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. 30, 1966	Charles P. Lawrence James G. Ewell, Hearing Examiner Release No. 3-609 See Also: Opinion File Number: 3-609
Dec. 27, 1966	Millard M. Mier, John E. Lalich, Geraldine C. Gillespie, Carolyn J. Hendrickson Leo G. MacLaughlin Securities Co. Release No. 8-6926 See Also: Finality Order File Number: 8-6926
Dec. 19, 1966	Richard Bruce & Co., Inc. (8-923), Melvin Hiller, George Granat, Stanley Gross, Jeanne S. Earle, Aaron Fink, Robert A. Monahan Sidney Ullman, Hearing Examiner Release No. 3-134 See Also: Opinion File Number: 3-134
Nov. 17, 1966	Balanced Programs, Ltd. (8-10459), Charles S. Sperrazza Samuel Binder, Hearing Examiner Release No. 3-543 See Also: Finality Order File Number: 3-543
Oct. 19, 1966	Roman S. Gorski (801-2400) Irving Schiller, Hearing Examiner Release No. 3-469 See Also: Opinion File Number: 3-469
Oct. 17, 1966	Lawrence Securities Company (8-12017), Lawrence Jay Brown d/b/a Lawrence Securities Company (8-11971), Lawrence Jay Brown Sidney Ullman, Hearing Examiner Release No. 3-115 See Also: Finality Order File Number: 3-115
Oct. 17, 1966	Billings Associates, Inc. (8-11330), Pearne Billings, Judson Dockstader, William J. Irving, Arthur E. Laudenslager, Hedley Moore, Mitchel Steklof, Morris Cohen Warren E. Blair, Hearing Examiner Release No. 3-382 File Number: 3-382
Aug. 26, 1966	Century Securities Company (8-8623), Fred Colton, David T. Fleischman, William Reigel, Robert W. Nees, Pierre Pambrun, Jay B. Cook, Donald R. Brophy, John Desbrow Sidney Gross, Hearing Examiner Release No. 8-8623 See Also: Opinion File Number: 8-8623
July 15, 1966	International Hydrocarbons Ltd. (23S-1983) Samuel Binder, Hearing Examiner Release No. 3-200 File Number: 3-200
June 27, 1966	Strathmore Securities, Inc., Auldus H. Turner, Jr., Ronald D. Turner, T. Theodore Turner, Theodore B. Henjum, Michael R. Ventura, Louis A. Moore, Alan J. Davis, Hugh M. Casper, John J. Baginski, Ethel I. Weber Sidney L. Feiler, Hearing Examiner Release No. 8-7323 See Also: Opinion File Number: 8-7323
June 23, 1966	Dixie Land and Timber Corporation (2-2278) Samuel Binder, Hearing Examiner Release No. 3-215 See Also: Finality Order File Number: 3-215
June 22, 1966	William S. Marshall Sidney Ullman, Hearing Examiner Release No. 3-136 File Number: 3-136
May 31, 1966	Huntington Securities Co., Inc. (8-8892), Benjamin Stein, Saul Kay, Peter Fotis, James De Mammos, Erwin Gersten Sidney Ullman, Hearing Examiner Release No. 8-8892 See Also: Finality Order File Number: 8-8892
April 25, 1966	Van Hoozer & Company, Inc. (8-6810), Thomas H. Van Hoozer Samuel Binder, Hearing Examiner Release No. 3-43 See Also: Finality Order File Number: 3-43
April 7, 1966	Costello, Russotto & Co. (8-9178), Frank A. Costello, Bernard Livingston, Jerold Irwin Kantor, Martin A. Fleischman, Joseph Baron, Floyd Earl O'Gorman Sidney Gross, Hearing Examiner Release No. 3-163 See Also: Finality Order File Number: 3-163
April 4, 1966	Fabrikant Securities Corporation, et al. (8-9565) Sidney Ullman, Hearing Examiner Release No. 8-9565 See Also: Finality Order File Number: 8-9565
March 21, 1966	F. R. Burns & Company (8-4205), Floyd R. Burns Sidney L. Feiler, Hearing Examiner Release No. 3-145 See Also: Finality Order File Number: 3-145
March 16, 1966	Marketlines, Inc. (801-3091), David S. Romanoff, Harold Schreiber / Elizabeth Schreiber d/b/a Commodity Trading Advisory Service (801-3066), Harold Schreiber James G. Ewell, Hearing Examiner Release No. 3-227 See Also: Opinion File Number: 3-227
Feb. 28, 1966	Stuart Perlman (24A-1733); Clifford Perlman; Aetna Securities Corporation - Offerors; Lum's Inc. - Issuer Sidney Gross, Hearing Examiner Release No. 3-3 See Also: Opinion File Number: 3-3
Feb. 16, 1966	C.A. Benson & Company, Inc. (8-6721), Carl A. Benson Warren E. Blair, Hearing Examiner Release No. 3-148 See Also: Finality Order File Number: 3-148
Jan. 21, 1966	Thomas F. Quinn, Norman B. Babat, Martin A. Fleischman, Jack Greenberg Sidney Gross, Hearing Examiner Release No. 3-1, AAER-2367 See Also: Finality Order File Number: 3-1
Jan. 4, 1966	Christopher & Co., Inc. (8-9380), Jospeh Cannistraci, Peter Lobkowicz, a/k/a Leblovic, Alfred Miller, Theodore Sotell, William V. Simone, Irving Sherer, Bernard Freimark, Salvatore J. Ambrosino, Thomas Souran Irving Schiller, Hearing Examiner Release No. 8-9380 See Also: Finality Order File Number: 8-9380
Jan. 3, 1966	Waldman & Co. (8-11460), Seymour Waldman, Elliot Rose, Bernard Portnoy, Frank Engelman, Julius Gladstein, Samuel Lewis, Stuart Davis, Louis Pilnick, Reubin Ehrlich, Martin A. Fleishman, Norman B. Babat, Norman Pollisky, Aaron J. Gabriel, Allan Harris Warren E. Blair, Hearing Examiner Release No. 3-364 See Also: ALJ Initial Decision Release , Finality Order File Number: 3-364

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