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
May 10, 2022	Horter Investment Management, LLC and Drew K. Horter Release No. AP-6849 File Number: 3-20531
May 5, 2022	Horter Investment Management, LLC and Drew K. Horter Release No. AP-6848 File Number: 3-20531
May 4, 2022	Timothy C. Scarpino Release No. AP-6847 File Number: 3-18483
April 27, 2022	Horter Investment Management, LLC and Drew K. Horter Release No. AP-6846 File Number: 3-20531
April 26, 2022	DF Growth REIT II, LLC Release No. AP-6845 File Number: 3-20801
April 18, 2022	DF Growth REIT II, LLC Release No. AP-6844 File Number: 3-20801
April 15, 2022	Horter Investment Management, LLC and Drew K. Horter Release No. AP-6843 File Number: 3-20531
April 12, 2022	DF Growth REIT II, LLC Release No. AP-6842 File Number: 3-20801
April 11, 2022	Kimberly D. Butler, Prosperity Economics Partners, LLC and Partners for Prosperity, LLC Release No. AP-6841 File Number: 3-20454
April 1, 2022	DF Growth REIT II, LLC Release No. AP-6839 File Number: 3-20801
April 1, 2022	DF Growth REIT II, LLC Release No. AP-6840 File Number: 3-20801
March 24, 2022	David S. Hall, P.C. d/b/a the Hall Group CPAs, David S. Hall, CPA, Michelle L. Helterbran Cochran, CPA, and Susan A. Cisneros Release No. AP-6838 File Number: 3-17228
Jan. 5, 2022	Kimberly D. Butler, Prosperity Economics Partners, LLC and Partners for Prosperity, LLC Release No. AP-6837 File Number: 3-20454
Nov. 15, 2021	Timothy C. Scarpino Release No. AP-6836 File Number: 3-18483
Nov. 3, 2021	Life Science Holdings, Inc. Release No. AP-6834 File Number: 3-20627
Nov. 3, 2021	Timothy C. Scarpino Release No. AP-6835 File Number: 3-18483
Oct. 29, 2021	Life Science Holdings, Inc. Release No. AP-6833 File Number: 3-20627
Oct. 18, 2021	Life Science Holdings, Inc. Release No. AP-6832 File Number: 3-20627
Sept. 21, 2021	Kimberly D. Butler, Prosperity Economics Partners, LLC and Partners for Prosperity, LLC Release No. AP-6831 File Number: 3-20454
Sept. 10, 2021	Kimberly D. Butler, Prosperity Economics Partners, LLC and Partners for Prosperity, LLC Release No. AP-6830 File Number: 3-20454
Sept. 9, 2021	Kimberly D. Butler, Prosperity Economics Partners, LLC and Partners for Prosperity, LLC Release No. AP-6829 File Number: 3-20454
Sept. 2, 2021	Elaine A. Dowling, Esq. Release No. AP-6828 File Number: 3-20378
Aug. 26, 2021	Elaine A. Dowling, Esq. Release No. AP-6827 File Number: 3-20378
Aug. 16, 2021	Kimberly D. Butler, Prosperity Economics Partners, LLC and Partners for Prosperity, LLC Release No. AP-6826 File Number: 3-20454
Aug. 12, 2021	Kimberly D. Butler, Prosperity Economics Partners, LLC and Partners for Prosperity, LLC Release No. AP-6825 File Number: 3-20454
July 23, 2021	Elaine A. Dowling, Esq. Release No. AP-6824 File Number: 3-20378
June 30, 2021	Elaine A. Dowling, Esq. Release No. AP-6823 File Number: 3-20378
April 19, 2021	Holder, Cynthia, CPA Wada, Jeffrey, CPA Middendorf, David, CPA Whittle, Thomas, CPA Britt, David, CPA Release No. AP-6822 File Number: 3-18346
March 22, 2021	Reynolds, Norman T., Esq. Release No. AP-6821 File Number: 3-20136
March 16, 2021	Quicksilver Stock Transfer, LLC, aka Quicksilver Stock Transfer Corporation Release No. AP-6820 File Number: 3-19303
March 8, 2021	Rosedale Asset Management, LLC f/k/a Princeton Advisory Wealth Management, LLC Release No. AP-6819 File Number: 3-20220
March 4, 2021	Rosedale Asset Management, LLC f/k/a Princeton Advisory Wealth Management, LLC Release No. AP-6818 File Number: 3-20220
