D. Release No. AP-6119 File Number: 3-17883
Sept. 28, 2018	Neman, Shervin Neman Financial, Inc. Release No. AP-6120 File Number: 3-17699
Sept. 27, 2018	Bluforest, Inc. Release No. AP-6101 File Number: 3-17558
Sept. 27, 2018	Teran, Alfred C. Release No. AP-6102 File Number: 3-18098
Sept. 27, 2018	ANV Security Group, Inc. Release No. AP-6103 File Number: 3-18176
Sept. 27, 2018	Baccam, Patric Ken a/k/a Khanh Sengpraseuth Release No. AP-6104 File Number: 3-18276
Sept. 27, 2018	Chile Mining Technologies Inc. Release No. AP-6105 File Number: 3-18174
Sept. 27, 2018	Baccam, Patric Ken a/k/a Khanh Sengpraseuth Release No. AP-6106 File Number: 3-18276
Sept. 27, 2018	Penny Auction Solutions, Inc. Sebring Software, Inc. Studio II Brands, Inc. Release No. AP-6107 File Number: 3-18202
Sept. 27, 2018	Experience Art and Design, Inc. Fu Lu Cai Productions Ltd. (n/k/a Alfa Star Energy Ltd.) Heavy Earth Resources, Inc. Horne International, Inc. Release No. AP-6108 File Number: 3-18173
Sept. 27, 2018	Atomic Paintball, Inc. North American Oil & Gas Corp. VelaTel Global Communications, Inc. Release No. AP-6110 File Number: 3-17991
Sept. 27, 2018	Affirmative Insurance Holdings, Inc. Armada Oil, Inc. China Energy Technology Corp., Ltd. Chuma Holdings, Inc. Release No. AP-6111 File Number: 3-18378
Sept. 27, 2018	New Global Energy, Inc. Release No. AP-6112 File Number: 3-18405
Sept. 27, 2018	Icon Vapor, Inc. POWRtec International Corp. Silvergraph International, Inc. Walter Energy, Inc. (n/k/a New WEI. Inc.) Release No. AP-6113 File Number: 3-18210
Sept. 27, 2018	Next Galaxy Corp. Novamex Energy, Inc. Occidental Development Group, Inc. Sable Natural Resources Corporation. Release No. AP-6114 File Number: 3-18219
Sept. 27, 2018	Angela Rubbo Beckcom Monaco Release No. AP-6115 File Number: 3-18481
Sept. 27, 2018	Huixin Waste Water Solutions, Inc. Release No. AP-6109 File Number: 3-18187
Sept. 26, 2018	Solo International, Inc. Urban Hydroponics, Inc. Your Event, Inc. Release No. AP-6087 File Number: 3-18500
Sept. 26, 2018	Lawler, Joe Release No. AP-6088 File Number: 3-17650
Sept. 26, 2018	Energy Edge Technologies Corp. Focus Gold Corp. New York Sub Co. Release No. AP-6089 File Number: 3-18038
Sept. 26, 2018	Gainer, Jeffrey Release No. AP-6090 File Number: 3-18130
Sept. 26, 2018	Hallas, Demitrios Release No. AP-6091 File Number: 3-18229
Sept. 26, 2018	Spring Hill Capital Markets, LLC Spring Hill Capital Partners, LLC Spring Hill Capital Holdings, LLC White, Kevin D. Release No. AP-6092 File Number: 3-16353
Sept. 26, 2018	John Thomas Capital Management Group LLC, d/b/a Patriot28 LLC Jarkesy, George R., Jr. John Thomas Financial, Inc. Belesis, Anastasios "Tommy" Release No. AP-6093 File Number: 3-15255
Sept. 26, 2018	Hampshire Group, Limited United Mortgage Trust, Inc. Zoom Companies, Inc. Release No. AP-6083 File Number: 3-18201
Sept. 26, 2018	America Greener Technologies, Inc. MV Portfolios, Inc. Trycera Financial, Inc. Release No. AP-6084 File Number: 3-18490
Sept. 26, 2018	Hedgebrook JayHawk Energy, Inc. Rubicon Financial, Inc. Release No. AP-6085 File Number: 3-18484
Sept. 26, 2018	Aesoph, John J., CPA Bennett, Darren M., CPA Release No. AP-6086 File Number: 3-15168
Sept. 26, 2018	Altovida Inc. Aurora Gold Corporation Auxillium Energy, Inc. Silver Falcon Mining, Inc. Release No. AP-6098 File Number: 3-18104
Sept. 26, 2018	Schooler, Louis V. Release No. AP-6099 File Number: 3-17115
Sept. 26, 2018	American-Swiss Capital, Inc. Aquilarts, Inc. Avalon Holding Group, Inc. Broadstreet Power, Inc. (f/k/a Summer Valley Acquisition Corp.) Release No. AP-6100 File Number: 3-18156
Sept. 26, 2018	Mullan Agritech, Inc. ReliaBrand, Inc. UBL Interactive, Inc. Release No. AP-6094 File Number: 3-18501
Sept. 26, 2018	Solaris Power Cells, Inc. Stragenics, Inc. Ultimate Rack Inc. Release No. AP-6095 File Number: 3-18489
Sept. 26, 2018	Dekel, Roy Release No. AP-6096 File Number: 3-17751
Sept. 26, 2018	Halek, Jason A. Release No. AP-6097 File Number: 3-18534
