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. 17, 1999	Wheat First Securities Inc. F/K/A First Union Capital Markets Corp.; Teressa L. Cawley; Herbert Grossman, Administrative Law Judge Release No. 155 See Also: Erratum , Opinion File Number: 3-9688
Dec. 8, 1999	Ronnie R. Neihart; Robert G. Mahony, Administrative Law Judge Release No. 154 See Also: Finality Order File Number: 3-9982
Oct. 29, 1999	County of Nevada, City of Ione, Wasco Public Financing Authority, Virginia Horler, and William McKay; Brenda P. Murray, Chief Administrative Law Judge Release No. 153 See Also: Finality Order File Number: 3-9542
Oct. 28, 1999	George J. Kolar; James T. Kelly, Administrative Law Judge Release No. 152 See Also: Opinion File Number: 3-9570
Sept. 30, 1999	Richardt-Alyn & Co., and Richard B. Fienberg Release No. 151 See Also: Imposing Remedial Sanctions and Ordering Respondents to Cease and Desist File Number: 3-9099
Sept. 27, 1999	Russell W. Stein, Ford D. Albritton, Jr., and Dover and Associates, Inc.; Lillian A. McEwen, Administrative Law Judge Release No. 150 See Also: Order granting reconsideration and dismissing proceeding , Opinion File Number: 3-9309
Sept. 21, 1999	Seaboard Investment Advisers, Inc. and Eugene W. Hansen; Brenda P. Murray, Chief Administrative Law Judge Release No. 149 See Also: Opinion File Number: 3-9725
Sept. 21, 1999	Sandra Simpson and Daphne Pattee; Robert G. Mahony, Administrative Law Judge Release No. 148 See Also: Opinion File Number: 3-9458
Aug. 6, 1999	John J. Kenny and Nicholson/Kenny Capital Management, Inc.; Stephen L. Grossman, Administrative Law Judge Release No. 147 See Also: Erratum , Opinion File Number: 3-9611
Aug. 2, 1999	Certain Broker-Dealers who failed to file all or part of Form BD-Y2K; Brenda P. Murray, Chief Administrative Law Judge Release No. 146 See Also: Finality Order, Release No. 34-41844 , Finality Order, Release No. 34-41845 , Opinion : Release No. 34-44933 File Number: 3-9759
July 26, 1999	Alfred Avasso and Robert Schulman; Robert G. Mahony, Administrative Law Judge Release No. 145 See Also: Finality Order File Number: 3-9162
July 22, 1999	Fu-Sung Peter Wu; Lillian A. McEwen, Administrative Law Judge Release No. 144 See Also: Opinion File Number: 3-9024
June 9, 1999	D.E. Wine Investments, Inc., W. Randal Miller, Kenneth B. Karpf, And Duncan E. Wine; Glenn Robert Lawrence, Administrative Law Judge Release No. 143 See Also: Opinion File Number: 3-8543
May 6, 1999	Joseph F. Reese; Carol Fox Foelak, Administrative Law Judge Release No. 142 See Also: Finality Order File Number: 3-9439
April 12, 1999	Quest Capital Strategies, Inc., and David Chen Yu; Lillian A. McEwen, Administrative Law Judge Release No. 141 See Also: Opinion File Number: 3-8966
April 1, 1999	Terence Michael Coxon, Alan Michael Sergy, World Money Managers, and World Money Securities, Inc.; Brenda P. Murray, Chief Administrative Law Judge Release No. 140 See Also: Opinion File Number: 3-9218
March 30, 1999	Hudson Investors Fund, Inc., Hudson Advisers, Inc., Javed Anver Latef, and Larry Alan Stockett; G. Marvin Bober, Administrative Law Judge Release No. 139 See Also: Finality Order , Opinion File Number: 3-9374
March 24, 1999	Nicholas P. Howard; Carol Fox Foelak, Administrative Law Judge Release No. 138 See Also: Opinion File Number: 3-8873
March 5, 1999	Sky Scientific, Inc., W.A. Dorow, Jr., Jerry L. Foster, Gilbert Marshall & Co., Inc., Michael A. Usher, Strategic Resource Management, Inc., William A. Moler, Daniel R. Lehl, Thomas Patrick Meehan, Douglas A. Glaser, Smith, Benton & Hughes, Inc., Michael Zaman, George T. Hellen, Robert Schlien, American Capital Network, Inc., Philip M. Georgeson, Melvin L. Levine, and William David Jones; Robert G. Mahony, Administrative Law Judge Release No. 137 See Also: Opinion File Number: 3-9201
March 2, 1999	Russo Securities, Inc., Patrick Russo, and Kimberly Kent; G. Marvin Bober, Administrative Law Judge Release No. 136 See Also: Opinion File Number: 3-9484
Jan. 28, 1999	Abraham and Sons Capital, Inc. and Brett G. Brubaker; Robert G. Mahony, Administrative Law Judge Release No. 135 See Also: Opinion File Number: 3-9448
Jan. 7, 1999	Alfred M. Bauer and J.Stephen Stout; Carol Fox Foelak, Administrative Law Judge Release No. 134 See Also: Opinion File Number: 3-9034

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