		Home \| Jobs \| Fast Answers \| Site Map \| Search

About the SEC

Filings (EDGAR)

Regulatory Actions

Staff Interps

Investor Info

News & Statements

Litigation

Litigation Releases
Admin Proceedings
ALJ Decisions & Orders
Investigation Reports
Commission Opinions
Trading Suspensions
Investors Claims Funds
Briefs
SEC Rules of Practice and Rules on Fair Fund and Disgorgement Plans

Information for...

Divisions

ALJ Decisions & Orders:
Administrative Law Judges

The list below provides links to opinions and orders issued by Administrative Law Judges in contested administrative proceedings.

Fourth Quarter | Third Quarter | Second Quarter | First Quarter

Additional Archives

2008 | 2007 | 2006 | 2005 | 2004 | 2003 | 2002 | 2001 | 2000 | 1999 | 1998 | 1997 | 1996 | 1995 | 1994 | 1993 | 1992 | 1991 | 1990 | 1989 | 1988 | 1987 | 1986 | 1985 | 1984 | 1983 | 1982 | 1981 | 1980 | 1979 | 1978 | 1977 | 1976 | 1975 | 1974 | 1973 | 1972 | 1971 | 1970 | 1969 | 1968 | 1967 | 1966 | 1965 | 1964 | 1963 | 1962 | 1961 | 1960 |

*Release No.*	*Date*	*Respondents*
Fourth Quarter
362	Nov. 19, 2008	Steven Sirianni James T. Kelly, Administrative Law Judge File No. 3-13084
361	Nov. 14, 2008	Waterfalls Corp. Carol Fox Foelak, Administrative Law Judge File No. 3-13153
360	Nov. 7, 2008	vFinance Investments, Inc. and Richard Campanella Robert G. Mahony, Administrative Law Judge File No. 3-12918
359	Oct. 7, 2008	Maria T. Giesige Brenda P. Murray, Chief Administrative Law Judge File No. 3-12747
358	Oct. 1, 2008	The Nasdaq Stock Market, LLC Robert G. Mahony, Administrative Law Judge File No. 3-12384 (Note: Finality Order, Release No. 34-58912)
Third Quarter
357	Sep. 16, 2008	Jamie L. Solow Carol Fox Foelak, Administrative Law Judge File No. 3-13066 (Note: Finality Order, Release No. 34-58831)
356	Sep. 9, 2008	Douglas G. Frederick Brenda P. Murray, Chief Administrative Law Judge File No. 3-13004 (Note: Finality Order, Release No. 34-58751)
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)

http://www.sec.gov/litigation/aljdec.shtml

ALJ Decisions & Orders: Administrative Law Judges

Additional Archives

Modified: 11/19/2008

ALJ Decisions & Orders:
Administrative Law Judges