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ALJ Initial Decisions:
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Release No. | Date | Respondents |
Fourth Quarter | ||
477 | Dec. 31, 2012 | Peter Siris
Carol Fox Foelak, Administrative Law Judge File No. 3-15057 (Note: Order Instituting Proceedings, Release Nos. 34-67949, IA-3481) |
476 | Dec. 26, 2012 | Lisa B. Premo
Brenda P. Murray, Chief Administrative Law Judge File No. 3-14697 (Note: Order Instituting Proceedings, Release Nos. IA-3355, IC-29929 and Order Granting Extension, Release Nos. 34-68348, IA-3510, IC-30289; Finality Order, Release Nos. IA-3541, IC-30372) |
475 | Dec. 11, 2012 | Stanley C. Brooks and Brookstreet Securities Corp.
Carol Fox Foelak, Administrative Law Judge File No. 3-14983 (Note: Order Instituting Proceedings, Release Nos. 34-67658A, IA-3444A and Finality Order, Release No. 34-68773, IA-3542) |
474 | Dec. 5, 2012 | Anthony Fields, CPA d/b/a Anthony Fields & Associates and d/b/a Platinum Securities Brokers
Carol Fox Foelak, Administrative Law Judge File No. 3-14684 (Note: Order Instituting Proceedings, Release Nos. 33-9291, 34-66091, IA-3348, IC-29912) |
473 | Nov. 28, 2012 | Alchemy Ventures, Inc., Km Capital Management, LLC, Zanshin Enterprises, LLC, Mark H. Rogers, Steven D. Hotovec, Joshua A. Klein, Yisroel M. Wachs, Frank K. McDonald, and Douglas G. Frederick
Cameron Elliot, Administrative Law Judge File No. 3-14720 (Note: Order Instituting Proceedings, Release No. 34-66249 and Order Making Findings and Imposing Sanctions, Release No. 34-66801) |
472 | Nov. 6, 2012 | John Jantzen
Cameron Elliot, Administrative Law Judge File No. 3-14880 (Note: Order Instituting Proceedings, Release No. 34-66991); Finality Order, Release No. 34-68396) |
471 | Nov. 6, 2012 | QuillIndustries, Inc. (n/k/a Eagle Worldwide Inc.), et al.
Brenda P. Murray, Chief Administrative Law Judge File No. 3-14943 (Note: Order Instituting Proceedings, Release No. 34-67370; Finality Order, Release No. 34-68366) |
470 | Nov. 2, 2012 | A-Power Energy Generation Systems, Ltd.
Carol Fox Foelak, Administrative Law Judge File No. 3-14935 (Note: Order Instituting Proceedings, Release No. 34-67338) |
Third Quarter | ||
469 | Sep. 18, 2012 | Quintek Technologies, Inc., The Saint James Co., Urigen Pharmaceuticals, Inc., Valor Energy Corp., Wherify Wireless, Inc., and WinWin Gaming, Inc.
Cameron Elliot, Administrative Law Judge File No. 3-14890 (Note: Order Instituting Proceedings, Release No. 34-67051 ; Finality Order, Release No. 34-68120) |
468 | Sep. 14, 2012 | Leaddog Capital Markets, LLC, f/k/a Leaddog Capital Partners, Inc., Chris Messalas, and Joseph LaRocco, Esq.
Carol Fox Foelak, Administrative Law Judge File No. 3-14623 (Note: Order Instituting Proceedings; Finality Order, Release No. 34-68205) |
467 | Aug. 21, 2012 | Gregory Bartko, Esq.
Cameron Elliot, Administrative Law Judge File No. 3-14700 (Note: Order Instituting Proceedings) |
466 | Aug. 7, 2012 | Advanced Biophotonics, Inc., Advanced Viral Research Corp., Brantley Capital Corp., Brilliant Technologies Corporation, 4C Controls, Inc., and 2-Track Global, Inc. (As to 4C Controls, Inc.)
Brenda P. Murray, Chief Administrative Law Judge File No. 3-14815 (Note: Order Instituting Proceedings, Release No. 34-66672; Finality Order, Release No. 34-67858) |
465 | Jul. 24, 2012 | Advanced Biophotonics, Inc., Advanced Viral Research Corp., Brantley Capital Corp., Brilliant Technologies Corporation, 4C Controls, Inc., and 2-Track Global, Inc. (As to 2-Track Global, Inc.)
Brenda P. Murray, Chief Administrative Law Judge File No. 3-14815 (Note: Order Instituting Proceedings, Release No. 34-66672; Finality Order, Release No. 34-67796) |
464 | Jul. 16, 2012 | China MediaExpress Holdings, Inc.
Brenda P. Murray, Chief Administrative Law Judge File No. 3-14799 (Note: Order Instituting Proceedings, Release No. 34-66586; Finality Order, Release No. 34-67735) |
463 | Jul. 3, 2012 | ProElite, Inc. and Universal Guardian Holdings, Inc.
