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
Richard Hirschfeld Warren E. Blair, Chief Administrative Law Judge
Release No. 3-6544
File Number: 3-6544
Blinder, Robinson & Co., Inc., Meyer Blinder David J. Markun, Administrative Law Judge
Release No. 3-6380
File Number: 3-6380
Military Robot Corporation David J. Markun, Administrative Law Judge
Release No. 3-6493
File Number: 3-6493
RFG Options Company (8-24148), Eugene V. Rintels, Andor A. Fleischman, Dennis G. Guy Ralph Hunter Tracy, Administrative Law Judge
Release No. 3-6370
File Number: 3-6370
Rooney, Pace Inc., et al. Max O. Regensteiner, Administrative Law Judge
Release No. 3-6332
File Number: 3-6332
Owen V. Kane (A.G. Becker, Incorporated n/k/a A.G. Becker Paribas Incorporated) Warren E. Blair, Chief Administrative Law Judge
Release No. 3-6351
File Number: 3-6351
First State Financial, Inc. (801-22847) David J. Markun, Administrative Law Judge
Release No. 3-6451
File Number: 3-6451
Lester Kuznetz Jerome K. Soffer, Administrative Law Judge
Release No. 3-6356
File Number: 3-6356
Butcher & Singer, Inc., Samuel J. Bennett, Thomas A. Grey David J. Markun, Administrative Law Judge
Release No. 3-6324
File Number: 3-6324
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