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. 4, 2003	Roger M. Detrano James T. Kelly, Administrative Law Judge Release No. 242 See Also: Finality Order File Number: 3-11169
Nov. 24, 2003	Investco, Inc. Robert G. Mahony, Administrative Law Judge Release No. 240 See Also: Administrative Law Judge File No. 3-11228 PDF version , Finality Order File Number: 3-11228
Nov. 24, 2003	Michael Flanagan, Ronald Kindschi, and Spectrum Administration, Inc. James T. Kelly, Administrative Law Judge Release No. 241 See Also: Opinion , PDF version File Number: 3-9784-EAJA
Oct. 23, 2003	J.W. Barclay & Co., Inc., John A. Bruno, Michael J. Wills, Edgar B. Alacan, Emmanuel P. Cube, Mayer Dallal, Danoo Noor, Sr., Emanuele A. Scarso, Michael B. Scott James T. Kelly, Administrative Law Judge Release No. 239 See Also: Opinion File Number: 3-10765
Oct. 21, 2003	Leslie A. Arouh Carol Fox Foelak, Administrative Law Judge Release No. 238 See Also: Opinion File Number: 3-10884
Sept. 30, 2003	Richard P. Callipari and Thomas J. Connolly Carol Fox Foelak, Administrative Law Judge Release No. 237 See Also: Finality Order File Number: 3-11205
Sept. 26, 2003	Salvatore Piazza, et al. Robert G. Mahony, Administrative Law Judge Release No. 236 See Also: Finality Order File Number: 3-10229
Sept. 8, 2003	James F. Glaza d/b/a Falcon Financial Services, Inc. Robert G. Mahony, Administrative Law Judge Release No. 235 See Also: Opinion File Number: 3-11012
Sept. 3, 2003	Peter C. Lybrand f/k/a Peter C. Tosto Lillian A. McEwen, Administrative Law Judge Release No. 234 See Also: Finality Order File Number: 3-11028
July 23, 2003	J.W. Barclay & Co., Inc., John A. Bruno, Michael J. Wills, Edgar B. Alacan, Emmanuel P. Cube, Mayer Dallal, Danoo Noor, Sr., Emanuele A. Scarso, Michael B. Scott James T. Kelly, Administrative Law Judge Release No. 233 See Also: Finality Order File Number: 3-10765
July 14, 2003	Stansbury Holdings Corporation James T. Kelly, Administrative Law Judge Release No. 232 See Also: Finality Order File Number: 3-11108
June 27, 2003	A.S. Goldmen & Co., Inc., Anthony J. Marchiano, Stuart E. Winkler, John T. Diasabeyagunawardena (a.k.a. John Abbey), John P. Delcioppo, Christopher M. Delcioppo, Vincent J. Lia, Duane P. Taylor, and Charles Trento Brenda P. Murray, Chief Administrative Law Judge Release No. 231 See Also: Opinion , Opinion File Number: 3-9933
June 17, 2003	John Christopher McCamey and Sierra Equity Partners, LP Robert G. Mahony, Administrative Law Judge Release No. 230 See Also: Finality Order File Number: 3-10911
June 13, 2003	Clarke T. Blizzard and Rudolph Abel Carol Fox Foelak, Administrative Law Judge Release No. 229 See Also: Opinion File Number: 3-10007
May 20, 2003	Nano World Projects Corporation Robert G. Mahony, Administrative Law Judge Release No. 228 See Also: Finality Order File Number: 3-11066
May 15, 2003	Freedom Golf Corporation Carol Fox Foelak, Administrative Law Judge Release No. 227 See Also: Finality Order File Number: 3-11082
May 8, 2003	Dennis E. Ward Lillian A. McEwen, Administrative Law Judge Release No. 226 See Also: Finality Order File Number: 3-10485
March 19, 2003	Chris Woessner Robert G. Mahony, Administrative Law Judge Release No. 225 See Also: Order Permitting Withdrawal File Number: 3-10607
Feb. 25, 2003	Michael D. Richmond Robert G. Mahony, Administrative Law Judge Release No. 224 See Also: Finality Order File Number: 3-10848
Feb. 24, 2003	Hamilton Bancorp, Inc. Robert G. Mahony, Administrative Law Judge Release No. 223 See Also: Finality Order File Number: 3-10976
Feb. 6, 2003	Applications of Enron Corp. Brenda P. Murray, Chief Administrative Law Judge Release No. 222 See Also: Opinion File Number: 3-10909
Feb. 5, 2003	Dale E. Frey, Roger A. Rawlings, and William C. Piontek Lillian A. McEwen, Administrative Law Judge Release No. 221 See Also: Opinion File Number: 3-10310
Jan. 29, 2003	Zion Capital Management LLC, and Ricky A. Lang Carol Fox Foelak, Administrative Law Judge Release No. 220 See Also: Opinion File Number: 3-10659

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