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, 2001	Kent T. Black, Joel L. Hurst, David E. Lynch, Larry E. Muller, and Robert L. McCook Lillian A. McEwen, Administrative Law Judge Release No. 197 See Also: Finality Order , Opinion File Number: 3-9440
Dec. 20, 2001	Jeffrey M. Steinberg and John Geron Robert G. Mahony, Administrative Law Judge Release No. 196 See Also: Finality Order File Number: 3-9608
Nov. 26, 2001	Laurie Jones Canady; Glenn Robert Lawrence, Administrative Law Judge Release No. 195 See Also: Order , Opinion File Number: 3-8531
Oct. 31, 2001	Philadelphia Investors, LTD. and Clarence Z. Wurts; G. Marvin Bober, Administrative Law Judge Release No. 194 See Also: Opinion File Number: 3-9114
Sept. 28, 2001	Aubrey O'Connor, Rick Pierson, James Winter, Gregory Bowen and Kenneth Ward Lillian A. McEwen, Administrative Law Judge Release No. 193 See Also: Opinion , Court of Appeals Decision File Number: 3-9327
Sept. 25, 2001	Jerome M. Wenger Carol Fox Foelak, Administrative Law Judge Release No. 192 See Also: Finality Order File Number: 3-10444
Sept. 21, 2001	Michael J. Marrie, CPA and Brian L. Berry, CPA James T. Kelly, Administrative Law Judge Release No. 191 See Also: Opinion , Court of Appeals Decision File Number: 3-9966
Sept. 14, 2001	Christopher A. Lowry Brenda P. Murray, Chief Administrative Law Judge Release No. 190 See Also: Opinion , Court of Appeals Opinion File Number: 3-10390
Sept. 5, 2001	John L. Banach, f/k/a/ J. Leo Lawson, Robert Thomas Clawson, Trent David Gribben, Tariq Samad Khan, Terry Lee Lewis, Ronald Troy Mikulka, Reagan Burton Richmond, Randle William Villa, Woodbridge & Associates, Kevin Lee Woodbridge, and 381143 Alberta Ltd. Robert G. Mahony, Administrative Law Judge Release No. 189 See Also: Opinion File Number: 3-9208
Aug. 14, 2001	Del Mar Financial Services, Inc., Kevin C. Dills, Private Brokers Corporation, Robert A. Roberts, Matthew R. Jennings, Philip S. Brandon, and Jai Chaudhuri Carol Fox Foelak, Administrative Law Judge Release No. 188 See Also: Modifying Order and Finality Order , Opinion File Number: 3-9959
Aug. 7, 2001	Joseph P. Galluzzi James T. Kelly, Administrative Law Judge Release No. 187 See Also: Opinion File Number: 3-10209
July 27, 2001	Kevin G. Quinn Robert G. Mahony, Administrative Law Judge Release No. 186 See Also: Finality Order File Number: 3-10098
June 22, 2001	The City of Miami, Florida, Cesar Odio and Manohar Surana; Brenda P. Murray, Chief Administrative Law Judge Release No. 185 See Also: Opinion File Number: 3-10022
May 22, 2001	Albert Glenn Yesner, CPA; Robert G. Mahony, Administrative Law Judge Release No. 184 See Also: Finality Order File Number: 3-9586
May 3, 2001	Barry C. Scutillo, CPA, and Mark F. Jensen, CPA; James T. Kelly, Administrative Law Judge Release No. 183 See Also: Opinion File Number: 3-9863
March 23, 2001	Shirley A. McKinney, Darlan Gordon, Michael J. McEvoy, Francis A. Taylor, IV, Douglas Parks, and John S. Brownson; Carol Fox Foelak, Administrative Law Judge Release No. 182 See Also: Finality Order , Opinion File Number: 3-10295
March 9, 2001	The Rockies Fund, Inc., Stephen G. Calandrella, Charles M. Powell, Clifford C. Thygesen, and John C. Power; Brenda P. Murray, Chief Administrative Law Judge Release No. 181 See Also: Order denying motion for reconsideration , Opinion: Rel. No. 34-48590 , Court of Appeals Decision File Number: 3-9615
Jan. 29, 2001	Fundamental Portfolio Advisors, Inc., Lance M. Brofman, and Fundamental Service Corporation; Carol Fox Foelak, Administrative Law Judge Release No. 180 See Also: Opinion File Number: 3-9461
Jan. 22, 2001	Dean Witter Reynolds Inc., Henry L. Auwinger, and Dennis W. Peterson; Robert G. Mahony, Administrative Law Judge Release No. 179 See Also: Finality Order File Number: 3-9686

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