ALJ Orders: Administrative Law Judges

During enforcement proceedings assigned to one of the SEC's administrative law judges (ALJs), a judge may issue orders to schedule hearings, rule on motions or the admissibility of evidence, or otherwise communicate information to the parties involved.

View orders arranged by date below.

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Date	Respondents
Date: June 14, 2019	Respondents: Bebo, Laurie Buono, John, CPA Release No. AP-6606 File Number: 3-16293
Date: June 14, 2019	Respondents: Bebo, Laurie Buono, John, CPA Release No. AP-6607 File Number: 3-16293
Date: June 14, 2019	Respondents: Teran, Alfred C. Release No. AP-6608 File Number: 3-18098
Date: June 14, 2019	Respondents: Daspin, Edward M. (a/k/a "Edward (Ed) Michael") Agostini, Luigi Lux, Lawrence R. Release No. AP-6609 File Number: 3-16509
Date: June 13, 2019	Respondents: Gibson, Christopher M. Release No. AP-6600 File Number: 3-17184
Date: June 13, 2019	Respondents: Fox, Joseph J. Release No. AP-6601 File Number: 3-16795
Date: June 13, 2019	Respondents: Retirement Surety LLC Crescendo Financial LLC Rose, Thomas Leeman, David Featherstone, David Release No. AP-6602 File Number: 3-18061
Date: June 13, 2019	Respondents: Angel Oak Capital Partners, LLC Peraza Capital and Investment, LLC Prabhu, Sreeniwas Wells, David W. Release No. AP-6603 File Number: 3-17849
Date: June 13, 2019	Respondents: Amundsen, Joseph S., CPA Remus, Michael T., CPA Remus Michael, CPA Release No. AP-6604 File Number: 3-18994
Date: June 12, 2019	Respondents: Gibson, Christopher M. Release No. AP-6599 File Number: 3-17184
Date: June 7, 2019	Respondents: Harding Advisory LLC Chau, Wing F. Release No. AP-6597 File Number: 3-15574
Date: June 7, 2019	Respondents: Saving2Retire, LLC Young, Marian P. Release No. AP-6598 File Number: 3-17352
Date: June 5, 2019	Respondents: Bebo, Laurie Buono, John, CPA Release No. AP-6595 File Number: 3-16293
Date: June 5, 2019	Respondents: Pruitt, David, CPA Release No. AP-6596 File Number: 3-17950
Date: June 4, 2019	Respondents: Gibson, Christopher M. Release No. AP-6594 File Number: 3-17184
Date: June 3, 2019	Respondents: Gibson, Christopher M. Release No. AP-6593 File Number: 3-17184
Date: May 31, 2019	Respondents: Angel Oak Capital Partners, LLC Peraza Capital and Investment, LLC Prabhu, Sreeniwas Wells, David W. Release No. AP-6590 File Number: 3-17849
Date: May 31, 2019	Respondents: Saving2Retire, LLC Young, Marian P. Release No. AP-6591 File Number: 3-17352
Date: May 31, 2019	Respondents: Gibson, Christopher M. Release No. AP-6592 File Number: 3-17184
Date: May 30, 2019	Respondents: Teran, Alfred C. Release No. AP-6588 File Number: 3-18098
Date: May 30, 2019	Respondents: Baker, Robert L. Herrera, Jacob B. Bowen, Michael D. Ballard, Terrence A. Release No. AP-6589 File Number: 3-17716
Date: May 29, 2019	Respondents: Harding Advisory LLC Chau, Wing F. Release No. AP-6586 File Number: 3-15574
Date: May 29, 2019	Respondents: Baker, Robert L. Herrera, Jacob B. Bowen, Michael D. Ballard, Terrence A. Release No. AP-6587 File Number: 3-17716
Date: May 28, 2019	Respondents: Amundsen, Joseph S., CPA Remus, Michael T., CPA Remus Michael, CPA Release No. AP-6585 File Number: 3-18994
Date: May 23, 2019	Respondents: Fox, Joseph J. Release No. AP-6584 File Number: 3-16795
