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. 21, 1971	Robert Stead, Edwin Gomer Jones, Jr., Theodore Avchen, Merrill, Lynch, Pierce, Fenner & Smith, Inc., John Clarke, George Stromberg, Billy Neighbors Irving Schiller, Hearing Examiner Release No. 3-1958 File Number: 3-1958
Dec. 10, 1971	Alessandrini & Co. (8-14370), Wellington Hunter d/b/a Wellington Hunter Associates (8-1271), Louis B. Meadows & Co., Inc. (8-13243), Philip S. Budin & Co., Inc. (8-13488), Raymond I. Weiss, Ralph H. Weseman, Morton Kantrowitz, Philip S. Budin, Paul P. Alessandrini David J. Markun, Hearing Examiner Release No. 3-2391 See Also: Opinion File Number: 3-2391
Oct. 29, 1971	Irwin L. Germaise and Thomas F. Quinn David J. Markun, Hearing Examiner Release No. 3-2606 See Also: Finality Order File Number: 3-2606
Sept. 21, 1971	White & Company, Inc. (8-565), Edward A. White, White Capital Corporation, Ivan A. Ezrine Ralph Hunter Tracy, Hearing Examiner Release No. 3-3142 File Number: 3-3142
Sept. 7, 1971	Pennzoil Company, United Gas Corporation, Pennzoil United, Inc. Release No. 3-617 See Also: Finality Order File Number: 54-239
Aug. 27, 1971	Stone Summers & Company, Alexander J. Stone, Thomas E. Summers, Bobby Layne Summers, (8-13804) David J. Markun, Hearing Examiner Release No. 3-2451 See Also: Opinion File Number: 3-2451
Aug. 27, 1971	Iowa Beef Processors, Inc. (81-108) Warren E. Blair, Chief Hearing Examiner Release No. 3-2974 File Number: 3-2974
June 30, 1971	Providence Church Plan, Inc., Floyd M. Davis, et al. Release No. 3-1788 File Number: 3-1788
June 11, 1971	Arthur Lipper Corporation, Arthur Lipper III (8-13182) Warren E. Blair, Chief Hearing Examiner Release No. 3-2156 See Also: Opinion File Number: 3-2156
May 28, 1971	The National Association of Securities Dealers, Inc. Release No. 3-2428 File Number: 16-1-1
May 21, 1971	Mann and Company, Inc., Herman M. Solomon, Burton J. Rosenblatt (8-12902) Ralph Hunter Tracy, Hearing Examiner Release No. 3-2027 File Number: 3-2027
May 7, 1971	Securities Planners Associates, Inc., L. Dexter Flounce, Howard Smolar (8-8934) Ralph Hunter Tracy, Hearing Examiner Release No. 3-2267 See Also: Opinion File Number: 3-2267
March 31, 1971	John B. Licata & Co. (8-13655), John B. Licata David J. Markun, Hearing Examiner Release No. 3-2246 File Number: 3-2246
March 10, 1971	Conrad & Company, Inc. (8-8408), Thomas D. Conrad, Jr., Margaret J. Conrad, Roland L. Gonzales, Jr., Gary G. Booker Sidney Ullman, Hearing Examiner Release No. 3-2338 See Also: Opinion File Number: 3-2338

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