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. 12, 1973	Koss Securities Corporation, Theodore Koss David J. Markun, Administrative Law Judge Release No. 3-3253 File Number: 3-3253
Dec. 3, 1973	Doorley & Company, Inc., William F. Doorley Release No. 3-3981 File Number: 8-13068
Nov. 8, 1973	Comtech Venture Fund, Inc. 24W-3104 Sidney Ullman, Administrative Law Judge Release No. 3-4256 File Number: 3-4256
Nov. 1, 1973	Midwestern Securities Corporation (8-13821), Lloyd D. Sahley, Louis Goldblatt Sidney Ullman, Administrative Law Judge Release No. 3-3276 File Number: 3-3276
Oct. 24, 1973	United Securities Company of America (8-15516), Melvin Y. Zucker, Charles I. Black Sidney Ullman, Administrative Law Judge Release No. 3-3015 File Number: 3-3015
Oct. 18, 1973	Cooperative Oil Investments, Inc. Release No. 3-4305 File Number: 20-1806A4
Oct. 10, 1973	The Registration Statement of I.M.H. - One Release No. 3-4124 File Number: 2-45093
Oct. 1, 1973	Goffe-Carkener-Blackford Securities Corp. (8-9562), A. Vincent Blackford Warren E. Blair, Chief Administrative Law Judge Release No. 3-3870 File Number: 3-3870
Sept. 7, 1973	Cotzin, Woolf & Co., Alexander H. Woolf, Release No. 3-3668 File Number: 8-16029
Aug. 31, 1973	Frank J. Crimmins David J. Markun, Administrative Law Judge Release No. 3-3261 File Number: 3-3261
Aug. 6, 1973	Gilbert F. Tuffli, Jr., Stanley Radler, Stephen A. Cahen, Stanley J. Stewart, Charles S. Goldy, Eugene F. Lemoine, Calvin Yudin, Sidney Gelber, Robert Forman, George Wasson Sidney Ullman, Administrative Law Judge Release No. 3-2621 File Number: 3-2621
July 18, 1973	American Electric Power Company, Inc. (70-4596) Irving Schiller, Administrative Law Judge Release No. 3-1476 File Number: 3-1476
July 18, 1973	Spence & Green Chemical Company (24FW-1555) Ralph Hunter Tracy, Administrative Law Judge Release No. 3-4117 File Number: 3-4117
July 16, 1973	Fred L.G. Kuehm (McDonnell & Co., Inc.) 8-7300 Sidney L. Feiler, Administrative Law Judge Release No. 3-2409 File Number: 3-2409
July 16, 1973	Property Underwriters, Inc., Calvin A. Merriman Release No. 3-4032 File Number: 8-16242
June 29, 1973	Robert F. Lynch David J. Markun, Administrative Law Judge Release No. 3-3115 File Number: 3-3115
May 17, 1973	Naftalin & Co., Inc., Neil T. Naftalin Warren E. Blair, Chief Administrative Law Judge Release No. 3-3277 File Number: 3-3277
May 8, 1973	Wall Street Corporation of America, Inc., Marie A. Peterson, Thomas V. McCaul, Jr. (8-10718) Edward B. Wagner, Administrative Law Judge Release No. 3-4070 File Number: 3-4070
April 24, 1973	Samuel H. Sloan d/b/a Samuel H. Sloan & Co. (8-15750) Ralph Hunter Tracy, Administrative Law Judge Release No. 3-3680 File Number: 3-3680
April 17, 1973	David B. McEwan (8-13633) Edward B. Wagner, Administrative Law Judge Release No. 3-3815 File Number: 3-3815
April 6, 1973	Collins Securities Corporation, Timothy Collins, Vern Kornelsen, Garry Smith Sidney Ullman, Administrative Law Judge Release No. 3-3272 File Number: 3-3272
April 3, 1973	Sierega & Company, Inc. (8-13052), Sierega Management & Research Company, Inc. (801-4169), Donald L. Sierega Ralph Hunter Tracy, Administrative Law Judge Release No. 3-2971 File Number: 3-2971
April 2, 1973	Pelissier Associates, Inc. (8-14557), Gerald Pelissier Warren E. Blair, Chief Administrative Law Judge Release No. 3-3083 File Number: 3-3083
March 8, 1973	Wellington Hunter d/b/a Wellington Hunter Associates Release No. 3-1789 File Number: 8-1271
Feb. 16, 1973	Newport Securities Corp. (8-14255), A. Gurdon Wolfson, Martin Susson, Roy O. Dawson Ralph Hunter Tracy, Administrative Law Judge Release No. 3-2869 File Number: 3-2869
Feb. 1, 1973	John R. Brick & Company (801-5796), John R. Brick, Joseph C. Maurer, William J. Caho, Clarence J. Liataud Warren E. Blair, Chief Administrative Law Judge Release No. 3-3167 File Number: 3-3167
Jan. 18, 1973	Henry Gellis, Frederick Munzer, Harold Shapiro David J. Markun, Administrative Law Judge Release No. 3-3156 File Number: 3-3156
Jan. 3, 1973	Dinky's Inc. (24SF-3852) Warren E. Blair, Chief Administrative Law Judge Release No. 3-3620 File Number: 3-3620

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