Date: May 21, 2019	Respondents: Ascension Asset Management, LLC Gooder, Grenville M., JR. Release No. AP-6583 File Number: 3-19024
Date: May 20, 2019	Respondents: Daspin, Edward M. (a/k/a "Edward (Ed) Michael") Agostini, Luigi Lux, Lawrence R. Release No. AP-6582 File Number: 3-16509
Date: May 17, 2019	Respondents: Rossi, Matthew R. SJL Capital, LLC Release No. AP-6577 File Number: 3-19145
Date: May 17, 2019	Respondents: Rossi, Matthew R. SJL Capital, LLC Release No. AP-6578 File Number: 3-19145
Date: May 17, 2019	Respondents: Angel Oak Capital Partners, LLC Peraza Capital and Investment, LLC Prabhu, Sreeniwas Wells, David W. Release No. AP-6579 File Number: 3-17849
Date: May 17, 2019	Respondents: Anton & Chia, LLP Wahl, Gregory A., CPA Deutchman, Michael, CPA Chung, Georgia, CPA Shek, Tommy, CPA Release No. AP-6580 File Number: 3-18292
Date: May 17, 2019	Respondents: Baker, Robert L. Herrera, Jacob B. Bowen, Michael D. Ballard, Terrence A. Release No. AP-6581 File Number: 3-17716
Date: May 16, 2019	Respondents: Ascension Asset Management, LLC Gooder, Grenville M., JR. Release No. AP-6575 File Number: 3-19024
Date: May 16, 2019	Respondents: Angel Oak Capital Partners, LLC Peraza Capital and Investment, LLC Prabhu, Sreeniwas Wells, David W. Release No. AP-6576 File Number: 3-17849
Date: May 14, 2019	Respondents: Anton & Chia, LLP Wahl, Gregory A., CPA Deutchman, Michael, CPA Chung, Georgia, CPA Shek, Tommy, CPA Release No. AP-6572 File Number: 3-18292
Date: May 14, 2019	Respondents: Can-Cal Resources Ltd. China Fruits Corp. Skystar Bio-Pharmaceutical Co. Release No. AP-6573 File Number: 3-18017
Date: May 14, 2019	Respondents: Bandimere, David F. Young, John O. Release No. AP-6574 File Number: 3-15124
Date: May 10, 2019	Respondents: Daspin, Edward M. (a/k/a "Edward (Ed) Michael") Agostini, Luigi Lux, Lawrence R. Release No. AP-6570 File Number: 3-16509
Date: May 10, 2019	Respondents: Bebo, Laurie Buono, John, CPA Release No. AP-6571 File Number: 3-16293
Date: May 8, 2019	Respondents: Amundsen, Joseph S., CPA Remus, Michael T., CPA Remus Michael, CPA Release No. AP-6566 File Number: 3-18994
Date: May 8, 2019	Respondents: Ascension Asset Management, LLC Gooder, Grenville M., JR. Release No. AP-6567 File Number: 3-19024
Date: May 8, 2019	Respondents: Bandimere, David F. Young, John O. Release No. AP-6568 File Number: 3-15124
Date: May 6, 2019	Respondents: Starkot Corp. Release No. AP-6564 File Number: 3-19146
Date: May 6, 2019	Respondents: Harding Advisory LLC Chau, Wing F. Release No. AP-6565 File Number: 3-15574
Date: May 3, 2019	Respondents: China Biopharma, Inc. China Linen Textile Industry, Ltd. China Water Group, Inc. Scout Exploration, Inc. Teryl Resources Corp. Release No. AP-6561 File Number: 3-17886
Date: May 3, 2019	Respondents: Daspin, Edward M. (a/k/a "Edward (Ed) Michael") Agostini, Luigi Lux, Lawrence R. Release No. AP-6562 File Number: 3-16509
Date: May 3, 2019	Respondents: Amundsen, Joseph S., CPA Remus, Michael T., CPA Remus Michael, CPA Release No. AP-6563 File Number: 3-18994
Date: May 2, 2019	Respondents: Baker, Robert L. Herrera, Jacob B. Bowen, Michael D. Ballard, Terrence A. Release No. AP-6559 File Number: 3-17716
Date: May 2, 2019	Respondents: Saving2Retire, LLC Young, Marian P. Release No. AP-6560 File Number: 3-17352
