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. 31, 1996	William F. Lincoln; Brenda P. Murray, Chief Administrative Law Judge Release No. 104 See Also: Opinion File Number: 3-8998
Dec. 13, 1996	John Francis D'Acquisto; Lillian A. McEwen, Administrative Law Judge Release No. 103 See Also: Opinion File Number: 3-8899
Dec. 4, 1996	Russell Ponce; Lillian A. McEwen, Administrative Law Judge Release No. 102 See Also: Opinion
Nov. 12, 1996	Joseph J. Barbato, Neal C. Harper and Frederick J. Krause; Burton S. Kolko, Administrative Law Judge Release No. 101 See Also: Opinion File Number: 3-8575
Nov. 7, 1996	Daniel D. Dietrich and Robert J. Judge; Carol Fox Foelak, Administrative Law Judge Release No. 100 See Also: Finality Order File Number: 3-9050
Nov. 4, 1996	James A. Sehn and Samuel O Forson; Lillian A. McEwen, Administrative Law Judge Release No. 99 See Also: Opinion File Number: 3-8234
Oct. 18, 1996	Danny G. Pinkerton and Kevin N. Campbell; Brenda P. Murray, Chief Administrative Law Judge Release No. 98 See Also: Order File Number: 3-8805
Sept. 27, 1996	Greg G. Anderson and Russell G. Koch; Carol Fox Foelak, Administrative Law Judge Release No. 97 See Also: Opinion File Number: 3-8832
Aug. 20, 1996	Frederick Entman, Norman B. Rothstein, Frank Louis Palumbo, Jacob Wonsover, Howard Richard Perles, M. Rimson & Co., Inc., and Moshe Rimson; Burton S. Kolko, Administrative Law Judge Release No. 96 See Also: Opinion File Number: 3-8584
Aug. 12, 1996	Milton Puryear; Brenda P. Murray, Chief Administrative Law Judge Release No. 95 See Also: Finality Order File Number: 3-8766
Aug. 2, 1996	Daniel L. Zessinger; Carol Fox Foelak, Administrative Law Judge Release No. 94 See Also: Finality Order File Number: 3-8838
July 22, 1996	William Edwin Somdahl; Brenda P. Murray, Chief Administrative Law Judge Release No. 93 See Also: Finality Order File Number: 3-8698
June 27, 1996	Richard J. Adams; Lillian A. McEwen, Administrative Law Judge Release No. 92 See Also: Order Dismissing Proceedings File Number: 3-8327
June 19, 1996	Alan E. Rosenthal; Brenda P. Murray, Chief Administrative Law Judge Release No. 91 See Also: Opinion File Number: 3-8642
June 5, 1996	Norsul Oil & Mining, Ltd., and Wayne E. Fowler; Brenda P. Murray, Chief Administrative Law Judge Release No. 90 See Also: Finality Order File Number: 3-8556
May 28, 1996	Robert I. Moses; Carol Fox Foelak, Administrative Law Judge Release No. 89 See Also: Opinion File Number: 3-8841
May 2, 1996	Thorn, Alvis, Welch, Inc., John E. Thorn, Jr., and Derryl W. Peden; Brenda P. Murray, Chief Administrative Law Judge Release No. 88 See Also: Commission Order File Number: 3-8400
April 1, 1996	Demitrios Julius Shiva; Carol Fox Foelak, Administrative Law Judge Release No. 87 See Also: Opinion File Number: 3-8803
March 11, 1996	Benjamin G. Sprecher; Brenda P. Murray, Chief Administrative Law Judge Release No. 86 See Also: Opinion File Number: 3-8230
Jan. 26, 1996	Robin Rushing And Harold ("B.J.") Gallison, Jr.; Burton S. Kolko, Administrative Law Judge Release No. 85 See Also: Finality Order File Number: 3-8593
Jan. 4, 1996	Gary A. Smith; Brenda P. Murray, Chief Administrative Law Judge Release No. 84 See Also: Finality Order File Number: 3-8755
Jan. 3, 1996	F.N. Wolf & Co., Inc., Hibbard Brown & Co., Inc., L.C. Wegard & Co., Inc., Franklin N. Wolf, Richard P. Brown, And Leonard B. Greer; Glenn Robert Lawrence, Administrative Law Judge Release No. 83 See Also: Opinion File Number: 3-8533

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