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. 8, 1994	Consolidated Investment Services, Inc., Norman P. Rounds, James L. Fainter Glenn Robert Lawrence, Administrative Law Judge Release No. 59 File Number: 3-8312
Nov. 4, 1994	Michael Gartner Edward J. Kuhlmann, Administrative Law Judge Release No. 58 File Number: 3-8371
Sept. 21, 1994	Steven Telsey and First Securities Transfer Systems, Inc. Brenda P. Murray, Chief Administrative Law Judge Release No. 57 File Number: 3-8247
Sept. 19, 1994	Jay Houston Meadows Glenn Robert Lawrence, Administrative Law Judge Release No. 56 See Also: Opinion , Court of Appeals Opinion File Number: 3-8257
Aug. 26, 1994	George W. Phillips Brenda P. Murray, Chief Administrative Law Judge Release No. 55 File Number: 3-8145
July 13, 1994	David M. Haber Edward J. Kuhlmann, Administrative Law Judge Release No. 54 File Number: 3-8155
June 30, 1994	BC Financial Corp., Stuart M. Cohen, David Disner, James Snelgrove Edward J. Kuhlmann, Administrative Law Judge Release No. 53 File Number: 3-8166
June 20, 1994	Alexander V. Stein Brenda P. Murray, Chief Administrative Law Judge Release No. 52 File Number: 3-8112
June 15, 1994	John Harvey Early Glenn Robert Lawrence, Administrative Law Judge Release No. 51 File Number: 3-8213
June 2, 1994	Martin B. Sloate Glenn Robert Lawrence, Administrative Law Judge Release No. 50 See Also: Opinion File Number: 3-8232
May 27, 1994	Juan Carlos Schidlowski Edward J. Kuhlmann, Administrative Law Judge Release No. 49 File Number: 3-8186
May 19, 1994	Roberts D. Potts, CPA Edward J. Kuhlmann, Administrative Law Judge Release No. 48 See Also: Opinion , Court of Appeals Opinion File Number: 3-7998
April 12, 1994	Patricia A. Johnson Glenn Robert Lawrence, Administrative Law Judge Release No. 47 File Number: 3-8205
Feb. 25, 1994	Michael Keith Howard Warren E. Blair, Chief Administrative Law Judge Release No. 46 File Number: 3-8056
Feb. 16, 1994	Jones & Ward Securities, Inc., Ivan D. Jones, Jr., Roy P. Akers and Investment/Timing Systems, Inc. Warren E. Blair, Chief Administrative Law Judge Release No. 45 See Also: Court of Appeals Opinion File Number: 3-8037
Jan. 24, 1994	Ahmed Mohamed Soliman Brenda P. Murray, Chief Administrative Law Judge Release No. 44 File Number: 3-7954

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