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ALJ Orders:
Administrative Law Judges

First Quarter

Additional Archives

Release No. Date Respondents
First Quarter
AP-2270 Jan. 30, 2015 Duane Hamblin Slade
AP-2269 Jan. 30, 2015 James S. Tagliaferri
AP-2268 Jan. 29, 2015 David L. Marion
AP-2267 Jan. 29, 2015 Joshua Wayne Lankford
AP-2266 Jan. 28, 2015 Ligang Wang
AP-2265 Jan. 28, 2015 Spring Hill Capital Markets, LLC, et al.
AP-2264 Jan. 27, 2015 Thomas R. Delaney II and Charles W. Yancey
AP-2263 Jan. 27, 2015 Vero Capital Management, LLC, et al.
AP-2262 Jan. 27, 2015 Edgar R. Page and PageOne Financial Inc.
AP-2261 Jan. 27, 2015 Spectrum Concepts, LLC, et al.
AP-2260 Jan. 27, 2015 David B. Havanich, et al.
AP-2259 Jan. 27, 2015 Stuart E. Rawitt
AP-2258 Jan. 26, 2015 Paul J. Pollack and Montgomery Street Research, LLC
AP-2257 Jan. 26, 2015 Natural Blue Resources, Inc., et al.
AP-2256 Jan. 26, 2015 Gregory T. Bolan, Jr. and Joseph C. Ruggieri
AP-2255 Jan. 26, 2015 Edgar Lee Giovannetti
AP-2254 Jan. 23, 2015 Thomas R. Delaney II and Charles W. Yancey
AP-2253 Jan. 23, 2015 Airtouch Communications, Inc., Hideyuki Kanakubo and Jerome Kaiser, CPA
AP-2252 Jan. 23, 2015 John Jordan
AP-2251 Jan. 23, 2015 Albert Reda
AP-2250 Jan. 23, 2015 Houston American Energy Corp., et al.
AP-2249 Jan. 23, 2015 John Briner, et al.
AP-2248 Jan. 23, 2015 Paul J. Pollack and Montgomery Street Research, LLC
AP-2247 Jan. 23, 2015 Laurie Bebo and John Buono, CPA
AP-2246 Jan. 22, 2015 Thrasos Tommy Petrou
AP-2245 Jan. 22, 2015 Barbara Duka
AP-2244 Jan. 22, 2015 Michael Lee Mendenhall
AP-2243 Jan. 22, 2015 Reliance Financial Advisors, LLC, et al. and Scott M. Stephan
AP-2242 Jan. 22, 2015 Douglas L. Swenson, CPA
AP-2241 Jan. 21, 2015 Sean C. Cooper
AP-2240 Jan. 21, 2015 Joseph Meuse
AP-2239 Jan. 21, 2015 Edgar R. Page and Pageone Financial Inc.
AP-2238 Jan. 21, 2015 AirTouch Communications, Inc., et al.
AP-2237 Jan. 21, 2015 Edgar Lee Giovannetti
AP-2236 Jan. 20, 2015 Laurie Bebo and John Buono, CPA
AP-2235 Jan. 20, 2015 Sands Brothers Asset Management, LLC, et al.
AP-2234 Jan. 20, 2015 Total Wealth Management, Inc., et al.
AP-2233 Jan. 20, 2015 Paul J. Pollack and Montgomery Street Research, LLC
AP-2232 Jan. 20, 2015 Michael A. Horowitz and Moshe Marc Cohen
AP-2231 Jan. 20, 2015 Robert C. Weaver, Jr., Esq.
AP-2230 Jan. 20, 2015 John Briner, Esq., et al.
AP-2229 Jan. 16, 2015 Natural Blue Resources, Inc., et al.
AP-2228 Jan. 16, 2015 Total Wealth Management, Inc., et al.
AP-2227 Jan. 16, 2015 Guy Andrew Williams
AP-2226 Jan. 16, 2015 China Valves Technology, Inc.
AP-2225 Jan. 15, 2015 Brent F. Williams
AP-2224 Jan. 15, 2015 Duane Hamblin Slade
