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. 28, 2010	Gerard A.M. Oprins, CPA, and Wendy McNeeley, CPA Robert G. Mahony, Administrative Law Judge Release No. 411 See Also: Finality Order, Release No. 34-63931 File Number: 3-13797
Dec. 8, 2010	Diane M. Keefe Brenda P. Murray, Chief Administrative Law Judge Release No. 410 See Also: Finality Order, Release No. 34-63686 File Number: 3-13337
Dec. 1, 2010	Eric R. Majors Robert G. Mahony, Administrative Law Judge Release No. 409 See Also: Finality Order, Release No. IA-3131 File Number: 3-13975
Nov. 29, 2010	Sherwin Brown and Jamerica Financial, Inc. Carol Fox Foelak, Administrative Law Judge Release No. 408 See Also: Opinion, Release No. IA-3217 File Number: 3-13908
Nov. 22, 2010	Appiant Technologies, Inc., Cobalis Corp., Futurelink Corp., STM Wireless, Inc., Supermail International, Inc. (n/k/a PBHG, INC.), and Women First Healthcare, Inc. Carol Fox Foelak, Administrative Law Judge Release No. 407 See Also: Opinion, Release No. 34-65118 File Number: 3-13998
Nov. 15, 2010	The Colonial Bancgroup, Inc. Brenda P. Murray, Chief Administrative Law Judge Release No. 406 See Also: Finality Order, Release No. 34-63577 File Number: 3-13967
Oct. 22, 2010	Vikonics, Inc., Vision Ten, Inc., Vizacom, Inc., Voiceflash Networks, Inc. (d/b/a The Dataflash Corp.), VoiceIQ, Inc. (n/k/a Yoho Resources, Inc.), Voyus, Ltd., and VSI Holdings, Inc. Brenda P. Murray, Chief Administrative Law Judge Release No. 405, 34-63330 See Also: Finality Order, Release No. 34-63330 File Number: 3-13918
Sept. 17, 2010	L. Rex Andersen, CPA Carol Fox Foelak, Administrative Law Judge Release No. 404 See Also: Finality Order, Release No. 34-63209 File Number: 3-13935
Sept. 10, 2010	Aaron Tsai Carol Fox Foelak, Administrative Law Judge Release No. 403 See Also: Finality Order, Release No. 34-63142 File Number: 3-13835
Sept. 8, 2010	Theodore W. Urban Brenda P. Murray, Chief Administrative Law Judge Release No. 402 See Also: Order Dismissing Proceeding, Release No. 34-66259 , Opinion, Release No. 34-63456 File Number: 3-13655
Sept. 7, 2010	Alyn Corp., American Holding Investments, Inc., American Midland Corp., American Millennium Corp., American Pallet Leasing, Inc., American Stellar Energy, Inc. and Amwest Environmental Group, Inc. James T. Kelly, Administrative Law Judge Release No. 401 See Also: Court of Appeals Opinion File Number: 3-13881
July 22, 2010	Comverse Technology, Inc. Robert G. Mahony, Administrative Law Judge Release No. 400 File Number: 3-13828
July 7, 2010	Edward J. Driving Hawk, Sr. Robert G. Mahony, Administrative Law Judge Release No. 399 See Also: Finality Order, Release No. 34-62659 File Number: 3-13745
June 25, 2010	Prime Capital Services, Inc., Gilman Ciocia, Inc., Michael P. Ryan, Rose M. Rudden, Christie A. Andersen, Eric J. Brown, Matthew J. Collins, Kevin J. Walsh, and Mark W. Wells Carol Fox Foelak, Administrative Law Judge Release No. 398 See Also: Opinion, Release Nos. 33-9299, 34-66469 and IA-3376 , Opinion, Release Nos. 34-65207 and IA-3264 , Finality Order, Release No. 34-62660 , U.S. Court of Appeals Opinion File Number: 3-13532
June 3, 2010	Amalgamated Explorations, Inc., Areawide Cellular, Inc., Genomed, Inc., Global Maintech Corp., Military Resale Group, Inc., Verado Holdings, Inc., and World Transport Authority, Inc. Robert G. Mahony, Administrative Law Judge Release No. 397 See Also: Finality Order, Release No. 34-62406 File Number: 3-13804
June 1, 2010	Don Warner Reinhard Carol Fox Foelak, Administrative Law Judge Release No. 396 See Also: Opinion, Release Nos. 34-63720, IA-3139 File Number: 3-13280
May 19, 2010	J.P. Turner & Company, LLC Robert G. Mahony, Administrative Law Judge Release No. 395 See Also: Finality Order, Release No. 34-62313 File Number: 3-13550
Feb. 26, 2010	Tsukuda-America Inc. Brenda P. Murray, Chief Administrative Law Judge Release No. 394 See Also: Finality Order, Release No. 33-9114 File Number: 3-13761
Jan. 26, 2010	Anthony Martin Robert G. Mahony, Administrative Law Judge Release No. 393 See Also: Finality Order, Release No. 34-61610 File Number: 3-13588

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