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, 2009	James C. Dawson Brenda P. Murray, Chief Administrative Law Judge Release No. 392 See Also: Opinion, Release No. IA-3057 File Number: 3-13579
Dec. 11, 2009	David G. Ghysels, Kenneth E. Mahaffy, Jr., and Linus N. Nwaigwe Robert G. Mahony, Administrative Law Judge Release No. 391 See Also: Finality Order, Release No. 34-61581 File Number: 3-13481
Nov. 16, 2009	RDM Sports Group, Inc., Real Del Monte Mining Corp., Recoton Corp., Red Hot Concepts, Inc., Red Hand International, Inc. (n/k/a African Diamond Co., Inc. or Coal Corp.), Redlaw Industries, Inc., Republic Resources, Inc., Reward Enterprises, Inc., Rhino Enterprises Group, Inc. (n/k/a Physicians Adult Daycare, Inc.), Ridgeview, Inc., Riverside Group, Inc., and Rocky Mount Undergarment Co., Inc. James T. Kelly, Administrative Law Judge Release No. 390 See Also: Finality Order, Release No. 34-61184 File Number: 3-13556
Sept. 29, 2009	Paivis Corp., Peabodys Coffee, Inc., Penge Corp., Petrol Industries, Inc. (n/k/a Caddo International, Inc.), Phantom Entertainment, Inc., Phoenix Medical Technology, Inc., Phoenix Metals Usa II, Inc., Phymed, Inc., Pico Products, Inc., and Piemonte Foods, Inc. Carol Fox Foelak, Administrative Law Judge Release No. 389 See Also: Finality Order, Release No. 34-60884 File Number: 3-13527
Sept. 24, 2009	Frederick J. Barton Brenda P. Murray, Chief Administrative Law Judge Release No. 388 See Also: Finality Order, Release No. 34-60885 File Number: 3-13548
Aug. 31, 2009	CentreInvest, Inc., OOO CentreInvest Securities, Vladimir Chekholko, William Herlyn, Dan Rapoport, and Svyatoslav Yenin Robert G. Mahony, Administrative Law Judge Release No. 387 See Also: Order Denying Motion To Set Aside Dan Rapoport Default Order, Release No. 34-63744 , Order Dismissing Petition for Review and Notice of Finality, Release No. 34-61448 File Number: 3-13304
Aug. 24, 2009	Phillip J. Milligan Robert G. Mahony, Administrative Law Judge Release No. 386 See Also: Opinion, Release No. 34-61790 File Number: 3-13482
Aug. 13, 2009	Fortel, Inc., now known as Envit Capital Group, Inc. Robert G. Mahony, Administrative Law Judge Release No. 385 See Also: Finality Order, Release No. 34-60658 File Number: 3-13465
Aug. 7, 2009	Stanley Johnson Robert G. Mahony, Administrative Law Judge Release No. 384 See Also: Finality Order, Release No. 34-60617 File Number: 3-13494
July 17, 2009	Matthew La Madrid Robert G. Mahony, Administrative Law Judge Release No. 383 See Also: Finality Order, Release No. IA-2915 File Number: 3-13415
July 14, 2009	Alan Brian Baiocchi Carol Fox Foelak, Administrative Law Judge Release No. 382 See Also: Finality Order, Release No. 34-60483 File Number: 3-13380
July 13, 2009	David A. Finnerty, Donald R. Foley II, Scott G. Hunt, Thomas J. Murphy, Jr., Kevin M. Fee, Frank A. Delaney IV, Freddy Deboer, Todd J. Christie, James V. Parolisi, Robert W. Luckow, Patrick E. Murphy, Robert A. Johnson, Jr., Patrick J. McGagh, Jr., Joseph Bongiorno, Michael J. Hayward, Richard P. Volpe, Michael F. Stern, Warren E. Turk, Gerard T. Hayes, and Robert A. Scavone, Jr. Carol Fox Foelak, Administrative Law Judge Release No. 381 See Also: Finality Order, Release Nos. 33-9061, 34-60498 File Number: 3-11893
June 9, 2009	Newbridge Securities Corp., Guy S. Amico, Scott H. Goldstein, Eric M. Vallejo, and Daniel M. Kantrowitz Release No. 380 See Also: Order Granting Request to Withdraw Petition for Review and Notice of Finality File Number: 3-13099
June 5, 2009	Lexington Resources, Inc. Atkins, Grant Pierce, Gordon Brent Release No. 379 See Also: Finality Order, Release No. 33-9050 File Number: 3-13109
May 15, 2009	Chemfix Technologies, Inc., Bagdad Chase, Inc., Cincinnati Microwave, Inc., Sun Television & Appliances, Inc., and Telegroup, Inc. Carol Fox Foelak, Administrative Law Judge Release No. 378 See Also: Finality Order, Release No. 34-60104 File Number: 3-13385
May 6, 2009	Byron S. Rainner Robert G. Mahony Administrative Law Judge Release No. 377 See Also: Finality Order, Release Nos. 34-60073, IA-2890 File Number: 3-12828
April 22, 2009	Michael W. Crow and Robert David Fuchs Brenda P. Murray, Chief Administrative Law Judge Release No. 376 See Also: Finality Order, Release No. 34-59982 File Number: 3-13309
April 17, 2009	Alberto W. Vilar and Gary Alan Tanaka Brenda P. Murray, Chief Administrative Law Judge Release No. 375 See Also: Finality Order, Release No. IA-2882 File Number: 3-13345
April 3, 2009	Diane M. Keefe Brenda P. Murray, Chief Administrative Law Judge Release No. 374 See Also: ALJ Initial Decision Release , Remand Order, Release Nos. 34-61928, IA-3016, IC-29207 File Number: 3-13337
March 10, 2009	Joseph C. Lavin Robert G. Mahony, Administrative Law Judge Release No. 373 See Also: Finality Order, Release No. IA-2870 File Number: 3-13222
Feb. 25, 2009	Martin A. Armstrong Robert G. Mahony, Administrative Law Judge Release No. 372 File Number: 3-13121
Feb. 24, 2009	Kent D. Nelson Robert G. Mahony, Administrative Law Judge Release No. 371 See Also: Finality Order, Release Nos. 34-59787, IA-2868 File Number: 3-13112
Feb. 12, 2009	Don Warner Reinhard Carol Fox Foelak, Administrative Law Judge Release No. 370 See Also: ALJ Initial Decision Release , Order Denying Summary Affirmance and Remanding for Additional Proceedings, Release Nos. 34-61506, IA-2984 File Number: 3-13280
Jan. 29, 2009	Michael Lauer Robert G. Mahony, Administrative Law Judge Release No. 369 See Also: Finality Order, Release No. IA-2848 File Number: 3-13265
Jan. 16, 2009	Meditecnic, Inc. (f/k/a Viking Broadcasting Corp.) Carol Fox Foelak, Administrative Law Judge Release No. 368 See Also: Finality Order, Release No. 34-59411 File Number: 3-13184
Jan. 14, 2009	Steven Altman, Esq. Release No. 367 See Also: Order Denying Motion for Reconsideration and a Stay, Release No. 34-63665 , Opinion, Release No. 34-63306 , Court of Appeals Opinion File Number: 3-12944

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