Date: May 1, 2019	Respondents: Bandimere, David F. Young, John O. Release No. AP-6557 File Number: 3-15124
Date: May 1, 2019	Respondents: Rossi, Matthew R. SJL Capital, LLC Release No. AP-6558 File Number: 3-19145
Date: April 30, 2019	Respondents: Angel Oak Capital Partners, LLC Peraza Capital and Investment, LLC Prabhu, Sreeniwas Wells, David W. Release No. AP-6556 File Number: 3-17849
Date: April 29, 2019	Respondents: Harding Advisory LLC Chau, Wing F. Release No. AP-6553 File Number: 3-15574
Date: April 29, 2019	Respondents: Amundsen, Joseph S., CPA Remus, Michael T., CPA Remus Michael, CPA Release No. AP-6554 File Number: 3-18994
Date: April 29, 2019	Respondents: Rossi, Matthew R. SJL Capital, LLC Release No. AP-6555 File Number: 3-19145
Date: April 26, 2019	Respondents: Pruitt, David, CPA Release No. AP-6551 File Number: 3-17950
Date: April 26, 2019	Respondents: BioCoral, Inc. GC China Turbine Corp. Race World International, Inc. Worldwide Biotech & Pharmaceutical Co. Release No. AP-6552 File Number: 3-16604
Date: April 25, 2019	Respondents: Starkot Corp. Release No. AP-6550 File Number: 3-19146
Date: April 24, 2019	Respondents: Anderson, Traci J., CPA Carnahan, Timothy W. CYIOS Corporation Release No. AP-6549 File Number: 3-16386
Date: April 22, 2019	Respondents: Pruitt, David, CPA Release No. AP-6547 File Number: 3-17950
Date: April 22, 2019	Respondents: Spring Hill Capital Markets, LLC Spring Hill Capital Partners, LLC Spring Hill Capital Holdings, LLC White, Kevin D. Release No. AP-6548 File Number: 3-16353
Date: April 19, 2019	Respondents: Anton & Chia, LLP Wahl, Gregory A., CPA Deutchman, Michael, CPA Chung, Georgia, CPA Shek, Tommy, CPA Release No. AP-6546 File Number: 3-18292
Date: April 18, 2019	Respondents: Bruton, Karen, CPA Hope Advisors, LLC, Bruton, Karen, CPA Release No. AP-6545 File Number: 3-18789, 3-18790
Date: April 17, 2019	Respondents: J.S. Oliver Capital Management, L.P. Mausner, Ian O. Drennan, Douglas F. Release No. AP-6544 File Number: 3-15446
Date: April 16, 2019	Respondents: Pruitt, David, CPA Release No. AP-6543 File Number: 3-17950
Date: April 15, 2019	Respondents: Fox, Joseph J. Release No. AP-6541 File Number: 3-16795
Date: April 15, 2019	Respondents: Angel Oak Capital Partners, LLC Peraza Capital and Investment, LLC Prabhu, Sreeniwas Wells, David W. Release No. AP-6542 File Number: 3-17849
Date: April 12, 2019	Respondents: Saving2Retire, LLC Young, Marian P. Release No. AP-6539 File Number: 3-17352
Date: April 12, 2019	Respondents: Bruton, Karen, CPA Hope Advisors, LLC, Bruton, Karen, CPA Release No. AP-6540 File Number: 3-18789, 3-18790
Date: April 10, 2019	Respondents: Daspin, Edward M. (a/k/a "Edward (Ed) Michael") Agostini, Luigi Lux, Lawrence R. Release No. AP-6538 File Number: 3-16509
Date: April 9, 2019	Respondents: Baker, Robert L. Herrera, Jacob B. Bowen, Michael D. Ballard, Terrence A. Release No. AP-6537 File Number: 3-17716
Date: April 4, 2019	Respondents: Angel Oak Capital Partners, LLC Peraza Capital and Investment, LLC Prabhu, Sreeniwas Wells, David W. Release No. AP-6536 File Number: 3-17849
Date: April 2, 2019	Respondents: Pruitt, David, CPA Release No. AP-6534 File Number: 3-17950
Date: April 2, 2019	Respondents: Bandimere, David F. Young, John O. Release No. AP-6535 File Number: 3-15124