Brenda P. Murray, Chief Administrative Law Judge File No. 3-14806 (Note: Order Instituting Proceedings, Release No. 34-66621; Finality Order, Release No. 34-67736) |
Second Quarter | ||
462 | Jun. 25, 2012 | Jetronic Industries, Inc. (n/k/a New Bastion Development, Inc.), Lions Petroleum, Inc. (n/k/a China Hongxing Agritech, Inc.), MDI, Inc., and Mobilepro Corp.
Cameron Elliot, Administrative Law Judge File No. 3-14767 (Note: Order Instituting Proceedings, Release No. 34-66446 and Order Making Findings and Revoking Registration, Release No. 34-66693; Finality Order, Release No. 34-67543) |
461 | Jun. 19, 2012 | Amazon Biotech, Inc. and Andover Holdings, Inc.
Cameron Elliot, Administrative Law Judge File No. 3-14794 (Note: Order Instituting Proceedings, Release No. 34-66546); Finality Order, Release No. 34-67636) |
460 | Jun. 14, 2012 | American United Gold Corporation, AMS Homecare Inc., Aucxis Corp., and CYOP Systems International Inc.
Brenda P. Murray, Chief Administrative Law Judge File No. 3-14770 (Note: Order Instituting Proceedings, Release No. 34-66456) |
459A | Jun. 20, 2012 | Ran H. Furman (Corrected)
Cameron Elliot, Administrative Law Judge File No. 3-14532 (Note: Order Instituting Proceedings, Release No. 34-65271, AAER-3318; Order Denying Motion, Release No. 34-65680, AAER-3334; Finality Order, Release No. 34-67549) |
458 | May 24, 2012 | Donald L. Koch and Koch Asset Management LLC
Carol Fox Foelak, Administrative Law Judge File No. 3-14355 (Note: Order Instituting Proceedings, Release No. 34-64337, IA-3190, IC-29659) |
457 | Apr. 20, 2012 | Montford and Company, Inc. d/b/a Montford Associates, and Ernest V. Montford, Sr.
Brenda P. Murray Chief Administrative Law Judge File No. 3-14536 (Note: Order Instituting Proceedings, Release No. IA-3273) |
456 | Apr. 4, 2012 | Peter Emrich, Alberto Ferreiras, James Frankfurth, Frank Rossi, Dana Valensky
Brenda P. Murray, Chief Administrative Law Judge File No. 3-14509 (Note: Order Instituting Proceedings, Release No. 34-65167; Finality Order, Release No. 34-66917) |
First Quarter | ||
455 | Mar. 19, 2012 | Terry Harris
Brenda P. Murray, Chief Administrative Law Judge File No. 3-14610 (Note: Order Instituting Proceedings, Release No. IA-3309; Finality Order, Release No. IA-3484) |
454 | Feb. 22, 2012 | China-Biotics, Inc.
Carol Fox Foelak, Administrative Law Judge File No. 3-14581 (Note: Order Instituting Proceedings, Release No. 34-65510) |
453 | Feb. 15, 2012 | Ablest Inc.
Carol Fox Foelak, Administrative Law Judge File No. 3-14587 (Note: Order Instituting Proceedings, Release No. 34-65560) |
452 | Feb. 14, 2012 | Gualario & Co., LLC and Ronald Gualario
Carol Fox Foelak, Administrative Law Judge File No. 3-14340 (Note: Order Instituting Proceedings, Release No. 33-9202; Finality Order, Release Nos. 33-9310, 34-66751, IA-3392, IC-30028) |
451 | Feb. 10, 2012 | Leila C. Jenkins
Cameron Elliot, Administrative Law Judge File No. 3-14458 (Note: Order Instituting Proceedings, Release Nos. 34-64849 and IA-3235; Finality Order, Release No. 34-66548) |
450 | Feb. 6, 2012 | Locke Capital Management, Inc.
Cameron Elliot, Administrative Law Judge File No. 3-14457 (Note: Order Instituting Proceedings, Release No. IA-3234; Finality Order, Release No. IA-3381) |
449 | Jan. 24, 2012 | American Capital Partners Limited, Inc., American Educators Financial Corp. (N/K/A Asia Ventures Corp.), Austral Pacific Energy Ltd, Bidville, Inc. (N/K/A Primedge, Inc.), Bio-Warm Corp. (N/K/A Phi Gold Corp.), Black Rock Golf Corp. (A/K/A Aurus Corp.), Broadband Wireless International Corp., and Buffalo Gold Ltd.
Brenda P. Murray, Chief Administrative Law Judge File No. 3-14534 (Note: Order Instituting Proceedings, Release No. 34-65274; Finality Order, Release No. 34-66437) |
448 | Jan. 5, 2012 | Michael R. Pelosi
Cameron Elliot, Administrative Law Judge File No. 3-14194 (Note: Order Instituting Proceedings, Release No. IA-3141; ) |
447 | Jan. 4, 2012 | Alfred Clay Ludlum, III
Brenda P. Murray, Chief Administrative Law Judge File No. 3-14572 (Note: Order Instituting Proceedings, Release No. IA-3294; ) |
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