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
Oct. 10, 1997	Robert Sayegh, Thomas Core, and John J. Cranley, Jr.; Brenda P. Murray, Chief Administrative Law Judge Release No. 118 See Also: Finality Order , Opinion File Number: 3-9019
Sept. 25, 1997	Matt Matson; Lillian A. McEwen, Administrative Law Judge Release No. 117 See Also: Finality Order File Number: 3-9279
Sept. 9, 1997	Ira William Scott; Brenda P. Murray, Chief Administrative Law Judge Release No. 116 See Also: Opinion File Number: 3-9105
Aug. 18, 1997	Douglas W. Osborne; Brenda P. Murray, Chief Administrative Law Judge Release No. 114 See Also: Finality Order File Number: 3-9008
Aug. 18, 1997	Warren G. Trepp; Carol Fox Foelak, Administrative Law Judge Release No. 115 See Also: Order Dismissing Proceedings File Number: 3-8833
Aug. 6, 1997	Frederick C. Gartz; Brenda P. Murray, Chief Administrative Law Judge Release No. 113 See Also: Finality Order File Number: 3-9060
Aug. 5, 1997	Marc N. Geman; G. Marvin Bober, Administrative Law Judge Release No. 112 See Also: Opinion File Number: 3-9032
July 2, 1997	Valicenti Advisory Services, Inc. and Vincent R. Valicenti; Carol Fox Foelak, Administrative Law Judge Release No. 111 See Also: Opinion File Number: 3-8854
April 10, 1997	Kenneth J. Schulte; Brenda P. Murray, Chief Administrative Law Judge Release No. 110 See Also: Finality Order File Number: 3-9051
March 25, 1997	James Thornton and Payne Thornton, Inc., d/b/a Retirement Investment Group; Brenda P. Murray, Chief Administrative Law Judge Release No. 109 See Also: Opinion , Court of Appeals Opinion File Number: 3-9046
March 19, 1997	David L. Arnold, W. David East, and Jerry Payne; Lillian A. McEwen, Administrative Law Judge Release No. 108 See Also: Opinion File Number: 3-8955
March 7, 1997	Terry T. Steen and Rodger E. Thornton; Carol Fox Foelak, Administrative Law Judge Release No. 107 See Also: Opinion , ALJ Initial Decision Release File Number: 3-8749
Feb. 25, 1997	M. Rimson & Co., Inc., Moshe Rimson, Jonathan Mende & Associates, Inc., Jonathan Aurielio Mende, Todd Levaughn Hickman, Christian Jean-Marie Girodet, Mitchell Aguirre, Claudio Peter Iodice, III, Alex David Shindman, Yevgeny G. Shkilko, David Feyjin and Roger Dantoni, III; Lillian A. McEwen, Administrative Law Judge Release No. 106 See Also: Finality Order File Number: 3-8772
Feb. 7, 1997	Sharon M. Graham, Stephen C. Voss, James J. Pasztor; Glenn Robert Lawrence, Administrative Law Judge Release No. 105 See Also: Opinion File Number: 3-8511

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