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. 18, 2000	Carroll A. Wallace, CPA; James T. Kelly, Administrative Law Judge Release No. 178 See Also: Opinion File Number: 3-9862
Dec. 7, 2000	Charles F. Kirby, Gene C. Geiger, Alfred Peeper, and Edward H. Price; Brenda P. Murray, Chief Administrative Law Judge Release No. 177 See Also: Opinion File Number: 3-9602
Nov. 30, 2000	Piper Capital Management, Inc., Worth V. Bruntjen, Marijo A. Goldstein, Robert H. Nelson, Amy K. Johnson, Molly Destro and Edward J. Kohler; H. Peter Young, Administrative Law Judge Release No. 175 See Also: Finality Order , Opinion File Number: 3-9657
Nov. 30, 2000	Richard J. Adams; Lillian A. McEwen, Administrative Law Judge Release No. 176 See Also: Opinion File Number: 3-8327-EAJA
Nov. 21, 2000	Ralph W. LeBlanc; Robert G. Mahony, Administrative Law Judge Release No. 174 See Also: Opinion File Number: 3-10065
Oct. 6, 2000	WHX Corporation; Carol Fox Foelak, Administrative Law Judge Release No. 173 See Also: Opinion , Court of Appeals Decision File Number: 3-9634
Sept. 14, 2000	Erik W. Chan; Brenda P. Murray, Chief Administrative Law Judge Release No. 172 See Also: Opinion File Number: 3-9697
Aug. 31, 2000	Michael Lapp and William Lucas; Robert G. Mahony, Administrative Law Judge Release No. 171 See Also: Finality Order File Number: 3-9144
July 27, 2000	David T. Barr; Brenda P. Murray, Chief Administrative Law Judge Release No. 170 See Also: Finality Order File Number: 3-9585
July 7, 2000	Marshall E. Melton and Asset Management & Research, Inc.; James T. Kelly, Administrative Law Judge Release No. 169 See Also: Opinion File Number: 3-9865
June 27, 2000	Kirk Montgomery; Carol Fox Foelak, Administrative Law Judge Release No. 168 See Also: Opinion File Number: 3-9786-EAJA
June 1, 2000	Byron G. Borgardt and Eric M. Banhazl; James T. Kelly, Administrative Law Judge Release No. 167 See Also: Opinion File Number: 3-9730
May 31, 2000	Jerry W. Anderson and Robert M. Kerns; Robert G. Mahony, Administrative Law Judge Release No. 166 See Also: Finality Order File Number: 3-10027
May 16, 2000	Feeley and Willcox Asset Management Corporation and Michael J. Feeley; Brenda P. Murray, Chief Administrative Law Judge Release No. 165 See Also: Opinion File Number: 3-9571
May 8, 2000	Brad Haddy; Carol Fox Foelak, Administrative Law Judge Release No. 164 See Also: Finality Order File Number: 3-10125
April 26, 2000	Herbert Moskowitz; Carol Fox Foelak, Administrative Law Judge Release No. 163 See Also: Opinion File Number: 3-9435
March 27, 2000	Monetta Financial Services, Inc., Robert S. Bacarella, William M. Valiant, Paul W. Henry, and Richard D. Russo; Brenda P. Murrary, Chief Administrative Law Judge Release No. 162 See Also: Finality Order , Opinion , Opinion , Court of Appeals Decision File Number: 3-9546
Feb. 25, 2000	Euro-Atlantic Securities, Inc. Brian A. Schmidt, Darlan E. Gordon, John T. Madden, William Avent, and John Aristotle Dilworth II; Robert G. Mahony, Administrative Law Judge Release No. 161 See Also: Finality Order , Opinion File Number: 3-9402
Jan. 31, 2000	Michael Flanagan, Ronald Kindschi, and Spectrum Administration, Inc.; James T. Kelly, Administrative Law Judge Release No. 160 See Also: Opinion File Number: 3-9784
Jan. 28, 2000	Sandra Logay; Lillian A. McEwen, Administrative Law Judge Release No. 159 See Also: Finality Order File Number: 3-8969
Jan. 27, 2000	Richard Hoffman and Kirk Montgomery; Carol Fox Foelak, Administrative Law Judge Release No. 158 See Also: Finality Order File Number: 3-9786
Jan. 21, 2000	KPMG Peat Marwick L.L.P.; Robert G. Mahony, Administrative Law Judge Release No. 157 See Also: Erratum , Opinion , and Rehearing order File Number: 3-9500
Jan. 12, 2000	MGSI Securities, Inc., Bradford A. Orosey, Larry J. Bagwell, Connie L. Bally, Joseph O. Fallin, and James W. Ogg; William J. Cowan, Administrative Law Judge Release No. 156 See Also: Finality Order , Modification of Finality Order File Number: 3-9702

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