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ALJ Decisions & Orders:
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Release No. | Date | Respondents |
Third Quarter | ||
356 | Sep. 9, 2008 | Douglas G. Frederick
Brenda P. Murray, Chief Administrative Law Judge File No. 3-13004 |
355 | Sep. 9, 2008 | Scott B. Gann
Robert G. Mahony, Administrative Law Judge File No. 3-13009 |
645 | Sep. 8, 2008 | Mitchell M. Maynard and Dorice A. Maynard
Brenda P. Murray, Chief Administrative Law Judge File No. 3-13008 |
354 | Aug. 18, 2008 | Mitchell M. Maynard and Dorice A. Maynard
Brenda P. Murray, Chief Administrative Law Judge File No. 3-13008 |
353 | Jul. 28, 2008 | Guy P. Riordan
Brenda P. Murray, Chief Administrative Law Judge File No. 3-12829 |
644 | Jul. 15, 2008 | vFinance Investments, Inc., Nicholas Thompson and Richard Campanella
Robert G. Mahony, Administrative Law Judge File No. 3-12918 |
352 | Jul. 14, 2008 | Clarence Friend
Carol Fox Foelak, Administrative Law Judge File No. 3-13017 |
351 | Jul. 14, 2008 | Amaroq Asset Management, LLC and Dwight Andree Sean O'Neal Jones
James T. Kelly, Administrative Law Judge File No. 3-12822 (Note: Finality Order, Release No. IA-2770) |
350 | Jul. 10, 2008 | Pritchard Capital Partners, LLC, Thomas Ward Pritchard, Joseph John VanCook, and Elizabeth Ann McMahon
Robert G. Mahony, Administrative Law Judge File No. 3-12753 |
Second Quarter | ||
643 | Jun. 27, 2008 | Mitchell M. Maynard and Dorice A. Maynard
Brenda P. Murray, Chief Administrative Law Judge File No. 3-13008 |
349 | Jun. 18, 2008 | NEXT Financial Group, Inc.
James T. Kelly, Administrative Law Judge File No. 3-12738 (Note: Finality Order, Release No. 34-58192) |
642 | Jun. 10, 2008 | Kirk S. Wright
Brenda P. Murray, Chief Administrative Law Judge Other Release No. IA-2742 File No. 3-12579 |
641 | May 6, 2008 | Thomas J. Dudchik and Rodney R. Schoemann
Robert G. Mahony, Administrative Law Judge File No. 3-12943 |
640 | Apr. 30, 2008 | Steven Altman, Esq.
Brenda P. Murray, Chief Administrative Law Judge File No. 3-12944 |
348 | Apr. 28, 2008 | Warren Lammert, Lars Soderberg, and Lance Newcomb
Carol Fox Foelak, Administrative Law Judge File No. 3-12386 (Note: Finality Order, Release Nos. 33-8921, 34-57882, IA-2737, IC-28290) |
First Quarter | ||
347 | Mar. 25, 2008 | Byron S. Rainner
Robert G. Mahony, Administrative Law Judge File No. 3-12828 |
346 | Mar. 10, 2008 | Thomas C. Bridge, James D. Edge, and Jeffrey K. Robles
Brenda P. Murray, Chief Administrative Law Judge File No. 3-12626 |
345 | Feb. 20, 2008 | Justin F. Ficken
Robert G. Mahony, Administrative Law Judge File No. 3-12832 |
639 | Feb. 7, 2008 | C.R. Williams, Inc. and Charles Russell Williams II
Brenda P. Murray, Chief Administrative Law Judge File No. 3-12834 |
638 | Feb. 6, 2008 | Jonathan Carman
James T. Kelly, Administrative Law Judge File No. 3-12736 |
637 | Feb. 4, 2008 | Trautman Wasserman & Company, Inc., Gregory O. Trautman, Samuel M. Wasserman, Mark Barbera, James A. Wilson, Jr., Jerome Snyder, and Forde H. Prigot
Brenda P. Murray, Chief Administrative Law Judge File No. 3-12559 |
344 | Jan. 30, 2008 | Diatect International Corporation
James T. Kelly, Administrative Law Judge File No. 3-12843 (Note: Corrected Finality Order, Release No. 34-57438A) |
343 | Jan. 25, 2008 | Jonathan Carman
James T. Kelly, Administrative Law Judge File No. 3-12736 (Note: Finality Order, Release No. 34-57437) |
342 | Jan. 18, 2008 | C.R. Williams, Inc., and Charles Russell Williams II
Brenda P. Murray, Chief Administrative Law Judge File No. 3-12834 (Note: Finality Order, Release No. IA-2717) |
341 | Jan. 15, 2008 | Kevin Hall, CPA, and Rosemary Meyer, CPA
Carol Fox Foelak, Administrative Law Judge File No. 3-12208 |
340 | Jan. 14, 2008 | Trautman Wasserman & Company, Inc., Gregory O. Trautman, Samuel M. Wasserman, Mark Barbera, James A. Wilson, Jr., Jerome Snyder, and Forde H. Prigot
Brenda P. Murray, Chief Administrative Law Judge File No. 3-12559 (Note: Finality Order, Release No. 34-57493) |
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