ALJ Orders:
Administrative Law Judges
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| Release No. | Date | Respondents |
First Quarter | ||
| AP-4545 | Jan. 24, 2017 | Gray Financial Group, Inc., et al. |
| AP-4544 | Jan. 24, 2017 | Robert S. McGregor |
| AP-4543 | Jan. 24, 2017 | Gray Financial Group, Inc., et al. |
| AP-4542 | Jan. 23, 2017 | Donald F. ("Jay") Lathen, Jr., Eden Arc Capital Management, LLC and Eden Arc Capital Advisors, LLC |
| AP-4541 | Jan. 23, 2017 | Alexander Kon |
| AP-4540 | Jan. 23, 2017 | Jason B. Smith |
| AP-4539 | Jan. 23, 2017 | Middlebury Securities, LLC and Gregory Osborn |
| AP-4538 | Jan. 23, 2017 | Wilson-Davis & Company, Inc. |
| AP-4537 | Jan. 23, 2017 | Brian C. Rose |
| AP-4536 | Jan. 19, 2017 | Augustine Capital Management, et al. |
| AP-4535 | Jan. 19, 2017 | AFN, Inc., et al. |
| AP-4534 | Jan. 19, 2017 | Laurence I. Balter d/b/a Oracle Investment Research |
| AP-4533 | Jan. 18, 2017 | Donald F. ("Jay") Lathen, Jr., Eden Arc Capital Management, LLC and Eden Arc Capital Advisors, LLC |
| AP-4532 | Jan. 18, 2017 | Pab Bankshares, Inc. and USAbg Corp. |
| AP-4531 | Jan. 18, 2017 | Middlebury Securities, LLC and Gregory Osborn |
| AP-4530 | Jan. 18, 2017 | Gray Financial Group, Inc., et al. |
| AP-4529 | Jan. 17, 2017 | Curtis A. Peterson |
| AP-4528 | Jan. 17, 2017 | Wilson-Davis & Company, Inc. |
| AP-4527 | Jan. 17, 2017 | China Domestica Bio-Technology Holdings, Inc. |
| AP-4526 | Jan. 13, 2017 | RD Legal Capital, LLC and Roni Dersovitz |
| AP-4525 | Jan. 13, 2017 | Laurence I. Balter d/b/a Oracle Investment Research |
| AP-4524 | Jan. 13, 2017 | Alexander Kon |
| AP-4523 | Jan. 13, 2017 | Saving2Retire, LLC and Marian P. Young |
| AP-4522 | Jan. 13, 2017 | BioElectronics Corp., et al. |
| AP-4521 | Jan. 12, 2017 | RD Legal Capital, LLC and Roni Dersovitz |
| AP-4520 | Jan. 12, 2017 | Augustine Capital Management (f/k/a Augustine Capital Management, Inc.), et al. |
| AP-4519 | Jan. 11, 2017 | Gray Financial Group, Inc., et al. |
| AP-4518 | Jan. 11, 2017 | Roy Dekel (a/k/a Mark D. Holthusen) |
| AP-4517 | Jan. 11, 2017 | Mark D. Holt (a/k/a Mark D. Holthusen) |
| AP-4516 | Jan. 11, 2017 | James Y. Lee |
| AP-4515 | Jan. 11, 2017 | RD Legal Capital, LLC and Roni Dersovitz |
| AP-4514 | Jan. 10, 2017 | Adrian D. Beamish, CPA |
| AP-4513 | Jan. 10, 2017 | Donald F. ("Jay") Lathen, et al. |
| AP-4512 | Jan. 10, 2017 | Ironridge Global Partners, LLC and Ironridge Global IV, Ltd. |
| AP-4511 | Jan. 9, 2017 | Bay City Transfer Agency, Registrar, Inc. and Nitin M. Amersey |
| AP-4510 | Jan. 9, 2017 | Alexander Kon |
| AP-4509 | Jan. 9, 2017 | Gray Financial Group, Inc., et al. |
| AP-4508 | Jan. 9, 2017 | Donald F. ("Jay") Lathen, et al. |
| AP-4507 | Jan. 9, 2017 | Barbara Duka |
| AP-4506 | Jan. 9, 2017 | Alexander Kon |
| AP-4505 | Jan. 9, 2017 | Alexander Kon |
| AP-4504 | Jan. 6, 2017 | Adrian D. Beamish, CPA |
| AP-4503 | Jan. 6, 2017 | Robert L. Baker, et al. |
| AP-4502 | Jan. 6, 2017 | William Tirrell |
| AP-4501 | Jan. 5, 2017 | Alexander Kon |
| AP-4500 | Jan. 4, 2017 | Ben Franklin Retail Stores, Inc., Enrotek Corp. and Spectre Gaming, Inc. |
| AP-4499 | Jan. 4, 2017 | RD Legal Capital, LLC and Roni Dersovitz |
| AP-4498 | Jan. 3, 2017 | Sen Yu International Holdings, Inc. |
| AP-4497 | Jan. 3, 2017 | Sheldon Rose and MKJJ Consulting LLC |