AP-2223 Jan. 15, 2015 Khaled A. Eldaher
AP-2222 Jan. 15, 2015 John Jordan
AP-2221 Jan. 15, 2015 Laurie Bebo and John Buono, CPA
AP-2220 Jan. 15, 2015 Thomas R. Delaney II and Charles W. Yancey
AP-2219 Jan. 14, 2015 Dennis J. Malouf
AP-2218 Jan. 14, 2015 Michael W. Crow, et al.
AP-2217 Jan. 14, 2015 Paul Edward "Ed" Lloyd and Jr., CPA
AP-2216 Jan. 14, 2015 Edgar R. Page and Pageone Financial Inc.
AP-2215 Jan. 14, 2015 Joseph Meuse
AP-2214 Jan. 13, 2015 Natural Blue Resources, Inc., James E. Cohen, and Joseph A. Corazzi
AP-2213 Jan. 13, 2015 Edgar R. Page and Pageone Financial Inc.
AP-2212 Jan. 13, 2015 Securities Industry and Financial Markets Association
AP-2211 Jan. 13, 2015 Gaeton S. Della Penna
AP-2210 Jan. 12, 2015 David Scott Cacchione
AP-2209 Jan. 12, 2015 Vero Capital Management, LLC, et al.
AP-2208 Jan. 12, 2015 Laurie Bebo and John Buono, CPA
AP-2207 Jan. 12, 2015 AirTouch Communications, Inc., et al.
AP-2206 Jan. 12, 2015 Duncan J. MacDonald, III
AP-2205 Jan. 9, 2015 Reliance Financial Advisors, LLC, et al.; Scott M. Stephan
AP-2204 Jan. 9, 2015 Sean C. Cooper
AP-2203 Jan. 9, 2015 Paul J. Pollack and Montgomery Street Research, LLC
AP-2202 Jan. 9, 2015 Gregory T. Bolan, Jr. and Joseph C. Ruggieri
AP-2201 Jan. 9, 2015 Douglas L. Swenson, CPA
AP-2200 Jan. 9, 2015 Dennis J. Malouf
AP-2199 Jan. 9, 2015 Edgar R. Page and Pageone Financial Inc.
AP-2198 Jan. 9, 2015 AirTouch Communications, Inc., et al.
AP-2197 Jan. 9, 2015 AirTouch Communications, Inc., et al.
AP-2196 Jan. 8, 2015 China Valves Technology, Inc.
AP-2195 Jan. 8, 2015 David Scott Cacchione
AP-2194 Jan. 8, 2015 Robert C. Weaver, Jr., Esq.
AP-2193 Jan. 8, 2015 Duncan J. Macdonald, III
AP-2192 Jan. 8, 2015 China Bus Group Co. (f/k/a Alpine Alpha 3), et al.
AP-2191 Jan. 8, 2015 David Scott Cacchione
AP-2190 Jan. 8, 2015 Khaled A. Eldaher
AP-2189 Jan. 8, 2015 Dennis J. Malouf
AP-2188 Jan. 7, 2015 Corridor Ventures II Acquisition Corp., et al.
AP-2187 Jan. 7, 2015 Thomas A. Neely, Jr.
AP-2186 Jan. 7, 2015 David Scott Cacchione
AP-2185 Jan. 6, 2015 Total Wealth Management, Inc., et al.
AP-2184 Jan. 6, 2015 Houston American Energy Corp., et al.
AP-2183 Jan. 6, 2015 Laurie Bebo and John Buono, CPA
AP-2182 Jan. 6, 2015 Joseph Meuse
AP-2181 Jan. 5, 2015 John Allan Russell
AP-2180 Jan. 5, 2015 Laurie Bebo and John Buono, CPA
AP-2179 Jan. 5, 2015 Houston American Energy Corp., et al.
AP-2178 Jan. 5, 2015 Robert C. Weaver, Jr. Esq.
AP-2177 Jan. 2, 2015 Securities Industry and Financial Markets Association
AP-2176 Jan. 2, 2015 Bingo.Com, Inc., et al.
AP-2175 Jan. 2, 2015 Houston American Energy Corp., et al.

 

http://www.sec.gov/alj/aljorders.shtml


Modified: 01/30/2015