Feb. 25, 2021	Quicksilver Stock Transfer, LLC, aka Quicksilver Stock Transfer Corporation Release No. AP-6817 File Number: 3-19303
Feb. 22, 2021	Rosedale Asset Management, LLC f/k/a Princeton Advisory Wealth Management, LLC Release No. AP-6816 File Number: 3-20220
Feb. 17, 2021	Quicksilver Stock Transfer, LLC, aka Quicksilver Stock Transfer Corporation Release No. AP-6815 File Number: 3-19303
Feb. 10, 2021	Quicksilver Stock Transfer, LLC, aka Quicksilver Stock Transfer Corporation Release No. AP-6814 File Number: 3-19303
Feb. 5, 2021	Rosedale Asset Management, LLC f/k/a Princeton Advisory Wealth Management, LLC Release No. AP-6813 File Number: 3-20220
Feb. 1, 2021	Reynolds, Norman T., Esq. Release No. AP-6812 File Number: 3-20136
Jan. 29, 2021	Quicksilver Stock Transfer, LLC, aka Quicksilver Stock Transfer Corporation Release No. AP-6811 File Number: 3-19303
Jan. 27, 2021	Quicksilver Stock Transfer, LLC, aka Quicksilver Stock Transfer Corporation Release No. AP-6810 File Number: 3-19303
Jan. 26, 2021	Reynolds, Norman T., Esq. Release No. AP-6809 File Number: 3-20136
Jan. 15, 2021	Reynolds, Norman T., Esq. Release No. AP-6808 File Number: 3-20136
Jan. 8, 2021	Och-Ziff Capital Management Group LLC Oz Management LP Och, Daniel S. Frank, Joel M. Release No. AP-6807 File Number: 3-17595
Jan. 7, 2021	Holder, Cynthia, CPA Wada, Jeffrey, CPA Middendorf, David, CPA Whittle, Thomas, CPA Britt, David, CPA Release No. AP-6806 File Number: 3-18346
Dec. 29, 2020	Reynolds, Norman T., Esq. Release No. AP-6805 File Number: 3-20136
Dec. 18, 2020	Och-Ziff Capital Management Group LLC Oz Management LP Och, Daniel S. Frank, Joel M. Release No. AP-6804 File Number: 3-17595
Dec. 10, 2020	Och-Ziff Capital Management Group LLC Oz Management LP Och, Daniel S. Frank, Joel M. Release No. AP-6803 File Number: 3-17595
Dec. 7, 2020	Crest Radius, Inc. 7 Kaapa Tsolgo, Estonia, Services, Loyal Source Market, Inc. 13025 Klimovske Zilina, Slovakia, 01001 Release No. AP-6802 File Number: 3-20021, 3-20022
Dec. 3, 2020	Anton & Chia, LLP Wahl, Gregory A., CPA Deutchman, Michael, CPA Chung, Georgia, CPA Shek, Tommy, CPA Release No. AP-6801 File Number: 3-18292
Nov. 30, 2020	Anton & Chia, LLP Wahl, Gregory A., CPA Deutchman, Michael, CPA Chung, Georgia, CPA Shek, Tommy, CPA Release No. AP-6799 File Number: 3-18292
Nov. 30, 2020	Anton & Chia, LLP Wahl, Gregory A., CPA Deutchman, Michael, CPA Chung, Georgia, CPA Shek, Tommy, CPA Release No. AP-6800 File Number: 3-18292
Nov. 16, 2020	Crest Radius, Inc. 7 Kaapa Tsolgo, Estonia, Services, Loyal Source Market, Inc. 13025 Klimovske Zilina, Slovakia, 01001 Release No. AP-6798 File Number: 3-20021, 3-20022
Nov. 4, 2020	Services, Loyal Source Market, Inc. 13025 Klimovske Zilina, Slovakia, 01001 Release No. AP-6796 File Number: 3-20022
Nov. 4, 2020	Crest Radius, Inc. 7 Kaapa Tsolgo, Estonia, Services, Loyal Source Market, Inc. 13025 Klimovske Zilina, Slovakia, 01001 Release No. AP-6797 File Number: 3-20021, 3-20022
Nov. 2, 2020	Mosshart, Joshua D. Release No. AP-6795 File Number: 3-18422
Oct. 16, 2020	Crest Radius, Inc. 7 Kaapa Tsolgo, Estonia Release No. AP-6794 File Number: 3-20021
Oct. 15, 2020	Services, Loyal Source Market, Inc. 13025 Klimovske Zilina, Slovakia, 01001 Release No. AP-6793 File Number: 3-20022
Oct. 7, 2020	Services, Loyal Source Market, Inc. 13025 Klimovske Zilina, Slovakia, 01001 Release No. AP-6792 File Number: 3-20022
Oct. 6, 2020	Crest Radius, Inc. 7 Kaapa Tsolgo, Estonia Release No. AP-6791 File Number: 3-20021
