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
Sept. 29, 1998	Terry T. Steen; Carol Fox Foelak, Administrative Law Judge Release No. 133 See Also: Finality Order File Number: 3-8798
Sept. 23, 1998	Rita Villa; Robert G. Mahony, Administrative Law Judge Release No. 132 See Also: Amended Order , Opinion , Opinion File Number: 3-8527-EAJ
Sept. 3, 1998	Parnassus Investments, Jerome L. Dodson, Marilyn Chou, and David L. Gibson; Robert G. Mahony, Administrative Law Judge Release No. 131 See Also: Finality Order File Number: 3-9317
Aug. 11, 1998	Stires & Co., Inc. and Sidney H. Stires; Brenda P. Murray, Chief Administrative Law Judge Release No. 130 See Also: Finality Order File Number: 3-9120
Aug. 3, 1998	Michael J. Markowski; Lillian A. McEwen, Administrative Law Judge Release No. 129 See Also: Opinion File Number: 3-9277
July 23, 1998	Patricia Ann Bellows; Lillian A. McEwen, Administrative Law Judge Release No. 128 See Also: Finality Order File Number: 3-8951
July 21, 1998	Orlando Joseph Jett; Carol Fox Foelak, Administrative Law Judge Release No. 127 See Also: Opinion File Number: 3-8919
May 29, 1998	First Jersey Securities, Inc. and Robert E. Brennan; Brenda P. Murray, Chief Administrative Law Judge Release No. 126 See Also: Finality Order , Opinion File Number: 3-8699
April 15, 1998	Edward D. Jones & Co., Donald E. Walter, Steven T. Roberts, Ronald L. Gorgen, and Charles R. Larimore; Brenda P. Murray, Chief Administrative Law Judge Release No. 125 See Also: Finality Order File Number: 3-9181
March 24, 1998	Martin Kaiden; Robert G. Mahony, Administrative Law Judge Release No. 124 See Also: Opinion File Number: 3-9403
March 20, 1998	Philadelphia Investors, LTD. and Clarence Z. Wurts; G. Marvin Bober, Administrative Law Judge Release No. 123 See Also: Finality Order , Opinion File Number: 3-9114
March 9, 1998	Russo Securities, Inc. and Ferdinand Russo; Brenda P. Murray, Chief Administrative Law Judge Release No. 122 See Also: Opinion File Number: 3-8573-EAJ
Feb. 24, 1998	Al Rizek; G. Marvin Bober, Administrative Law Judge Release No. 121 See Also: Opinion , Court of Appeals Opinion File Number: 3-9041
Feb. 9, 1998	Ted Harold Westerfield; G. Marvin Bober, Administrative Law Judge Release No. 120 See Also: Opinion File Number: 3-9355
Jan. 12, 1998	IMS/CPAs & Associates, Vernon T. Hall, Stanley E. Hargrave, and Jerome B. Vernazza; Brenda P. Murray, Chief Administrative Law Judge Release No. 119 See Also: Opinion File Number: 3-9042

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