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).

Related Resources:

ALJ Initial Decisions RSS Feed


Date Sort descending	Respondents
Dec. 22, 2005	MarketXT and Irfan Mohammed Amanat Lillian A. McEwen, Administrative Law Judge Release No. 304 See Also: Opinion , Court of Appeals Opinion File Number: 3-11813
Dec. 12, 2005	James T. Patten Robert G. Mahony, Administrative Law Judge Release No. 303 See Also: Opinion File Number: 3-11812
Dec. 7, 2005	Apollo Publication Corporation Carol Fox Foelak, Administrative Law Judge Release No. 302 File Number: 3-12035
Nov. 29, 2005	E Trade Systems, Inc., formerly known as Personal Portals Online, Inc. Robert G. Mahony, Administrative Law Judge Release No. 301 File Number: 3-12062
Nov. 10, 2005	Joseph Catapano, Aaron Andrzejewski, and Michael Kordich Lillian A. McEwen, Administrative Law Judge Release No. 300 See Also: Finality Order, Release No. 34-52890 File Number: 3-11866
Oct. 25, 2005	Information Architects Corporation Carol Fox Foelak, Administrative Law Judge Release No. 299 See Also: Finality Order, Release No. 34-52845 File Number: 3-11822
Sept. 29, 2005	St. George Metals, Inc. Robert G. Mahony, Administrative Law Judge Release No. 298 See Also: Finality Order, Release No. 34-52695 File Number: 3-11971
Sept. 27, 2005	Charles Cini and Gordon Novak Lillian A. McEwen, Administrative Law Judge Release No. 297 See Also: Finality Order, Release No. 34-52668 File Number: 3-11856
Sept. 15, 2005	Raymond James Financial Services, Inc., J. Stephen Putnam and David Lee Ullom Brenda P. Murray, Chief Administrative Law Judge Release No. 296 See Also: Finality Order, Release No. 33-8636 File Number: 3-11692
Sept. 8, 2005	Kenneth L. Rubin, CPA and Michael W. Lewis, CPA Robert G. Mahony, Administrative Law Judge Release No. 295 See Also: Finality Order, Release No. 34-52607 File Number: 3-11748
Aug. 18, 2005	Gateway International Holdings, Inc., and Lawrence A. Consalvi Brenda P. Murray, Chief Administrative Law Judge Release No. 294 See Also: Opinion File Number: 3-11894
July 21, 2005	James F. Glaza d/b/a Falcon Financial Services, Inc. Robert G. Mahony, Administrative Law Judge Release No. 293 See Also: Finality Order, Release No. 33-8605 File Number: 3-11012
July 18, 2005	John A. Carley, Mark N. Dohlen, Eugene C. Geiger, Paul A. Giles, Roy E. Gould, Thomas A. Kaufmann, Alfred Peeper, Edward H. Price, Christopher H. Zacharias, Le Fond Mondial D'investissement S.A., and Spencer Edwards, Inc. James T. Kelly, Administrative Law Judge Release No. 292 File Number: 3-11626
July 12, 2005	CMKM Diamonds, Inc. Brenda P. Murray, Chief Administrative Law Judge Release No. 291 See Also: Finality Order, Release No. 34-52694 File Number: 3-11858
June 30, 2005	Brandt, Kelly & Simmons, LLC, and Kenneth G. Brandt Carol Fox Foelak, Administrative Law Judge Release No. 289 See Also: Finality Order, Release No. IA-2408 File Number: 3-11672
June 30, 2005	Hunter Adams, Jason A. Cohen, Steven M. Cohen, David Hirsch, Jonathan D. Winston, John J. Gremmo, III, James L. Bila, Christian W. Blake, Louis R. Facchini, Jr., Roberto A. Mangiarano, Joseph P. Mannino, David M. Margules, James J. Pellizzi, David M. Pesso, Michael Pugliese, Christopher J. Russo, Howard I. Weinstein, and Robert J. Winston Brenda P. Murray, Chief Administrative Law Judge Release No. 290 See Also: Finality Order, Release No. 34-52859 File Number: 3-10437
June 22, 2005	Morgan Cooper, Inc. Carol Fox Foelak, Administrative Law Judge Release No. 288 See Also: Finality Order, Release No. 34-52057 File Number: 3-11805
June 7, 2005	Eagletech Communications, Inc. James T. Kelly, Administrative Law Judge Release No. 287 See Also: Administrative Law Judge File No. 3-11832 PDF version , Opinion File Number: 3-11832
