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. 31, 1969	John Hardy, Richard Clark Anderson; Folger, Nolan, Fleming & Co., Inc., (8-3335) and Edward Sinclair; Filor, Bullard & Smyth (8-87) Sidney L. Feiler, Hearing Examiner Release No. 3-1596and3-1597 See Also: Opinion File Number: 3-1596and3-1597
Dec. 19, 1969	Paul M. Kaufman Warren E. Blair, Hearing Examiner Release No. 3-2113 See Also: Opinion File Number: 3-2113
Dec. 5, 1969	Darrel G. Hafen, d/b/a Western Securities Co. (801-5383) David J. Markun, Hearing Examiner Release No. 3-1888 File Number: 3-1888
Nov. 28, 1969	The National Association of Small Business Investment Companies, et al. (812-2297) Sidney Ullman, Hearing Examiner Release No. 3-1825 See Also: Opinion File Number: 3-1825
Nov. 14, 1969	Investors Institute Inc., George W. Beck, III (801-2858) Irving Schiller, Hearing Examiner Release No. 3-1511 File Number: 3-1511
Sept. 26, 1969	Jackpot Exploration Corp. (24S-2168) Sidney L. Feiler, Hearing Examiner Release No. 3-1947 See Also: Opinion File Number: 3-1947
Sept. 2, 1969	Manney & Company, Inc. (8-1772), Irving Manney Sidney Gross, Hearing Examiner Release No. 3-2056 File Number: 3-2056
Aug. 5, 1969	The Susquehanna Corporation Release No. 3-1868 See Also: Opinion File Number: 1-5515-2A
June 2, 1969	Dunhill Securities Corporation, Patrick R. Reymaud, Edward Flinn (8-11616) David J. Markun, Hearing Examiner Release No. 3-1961 See Also: Opinion File Number: 3-1961
May 23, 1969	D.H. Blair & Co. (8-8239), Robert W. Miller, Charles J. Miller, Ralph J. Trapani, Ronald Neumark, Seymour Katz, Carl M. Loeb Rhoades & Co. (8-279), Goodbody & Co. (8-301), Richard V. Miller, Troster, Singer & Co. (8-1219), Sidney Woolwich Irving Schiller, Hearing Examiner Release No. 3-329 See Also: Opinion File Number: 3-329
May 15, 1969	Hodgdon & Co., Inc. (8-8427), A. Dana Hodgdon, James F. Haight, Burton Kitain, W. Lyles Carr, Jr., David M. Adam, Jr., James W. Harper, III, Homer E. Davis, Robert F. Kibler, Louis S. Amann, James L. Roper, Harvey A. Baskin Sidney Gross, Hearing Examiner Release No. 3-533 See Also: Opinion File Number: 3-533
March 21, 1969	California Securities Corporation, Scott Douglas Kellogg, 8-12587 David J. Markun, Hearing Examiner Release No. 3-1372 File Number: 3-1372
March 21, 1969	M.G. Davis & Co., Inc. (8-9237), Lawrence Levine, Walter Wax, Morris Kopel, Harold R. Rosenberg, Crerie & Co., Inc. (8-9152), Frank Crerie, Mario Trombone Associates, Inc. (801-2872), Mario Trombone Samuel Binder, Hearing Examiner Release No. 3-250 See Also: Opinion File Number: 3-250
Feb. 5, 1969	Abbett, Sommer & Co., Inc., Charles W. Sommer, III, Kyle M. Drollinger, Jr., Abbett, Sommer & Company Mortgage Corporation (8-7035) David J. Markun, Hearing Examiner Release No. 3-1510 See Also: Opinion File Number: 3-1510
Jan. 29, 1969	Louis P. Nichols & Company (8-14103) Samuel Binder, Hearing Examiner Release No. 3-1758 File Number: 3-1758
Jan. 22, 1969	Volante, Behar and Sperling, Guido Volante, Jacques Behar, Herman Sperling (8-14167) Sidney L. Feiler, Hearing Examiner Release No. 3-1793 File Number: 3-1793

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