ALJ Initial Decisions

Between January 31, 2026, and February 3, 2026, the Commission experienced a lapse in appropriations. In light of the lapse, the Commission issued an order staying certain administrative proceedings. On February 4, 2026, the Commission issued an order lifting the stay and extending dates in the proceedings previously subject to the stay.

Administrative Law Judges issued the following Initial Decisions pursuant to 5 U.S.C § 557 and 17 C.F.R. § 201.360(a).

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Date Sort descending	Respondents
Dec. 22, 1965	J.P. Howell & Co., Inc., Michael La Marca, Charles Hoffman, Benjamin Greene, Joel Kaplan, Stephen Negri, Philip Waldman, Edward Vanasco Release No. 8-5548 See Also: Opinion File Number: 8-5548
Dec. 2, 1965	Owen K. Taylor, Inc. (801-3675) Sidney Gross, Hearing Examiner Release No. 3-35 See Also: Finality Order File Number: 3-35
Nov. 30, 1965	George A. Brown, dba Brown & Company Release No. 8-7953 See Also: Opinion File Number: 8-7953
Nov. 19, 1965	J. Brad David, Ltd. (8-10598) James G. Ewell, Hearing Examiner Release No. 8-10598 See Also: Opinion File Number: 8-10598
Nov. 15, 1965	J.E. Marken & Co., Inc. (8-10657), John E. Marken, Morris Cipris, Jack Perlow, Nat Horowitz Irving Schiller, Hearing Examiner Release No. 8-10657 See Also: Finality Order File Number: 8-10657
Nov. 15, 1965	Kamen & Company, Abraham Kamen, Release No. 8-4175 See Also: Opinion File Number: 8-4175
Oct. 20, 1965	Reed, Whitney & Stonehill, Inc., Leonard Lazaroff, Milton Steinberg, Seymour Tankleff, Russell Siebach Release No. 3-14 See Also: Finality Order File Number: 8-9837
Oct. 15, 1965	Harris Clare & Co., Inc. (8-10474), Harris Clare & Co. (8-11753), Towne Harris & Co., Inc. (8-10377), Bruce Shapiro (8-10474), Martin Clare, Melvin Winslow (8-11753), Robert Summers, Harris Freedman (8-10377) Irving Schiller, Hearing Examiner Release No. 8-10474 See Also: Opinion , Finality Order File Number: 8-10474
Oct. 6, 1965	Copley and Company (8-5248), Ralph E. Cook, Charles A. Schoenecke, J. Blaine Corry, Theodore B. Gazarian, Leonard J. Tillotson William W. Swift, Hearing Examiner Release No. 8-5248 See Also: Finality Order File Number: 8-5248
Aug. 30, 1965	Atlantic Equities Company Release No. 8-8415 See Also: Opinion File Number: 8-8415
Aug. 5, 1965	R. Baruch & Company, et al. (Files. 8-8712, et al.) Sidney L. Feiler, Hearing Examiner Release No. 8-8712 See Also: Opinion File Number: 8-8712
July 26, 1965	Hayden Lynch & Co., Inc. Release No. 8-11990 See Also: Opinion File Number: 8-11990
July 6, 1965	Assurance Investment Company, Paul A. Miller, Harold M. Pelton Release No. 8-11787 See Also: Opinion File Number: 8-11787
June 10, 1965	Uneeda Vending Service, Inc. Release No. 24NY-5678 See Also: Opinion File Number: 24NY-5678
May 21, 1965	Allstate Petroleum, Inc., Release No. 8-10775 See Also: Opinion File Number: 8-10775
May 10, 1965	San Francisco Mining Exchange, Release No. 10-38 See Also: Opinion File Number: 10-38
May 5, 1965	F. S. Johns & Co., Inc. Release No. 8-8759 See Also: Opinion File Number: 8-8759
March 30, 1965	Sunshine Securities, Inc., Lillian Grossbard Release No. 8-8595 See Also: Opinion File Number: 8-8595
March 29, 1965	Seaboard Securities Corporation (8-9753), Leon Nash, Harold Ignatoff Irving Schiller, Hearing Examiner Release No. 3-10, AAER-3731 See Also: Opinion File Number: 3-10
March 17, 1965	G. H. Musekamp & Co. Release No. 8-8635 See Also: Opinion File Number: 8-8635
March 2, 1965	Broadwall Securities, Inc., Arnold Mahler, Jack Einiger, Alexander Lapidus, Stanley Miller Release No. 3-5 See Also: Opinion File Number: 8-11096
Feb. 3, 1965	Nathan Salinger, d/b/a Salinger Investment Co. Release No. 8-10740 See Also: Opinion File Number: 8-10740
Jan. 19, 1965	Harold E. Winterhalter d/b/a Harold E. Winterhalter Company Release No. 8-6717 See Also: Opinion File Number: 8-6717

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