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. 28, 1983	Charles Schwab & Co., Inc. David J. Markun, Administrative Law Judge Release No. 3-6222 File Number: 3-6222
Dec. 19, 1983	Raymond L. Dirks, John D. Sullivan Irving Schiller, Administrative Law Judge Release No. 3-6183 File Number: 3-6183
Dec. 12, 1983	David R. Williams (International Securities, Inc.) Ralph Hunter Tracy, Administrative Law Judge Release No. 3-6238 File Number: 3-6238
Dec. 9, 1983	Steven R. Grayson Warren E. Blair, Chief Administrative Law Judge Release No. 3-6268 File Number: 3-6268
Sept. 6, 1983	Robert Blakeney Stevenson (Spaulding Securities Corporation) Jerome K. Soffer, Administrative Law Judge Release No. 3-6165 File Number: 3-6165
Aug. 29, 1983	Pagel, Inc. Release No. 3-6142 File Number: 8-16764
July 25, 1983	Financial Planning Center of Greater Washington, Inc. (801-15007), Walter H.T. Seager Warren E. Blair, Chief Administrative Law Judge Release No. 3-6219 File Number: 3-6219
July 7, 1983	A. L. Williamson & Co., Grover MacConnell Max O. Regensteiner, Administrative Law Judge Release No. 3-6149 File Number: 3-6149
May 25, 1983	Keith E. Wentz, Ronald P. Bynum Max O. Regensteiner, Administrative Law Judge Release No. 3-6180 File Number: 3-6180
April 29, 1983	Joseph Eugene Polk, Individually and doing business as Equity Investments, Ltd. (801-11790) Jerome K. Soffer, Administrative Law Judge Release No. 3-6148 File Number: 3-6148
April 11, 1983	Harbine Financial Service (801-11538), Jesse Rosenblum Warren E. Blair, Chief Administrative Law Judge Release No. 3-6150 File Number: 3-6150
March 23, 1983	Thomas J. Furnari Jerome K. Soffer, Administrative Law Judge Release No. 3-6091 File Number: 3-6091
March 21, 1983	Larry D. Blavin, Individually and d/b/a Providence Investment Advisory Ralph Hunter Tracy, Administrative Law Judge Release No. 3-6076 File Number: 3-6076
Feb. 7, 1983	Wall Street West, Inc. (8-22329), General Bond & Share Co. (8-7303), Theodore V. Abbruzzese, John L. Brown, Walter G. Asmus, Kenneth W. Sandberg, Sam C. Pandolfo Ralph Hunter Tracy, Administrative Law Judge Release No. 3-6119 File Number: 3-6119

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