Date: April 1, 2019	Respondents: Harris, Talman, Alfaya, Victor Release No. AP-6531 File Number: 3-17874, 3-17875
Date: April 1, 2019	Respondents: Harris, Talman, Alfaya, Victor Release No. AP-6532 File Number: 3-17874, 3-17875
Date: April 1, 2019	Respondents: Spring Hill Capital Markets, LLC Spring Hill Capital Partners, LLC Spring Hill Capital Holdings, LLC White, Kevin D. Release No. AP-6533 File Number: 3-16353
Date: March 29, 2019	Respondents: Pruitt, David, CPA Release No. AP-6529 File Number: 3-17950
Date: March 29, 2019	Respondents: Gibson, Christopher M. Release No. AP-6530 File Number: 3-17184
Date: March 28, 2019	Respondents: Can-Cal Resources Ltd. China Fruits Corp. Skystar Bio-Pharmaceutical Co. Release No. AP-6525 File Number: 3-18017
Date: March 28, 2019	Respondents: Retirement Surety LLC Crescendo Financial LLC Rose, Thomas Leeman, David Featherstone, David Release No. AP-6526 File Number: 3-18061
Date: March 28, 2019	Respondents: Terracciano, Eugene Release No. AP-6527 File Number: 3-18414
Date: March 28, 2019	Respondents: Pruitt, David, CPA Release No. AP-6528 File Number: 3-17950
Date: March 27, 2019	Respondents: Bandimere, David F. Young, John O. Release No. AP-6520 File Number: 3-15124
Date: March 27, 2019	Respondents: Bandimere, David F. Young, John O. Release No. AP-6521 File Number: 3-15124
Date: March 27, 2019	Respondents: Angel Oak Capital Partners, LLC Peraza Capital and Investment, LLC Prabhu, Sreeniwas Wells, David W. Release No. AP-6522 File Number: 3-17849
Date: March 27, 2019	Respondents: Bercowy, Gregory M. Release No. AP-6523 File Number: 3-18508
Date: March 27, 2019	Respondents: Bandimere, David F. Young, John O. Release No. AP-6524 File Number: 3-15124
Date: March 26, 2019	Respondents: Penn, Lawrence E., III Release No. AP-6517 File Number: 3-18288
Date: March 26, 2019	Respondents: Saving2Retire, LLC Young, Marian P. Release No. AP-6518 File Number: 3-17352
Date: March 26, 2019	Respondents: Anderson, Traci J., CPA Carnahan, Timothy W. CYIOS Corporation Release No. AP-6519 File Number: 3-16386
Date: March 25, 2019	Respondents: Bebo, Laurie Buono, John, CPA Release No. AP-6516 File Number: 3-16293
Date: March 22, 2019	Respondents: Saving2Retire, LLC Young, Marian P. Release No. AP-6515 File Number: 3-17352
Date: March 20, 2019	Respondents: Bandimere, David F. Young, John O. Release No. AP-6513 File Number: 3-15124
Date: March 20, 2019	Respondents: China Biopharma, Inc. China Linen Textile Industry, Ltd. China Water Group, Inc. Scout Exploration, Inc. Teryl Resources Corp. Release No. AP-6514 File Number: 3-17886
Date: March 19, 2019	Respondents: Spring Hill Capital Markets, LLC Spring Hill Capital Partners, LLC Spring Hill Capital Holdings, LLC White, Kevin D. Release No. AP-6511 File Number: 3-16353
Date: March 19, 2019	Respondents: BioCoral, Inc. GC China Turbine Corp. Race World International, Inc. Worldwide Biotech & Pharmaceutical Co. Release No. AP-6512 File Number: 3-16604
Date: March 18, 2019	Respondents: Och-Ziff Capital Management Group LLC Oz Management LP Och, Daniel S. Frank, Joel M. Release No. AP-6502 File Number: 3-17595
Date: March 18, 2019	Respondents: Baker, Robert L. Herrera, Jacob B. Bowen, Michael D. Ballard, Terrence A. Release No. AP-6503 File Number: 3-17716
Date: March 18, 2019	Respondents: Teran, Alfred C. Release No. AP-6504 File Number: 3-18098