Sept. 21, 2020	Crest Radius, Inc. 7 Kaapa Tsolgo, Estonia Release No. AP-6788 File Number: 3-20021
Sept. 21, 2020	Services, Loyal Source Market, Inc. 13025 Klimovske Zilina, Slovakia, 01001 Release No. AP-6789 File Number: 3-20022
Sept. 21, 2020	Crest Radius, Inc. 7 Kaapa Tsolgo, Estonia Release No. AP-6790 File Number: 3-20021
Sept. 10, 2020	Mosshart, Joshua D. Release No. AP-6787 File Number: 3-18422
Sept. 1, 2020	Sears, William J. Release No. AP-6786 File Number: 3-17547
Aug. 20, 2020	Feathers, Mark Release No. AP-6785 File Number: 3-15755
Aug. 17, 2020	Feathers, Mark Release No. AP-6784 File Number: 3-15755
Aug. 11, 2020	Feathers, Mark Release No. AP-6783 File Number: 3-15755
Aug. 7, 2020	Feathers, Mark Release No. AP-6782 File Number: 3-15755
July 29, 2020	Sears, William J. Release No. AP-6781 File Number: 3-17547
July 28, 2020	Feathers, Mark Release No. AP-6780 File Number: 3-15755
July 20, 2020	Feathers, Mark Release No. AP-6779 File Number: 3-15755
July 17, 2020	Feathers, Mark Release No. AP-6777 File Number: 3-15755
July 17, 2020	Dittman, Scott M., CPA Release No. AP-6778 File Number: 3-17546
July 15, 2020	Bebo, Laurie Buono, John, CPA Release No. AP-6775 File Number: 3-16293
July 15, 2020	Feathers, Mark Release No. AP-6776 File Number: 3-15755
July 14, 2020	Feathers, Mark Release No. AP-6774 File Number: 3-15755
July 8, 2020	Dittman, Scott M., CPA Release No. AP-6773 File Number: 3-17546
July 7, 2020	Feathers, Mark Release No. AP-6772 File Number: 3-15755
July 1, 2020	Feathers, Mark Release No. AP-6771 File Number: 3-15755
June 18, 2020	Bebo, Laurie Buono, John, CPA Release No. AP-6770 File Number: 3-16293
June 16, 2020	Anton & Chia, LLP Wahl, Gregory A., CPA Deutchman, Michael, CPA Chung, Georgia, CPA Shek, Tommy, CPA Release No. AP-6769 File Number: 3-18292
June 12, 2020	Feathers, Mark Release No. AP-6767 File Number: 3-15755
June 12, 2020	Feathers, Mark Release No. AP-6768 File Number: 3-15755
June 10, 2020	Anton & Chia, LLP Wahl, Gregory A., CPA Deutchman, Michael, CPA Chung, Georgia, CPA Shek, Tommy, CPA Release No. AP-6766 File Number: 3-18292
June 9, 2020	Feathers, Mark Release No. AP-6765 File Number: 3-15755
June 5, 2020	Dittman, Scott M., CPA Release No. AP-6764 File Number: 3-17546
June 2, 2020	Feathers, Mark Release No. AP-6763 File Number: 3-15755
May 29, 2020	Feathers, Mark Release No. AP-6762 File Number: 3-15755
May 27, 2020	Sears, William J. Release No. AP-6761 File Number: 3-17547
May 12, 2020	Feathers, Mark Release No. AP-6760 File Number: 3-15755
May 6, 2020	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-6759 File Number: 3-17545, 3-17546, 3-17547, 3-17548, 3-17549
May 5, 2020	Goulding, Randall, Esq. Release No. AP-6758 File Number: 3-19697
May 1, 2020	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-6757 File Number: 3-17545, 3-17546, 3-17547, 3-17548, 3-17549
April 29, 2020	Goulding, Randall, Esq. Release No. AP-6756 File Number: 3-19697
April 28, 2020	Feathers, Mark Release No. AP-6755 File Number: 3-15755
April 23, 2020	Feathers, Mark Release No. AP-6754 File Number: 3-15755
April 22, 2020	Goulding, Randall, Esq. Release No. AP-6753 File Number: 3-19697
April 17, 2020	Feathers, Mark Release No. AP-6752 File Number: 3-15755
April 14, 2020	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-6751 File Number: 3-17545, 3-17546, 3-17547, 3-17548, 3-17549
April 7, 2020	Feathers, Mark Release No. AP-6750 File Number: 3-15755

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