June 1, 2005	Harold F. Harris and Ronald E. Crews Lillian A. McEwen, Administrative Law Judge Release No. 286 See Also: Administrative Law Judge File No. 3-11573 PDF version , Opinion File Number: 3-11573
May 24, 2005	Schield Management Company and Marshall L. Schield Brenda P. Murray, Chief Administrative Law Judge Release No. 284 See Also: Chief Administrative Law Judge File No. 3-11762 PDF version , Opinion File Number: 3-11762
May 24, 2005	Vladlen "Larry" Vindman Carol Fox Foelak, Administrative Law Judge Release No. 285 See Also: Administrative Law Judge File No. 3-11247 PDF version , Opinion File Number: 3-11247
May 3, 2005	American Electric Power Company, Inc. Robert G. Mahony, Administrative Law Judge Release No. 283 See Also: Administrative Law Judge File No. 3-11616 PDF version , Appendix A , Appendix B , Appendix C , Appendix D , Appendix E File Number: 3-11616
April 25, 2005	Ulysses "Thomas" Ware Carol Fox Foelak, Administrative Law Judge Release No. 282 See Also: Finality Order, Release No. 34-51878 File Number: 3-11774
April 21, 2005	Richard S. Kern and Charles Wilkins James T. Kelly, Administrative Law Judge Release No. 281 See Also: Finality Order, Release No. 34-51712 File Number: 3-11537
April 12, 2005	Thomas J. Donovan Carol Fox Foelak, Administrative Law Judge Release No. 280 See Also: Administrative Law Judge File No. 3-11716 PDF version , Opinion File Number: 3-11716
April 5, 2005	Vladislav Steven Zubkis Lillian A. McEwen, Administrative Law Judge Release No. 279 See Also: Administrative Law Judge File No. 3-11625 PDF version , Opinion File Number: 3-11625
March 22, 2005	Derrick N. McKinney and Rick R. Malizia James T. Kelly, Administrative Law Judge Release No. 278 See Also: Finality Order, Release No. 34-51578 File Number: 3-11605
March 1, 2005	Neurotech Development Corporation James T. Kelly, Administrative Law Judge Release No. 277 See Also: Finality Order, Release No. 34-51697 File Number: 3-11724
Feb. 28, 2005	Daniel E. Charboneau Carol Fox Foelak, Administrative Law Judge Release No. 276 See Also: Finality Order, Release No. 34-51436 File Number: 3-11765
Feb. 25, 2005	Public Finance Consultants, Inc., Robert D. Fowler, Dolphin and Bradbury, Incorporated, and Robert J. Bradbury James T. Kelly, Administrative Law Judge Release No. 274 File Number: 3-11465
Feb. 25, 2005	Ira Weiss and L. Andrew Shupe II Lillian A. McEwen, Administrative Law Judge Release No. 275 See Also: Administrative Law Judge File No. 3-11462 PDF version , Opinion File Number: 3-11462
Feb. 10, 2005	IFG Network Securities, Inc., William Kissinger, Kissinger Advisory, Inc., Bert Miller, Glenn Wilkinson, and David Ledbetter Carol Fox Foelak, Administrative Law Judge Release No. 273 See Also: Opinion : Release Nos. 34-54127 and IA-2533 , and Finality Order, Release No. 33-8611 File Number: 3-11179
Feb. 3, 2005	e-Smart Technologies, Inc. f/k/a Plainview Laboratories, Inc. Lillian A. McEwen, Administrative Law Judge Release No. 272 See Also: Finality Order, Release No. 34-51309 File Number: 3-10977
Jan. 14, 2005	Robert Cord Beatty Brenda P. Murray, Chief Administrative Law Judge Release No. 271 See Also: Order Partially Granting Manifest Error Motion ) ( File Number: 3-11666
Jan. 13, 2005	Frederick W. Wall Lillian A. McEwen, Administrative Law Judge Release No. 270 See Also: Administrative Law Judge File No. 3-11529 PDF version , Opinion File Number: 3-11529
Jan. 5, 2005	Michael I. Nnebe, Nelson C. Walker, and Hildreth J. Fleming, Jr. Brenda P. Murray, Chief Administrative Law Judge Release No. 269 See Also: Finality Order, Release No. 34-51183 File Number: 3-11647

Rules & Regulations

Enforcement & Litigation

Compliance

ALJ Initial Decisions

More in this Section

ALJ Initial Decisions