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. 12, 2002	Scott E. Edwards, CPA Lillian A. McEwen, Administrative Law Judge Release No. 219 See Also: Finality Order File Number: 3-10220
Dec. 9, 2002	F.X.C. Investors Corp. and Francis X. Curzio James T. Kelly, Administrative Law Judge Release No. 218 See Also: Finality Order File Number: 3-10625
Nov. 8, 2002	Steven J. Erlsten, William H. Clark, Derek L. DuBois, and Aaron Finkelstein Lillian A. McEwen, Administrative Law Judge Release No. 217 See Also: Finality Order , Opinion File Number: 3-10033
Sept. 30, 2002	Annable Turner & Co., Inc. and Roger E. Turner Lillian A. McEwen, Administrative Law Judge Release No. 216 See Also: Finality Order File Number: 3-10004
Sept. 24, 2002	G. Bradley Taylor Lillian A. McEwen, Administrative Law Judge Release No. 215 See Also: Finality Order File Number: 3-9955
Sept. 19, 2002	Robert Bruce Lohmann James T. Kelly, Administrative Law Judge Release No. 214 See Also: Opinion File Number: 3-10611
Aug. 13, 2002	Huber Hogan Consulting, Inc., Russon Financial Service, Inc. and Robert C. Sears Lillian A. McEwen, Administrative Law Judge Release No. 212 See Also: Finality Order File Number: 3-9985
Aug. 13, 2002	James Thomas McCurdy, CPA Carol Fox Foelak, Administrative Law Judge Release No. 213 See Also: Opinion File Number: 3-10509
Aug. 9, 2002	H. J. Meyers & Co., Inc., Robert Setteducati, William Masucci, Michael Vanechanos, and James Alan Villa James T. Kelly, Administrative Law Judge Release No. 211 See Also: Opinion File Number: 3-10140
Aug. 2, 2002	Robert M. Fuller Brenda P. Murray, Chief Administrative Law Judge Release No. 210 See Also: Opinion File Number: 3-10576
July 9, 2002	Brett L. Bouchy and Richard C. Whelan Robert G. Mahony, Administrative Law Judge Release No. 209 See Also: Finality Order File Number: 3-10627
July 2, 2002	Horton & Company and Edward C. Horton Carol Fox Foelak, Administrative Law Judge Release No. 208 See Also: Finality Order File Number: 3-10355
June 24, 2002	Nolan W. Wade Robert G. Mahony, Administrative Law Judge Release No. 207 See Also: Opinion File Number: 3-10650
June 21, 2002	The Barr Financial Group, Inc. and Alfred E. Barr Lillian A. McEwen, Administrative Law Judge Release No. 206 See Also: Opinion File Number: 3-9918
May 21, 2002	Robert L. McCook Lillian A. McEwen , Administrative Law Judge Release No. 205 See Also: Opinion File Number: 3-9440-EAJA
May 8, 2002	WSF Corporation James T. Kelly, Administrative Law Judge Release No. 204 See Also: Finality Order File Number: 3-10668
April 30, 2002	Mark David Anderson Lillian A. McEwen, Administrative Law Judge Release No. 203 See Also: Opinion File Number: 3-9499
April 1, 2002	Alpha Tech Stock Transfer, and James W. Farrell Brenda P. Murray, Chief Administrative Law Judge Release No. 202 See Also: Finality Order File Number: 3-10456
March 18, 2002	Richmark Capital Corporation and Doyle Mark White Robert G. Mahony, Administrative Law Judge Release No. 201 See Also: Order Making Sanction Effective , Opinion , Court of Appeals Decision File Number: 3-9954
Feb. 20, 2002	Charles K. Seavey Carol Fox Foelak, Administrative Law Judge Release No. 200 See Also: Opinion File Number: 3-10336
Feb. 4, 2002	Robert G. Weeks, David A. Hesterman, and Kenneth L. Weeks James T. Kelly, Administrative Law Judge Release No. 199 See Also: Opinion , Order entering default judgment and summarily affirming initial decision File Number: 3-9952
Jan. 8, 2002	Toks Inc. Brenda P. Murray, Chief Administrative Law Judge Release No. 198 See Also: Finality Order File Number: 3-10635

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