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, 2008	Online Gaming Systems Ltd. (n/k/a Advanced Resources Group Ltd.) Robert G. Mahony, Administrative Law Judge Release No. 365 See Also: Finality Order, Release No. 34-59319 File Number: 3-13139
Dec. 18, 2008	Executive Registrar & Transfer, Inc. and John J. Donnelly Robert G. Mahony, Administrative Law Judge Release No. 366 See Also: Finality Order, Release No. 34-59338 File Number: 3-12966
Dec. 15, 2008	Markland Technologies, Inc. Carol Fox Foelak, Administrative Law Judge Release No. 364 See Also: Finality Order, Release No. 34-59476 File Number: 3-13147
Dec. 5, 2008	Thomas J. Dudchik and Rodney R. Schoemann Robert G. Mahony, Administrative Law Judge Release No. 363 See Also: Finality Order, Release No. 33-9001 , Opinion, Release No. 33-9076 , Court of Appeals Opinion File Number: 3-12943
Nov. 19, 2008	Steven Sirianni James T. Kelly, Administrative Law Judge Release No. 362 See Also: Finality Order, Release No. IA-2823 File Number: 3-13084
Nov. 14, 2008	Waterfalls Corp. Carol Fox Foelak, Administrative Law Judge Release No. 361 See Also: Finality Order, Release No. 34-59122 File Number: 3-13153
Nov. 7, 2008	vFinance Investments, Inc. and Richard Campanella Robert G. Mahony, Administrative Law Judge Release No. 360 See Also: Opinion, Release No. 34-62448 File Number: 3-12918
Oct. 7, 2008	Maria T. Giesige Brenda P. Murray, Chief Administrative Law Judge Release No. 359 See Also: Opinion, Release No. 34-60000 File Number: 3-12747
Oct. 1, 2008	The Nasdaq Stock Market, LLC Robert G. Mahony, Administrative Law Judge Release No. 358 See Also: Finality Order, Release No. 34-58912 File Number: 3-12384
Sept. 16, 2008	Jamie L. Solow Carol Fox Foelak, Administrative Law Judge Release No. 357 See Also: Finality Order, Release No. 34-58831 File Number: 3-13066
Sept. 9, 2008	Scott B. Gann Robert G. Mahony, Administrative Law Judge Release No. 355 See Also: Opinion, Release No. 34-59729 File Number: 3-13009
Sept. 9, 2008	Douglas G. Frederick Brenda P. Murray, Chief Administrative Law Judge Release No. 356 See Also: Finality Order, Release No. 34-58751 File Number: 3-13004
Aug. 18, 2008	Mitchell M. Maynard and Dorice A. Maynard Brenda P. Murray, Chief Administrative Law Judge Release No. 354 See Also: Opinion, Release No. IA-2875 File Number: 3-13008
July 28, 2008	Guy P. Riordan Brenda P. Murray, Chief Administrative Law Judge Release No. 353 File Number: 3-12829
July 14, 2008	Amaroq Asset Management, LLC and Dwight Andree Sean O'Neal Jones James T. Kelly, Administrative Law Judge Release No. 351 See Also: Finality Order, Release No. IA-2770 File Number: 3-12822
July 14, 2008	Clarence Friend Carol Fox Foelak, Administrative Law Judge Release No. 352 See Also: Finality Order, Release No. 34-58370 File Number: 3-13017
July 10, 2008	Pritchard Capital Partners, LLC, Thomas Ward Pritchard, Joseph John VanCook, and Elizabeth Ann McMahon Robert G. Mahony, Administrative Law Judge Release No. 350 See Also: Opinion, Release No. 34-61039A , and Opinion, Release No. 34-59550 File Number: 3-12753
June 18, 2008	NEXT Financial Group, Inc. James T. Kelly, Administrative Law Judge Release No. 349 See Also: Finality Order, Release No. 34-58192 File Number: 3-12738
April 28, 2008	Warren Lammert, Lars Soderberg, and Lance Newcomb Carol Fox Foelak, Administrative Law Judge Release No. 348 See Also: Finality Order, Release Nos. 33-8921, 34-57882, IA-2737, IC-28290 File Number: 3-12386
March 25, 2008	Byron S. Rainner Robert G. Mahony Administrative Law Judge Release No. 347 See Also: ALJ Initial Decision Release File Number: 3-12828
March 10, 2008	Thomas C. Bridge, James D. Edge, and Jeffrey K. Robles Brenda P. Murray, Chief Administrative Law Judge Release No. 346 See Also: Opinion, Release No. 33-9068 File Number: 3-12626
Feb. 20, 2008	Justin F. Ficken Robert G. Mahony, Administrative Law Judge Release No. 345 See Also: Opinion, Release No. 34-58802 File Number: 3-12832
Jan. 30, 2008	Diatect International Corporation James T. Kelly, Administrative Law Judge Release No. 344 See Also: Corrected Finality Order, Release No. 34-57438A File Number: 3-12843
Jan. 25, 2008	Jonathan Carman James T. Kelly, Administrative Law Judge Release No. 343 See Also: Finality Order, Release No. 34-57437 File Number: 3-12736
Jan. 18, 2008	C.R. Williams, Inc., and Charles Russell Williams II Brenda P. Murray, Chief Administrative Law Judge Release No. 342 See Also: Finality Order, Release No. IA-2717 File Number: 3-12834
Jan. 15, 2008	Kevin Hall, CPA, and Rosemary Meyer, CPA Carol Fox Foelak, Administrative Law Judge Release No. 341 See Also: Opinion, Release No. 34-61162 File Number: 3-12208
Jan. 14, 2008	Trautman Wasserman & Company, Inc., Gregory O. Trautman, Samuel M. Wasserman, Mark Barbera, James A. Wilson, Jr., Jerome Snyder, and Forde H. Prigot Brenda P. Murray, Chief Administrative Law Judge Release No. 340 See Also: Finality Order, Release No. 34-57493 , Opinion, Release No. 33-9088A File Number: 3-12559

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