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 Respondents
Paine Webber Jackson & Curtis, Incorporated (BD 8-016267) David J. Markun, Administrative Law Judge
Release No. 3-6074
File Number: 3-6074
First Multifund Advisory Corp., Milton Mound Irving Schiller, Administrative Law Judge
Release No. 3-5881
File Number: 3-5881
Alstead, Strangis & Dempsey, Inc. (8-14697) Warren E. Blair, Chief Administrative Law Judge
Release No. 3-6135
File Number: 3-6135
Investors Financial Planning, Inc.
Release No. 3-6071
File Number: 8-15278
Advanced Chemical Corporation Jerome K. Soffer, Administrative Law Judge
Release No. 3-6085
File Number: 3-6085
Richard W. Suter and Richard W. Suter d/b/a National Investment Publishing Company David J. Markun, Administrative Law Judge
Release No. 3-6038
File Number: 3-6038
Jay W. Kaufmann & Co., Raphael David Bloom Irving Schiller, Administrative Law Judge
Release No. 3-6084
File Number: 3-6084
James S. Doyle, Thomas F. Ryan David J. Markun, Administrative Law Judge
Release No. 3-6063
File Number: 3-6063
Morton Paul Kominsky d/b/a Morton Kominsky, Morton Kominsky David J. Markun, Administrative Law Judge
Release No. 3-6046
File Number: 3-6046
James F. Novak Ralph Hunter Tracy, Administrative Law Judge
Release No. 3-6022
File Number: 3-6022
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