Sept. 25, 2018	Bohai Pharmaceuticals Group Inc. Release No. AP-6075 File Number: 3-18151
Sept. 25, 2018	Cardinal Resources, Inc. StationDigital Corp. Release No. AP-6076 File Number: 3-18004
Sept. 25, 2018	Hall Tees, Inc. Hosokawa Micron International, Inc. James River Coal Company Napa Sonoma Group Inc. (f/k/a Andes 1, Inc.) Self Change Corporation Release No. AP-6077 File Number: 3-18155
Sept. 25, 2018	Capitol City Bancshares, Inc. Chang-On International, Inc. Computer Graphics International Inc. John D. Oil and Gas Company Legal Life Plans, Inc. Powder River Coal Corp. Release No. AP-6078 File Number: 3-17366
Sept. 25, 2018	Gamzio Mobile, Inc. Gold Hill Resources, Inc., J.S. Oliver Capital Management, L.P. Mausner, Ian O. Drennan, Douglas F. Release No. AP-6079 File Number: 3-18170, 3-15446
Sept. 25, 2018	J.S. Oliver Capital Management, L.P. Mausner, Ian O. Drennan, Douglas F. Release No. AP-6080 File Number: 3-15446
Sept. 25, 2018	Grey Fox Holdings Corp. (f/k/a Gray Fox Petroleum Corp.) Green Innovations Ltd. Red Giant Entertainment, Inc. Release No. AP-6081 File Number: 3-18480
Sept. 25, 2018	Digital Brand Media & Marketing Group, Inc. Intellicell Biosciences, Inc. Release No. AP-6082 File Number: 3-17990
Sept. 24, 2018	Green Parts International, Inc. Integrated Environmental Technologies, Ltd. M2 Ngage Group Inc. (n/k/a Troika Media Group)(a/k/a Roomlinx Inc.) Urban Barns Foods, Inc. Release No. AP-6068 File Number: 3-18497
Sept. 24, 2018	Kessler, Richard W. Release No. AP-6069 File Number: 3-18535
Sept. 24, 2018	Reyes, Gerardo E. Release No. AP-6070 File Number: 3-18126
Sept. 24, 2018	Och-Ziff Capital Management Group LLC Oz Management LP Och, Daniel S. Frank, Joel M. Release No. AP-6071 File Number: 3-17595
Sept. 24, 2018	Engage Eco Solutions, Inc. Old Stone Corporation Teltronics, Inc. (n/k/a Forerunner Technologies Inc.) Xunna Information Technology, Inc. Release No. AP-6072 File Number: 3-18191
Sept. 24, 2018	Aervision Holdings, Inc. Amalgamated Pictures Corp. American Patriot Financial Group, Inc. Asia8, Inc. Release No. AP-6073 File Number: 3-18199
Sept. 24, 2018	Immunoclin Corp. Intelligent Living America, Inc. Ivanhoe Energy, Inc. Release No. AP-6074 File Number: 3-18190
Sept. 21, 2018	Changda International Holdings, Inc. Release No. AP-6053 File Number: 3-17029
Sept. 21, 2018	Tintic Gold Mining Company Release No. AP-6054 File Number: 3-18157
Sept. 21, 2018	GO EZ Corporation Green St. Energy, Inc. Hyperview Ltd. Imogo Mobile Technologies Corp. Release No. AP-6056 File Number: 3-18204
Sept. 21, 2018	China Hefeng Rescue Equipment, Inc. Greenworld Development, Inc. Mountain National Bancshares, Inc. UCP Holdings, Inc. Release No. AP-6055 File Number: 3-18179
Sept. 21, 2018	KollagenX Corp. Microlin Bio, Inc. Vaccinogen, Inc. Virtus Oil and Gas Corp. Release No. AP-6057 File Number: 3-18207
Sept. 21, 2018	Play La Inc. Titan Trading Analytics, Inc. Release No. AP-6058 File Number: 3-18492
Sept. 21, 2018	COPsync, Inc. Falconridge Oil Technologies Corp. FLASR, Inc. Fonon Corp. Release No. AP-6059 File Number: 3-18496
Sept. 21, 2018	T3 Holdings, Inc. Vortronnix Technologies, Inc. Release No. AP-6060 File Number: 3-18023
Sept. 21, 2018	Gibson, Christopher M. Release No. AP-6061 File Number: 3-17184
Sept. 21, 2018	Winkelmann, James A. Sr. Blue Ocean Portfolios, LLC, RD Legal Capital, LLC Dersovitz, Roni Release No. AP-6062 File Number: 3-17253, 3-17342
Sept. 21, 2018	Angel Oak Capital Partners, LLC Peraza Capital and Investment, LLC Prabhu, Sreeniwas Wells, David W. Release No. AP-6050 File Number: 3-17849
Sept. 21, 2018	Mackenzie Taylor Minerals, Inc. Raptor Resources Holdings, Inc. Shoshone Silver Gold Mining Co. VR Holdings, Inc. Release No. AP-6063 File Number: 3-18149
Sept. 21, 2018	CellCyte Genetics Corp. China Pediatric Pharmaceuticals, Inc. Hawker Energy, Inc. Release No. AP-6051 File Number: 3-18141

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