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. 30, 2011	Peter Emrich, Alberto Ferreiras, James Frankfurth, Frank Rossi, and Dana Valensky Robert G. Mahony, Administrative Law Judge Release No. 446 See Also: Finality Order, Release No. 34-66504 File Number: 3-14509
Dec. 16, 2011	Benjamin W. Young, Jr. Robert G. Mahony, Administrative Law Judge Release No. 445 See Also: Finality Order, Release No. 34-66219 File Number: 3-14482
Dec. 8, 2011	Vladimir Boris Bugarski, Vladislav Walter Bugarski, and Aleksander Negovan Bugarski Brenda P. Murray, Chief Administrative Law Judge Release No. 444 File Number: 3-14496
Nov. 29, 2011	Johnny Clifton Robert G. Mahony, Administrative Law Judge Release No. 443 See Also: Opinion, Release No. 33-9417 File Number: 3-14266
Nov. 17, 2011	Dale E. St. Jean Robert G. Mahony, Administrative Law Judge Release No. 442 See Also: Finality Order, Release No. IA-3334 File Number: 3-14472
Nov. 10, 2011	Lodavina Grosnickle Cameron Elliot, Administrative Law Judge Release No. 441 See Also: Finality Order, Release No. 34-65949 File Number: 3-14408
Nov. 7, 2011	M (2003) PLC (f/k/a Marconi PLC), Mayfair Mining & Minerals, Inc., MM2 Group, Inc., Nayna Networks, Inc., NCT Group, Inc., and Neptune Industries, Inc. (f/k/a Move Films, Inc.) Cameron Elliot, Administrative Law Judge Release No. 440 See Also: Finality Order, Release No. 34-65879 File Number: 3-14470
Nov. 3, 2011	Aqua Society, Inc., Centurion Gold Holdings, Inc., And Powerraise, Inc. Cameron Elliot, Administrative Law Judge Release No. 439 See Also: Finality Order, Release No. 34-65856 File Number: 3-14463
Oct. 28, 2011	Flannery, John P. Hopkins, James D. Release No. 438 See Also: and Scheduling Briefs File Number: 3-14081
Oct. 14, 2011	Samaritan Pharmaceuticals, Inc., Seaena, Inc., Seirios International, Inc. (f/k/a Exactly Sportswear, Inc.), Sento Corp., Shoe Pavilion, Inc., Silver Eagle Resources Ltd. (n/k/a Mercator Minerals Ltd.), Simex Technologies, Inc. (n/k/a CT Holdings, Inc.), and Sola Resource Corp. (n/k/a Cancana Resources Corp.) Robert G. Mahony, Administrative Law Judge Release No. 437 See Also: Finality Order, Release No. 34-65702 File Number: 3-14423
Oct. 6, 2011	Glenn M. Barikmo Cameron Elliot, Administrative Law Judge Release No. 436 See Also: Finality Order, Release No. 34-65782 File Number: 3-14474
Oct. 5, 2011	Richard L. Goble Cameron Elliot, Administrative Law Judge Release No. 435 File Number: 3-14390
Sept. 29, 2011	Michael C. Pattison, CPA Cameron Elliot, Administrative Law Judge Release No. 434 File Number: 3-14323
Sept. 23, 2011	Citizens Capital Corp., Coho Energy, Inc., Colonial Industries, Inc., Capital Corp., Comp-U-Check, Inc., Computer Automation, Inc., Concentrax, Inc., and Consolidated Capital Properties VII Robert G. Mahony, Administrative Law Judge Release No. 433 File Number: 3-14401
Sept. 21, 2011	Gordon A. Driver Robert G. Mahony, Administrative Law Judge Release No. 432 See Also: Finality Order, Release No. 34-65707 File Number: 3-14161
Sept. 15, 2011	Tom Hirsch, Berta Walder, Howard Walder, and Harish P. Shah Brenda P. Murray, Chief Administrative Law Judge Release No. 431 See Also: Finality Order, Release No. 34-65738 File Number: 3-14394
Sept. 9, 2011	American Resource Technologies, Inc., Apollo Resources International, Inc., Bloodhound Search Technologies, Inc., Bluestar Health, Inc., Columbus Networks Corp., Continental Fuels, Inc., Data Race, Inc., Golden Oil Co., And Ness Energy International, Inc. Robert G. Mahony, Administrative Law Judge Release No. 430 File Number: 3-14378
Sept. 8, 2011	American Resource Technologies, Inc., Apollo Resources International, Inc., Bloodhound Search Technologies, Inc., Bluestar Health, Inc., Columbus Networks Corp., Continental Fuels, Inc., Data Race, Inc., Golden Oil Co., And Ness Energy International, Inc. Robert G. Mahony, Administrative Law Judge Release No. 429 See Also: Finality Order, Release No. 34-65540 File Number: 3-14378
Aug. 31, 2011	Daxor Corporation Robert G. Mahony, Administrative Law Judge Release No. 428 See Also: Release No. IC-29948 File Number: 3-14055
Aug. 5, 2011	Tzemach David Netzer Korem Carol Fox Foelak, Administrative Law Judge Release No. 427 File Number: 3-14208
Aug. 4, 2011	Evelyn Litwok Carol Fox Foelak, Administrative Law Judge Release No. 426 File Number: 3-14190
July 27, 2011	Pierce, Gordon Brent Newport Capital Corp. Jenirob Company Ltd. Release No. 425 File Number: 3-13927
July 25, 2011	Bio-Life Labs, Inc., BSI2000, Inc., Calais Resources, Inc., EGX Funds Transfer, Inc., Fischer Imaging Corp., Great Western Land Recreation, Inc. (a/k/a Great Western Land and Recreation, Inc.), and ID-Confirm, Inc. Brenda P. Murray, Chief Administrative Law Judge Release No. 424 File Number: 3-14271
July 18, 2011	Circadian, Inc., Clean Energy Combustion, Inc. (n/k/a Clean Energy Combustion Systems, Inc.), Collectible Concepts Group, Inc., Communitronics of America, Inc. (n/k/a RPM Advantage, Inc.), and Consygen, Inc. Carol Fox Foelak, Administrative Law Judge Release No. 423 See Also: Release No. 34-65704 File Number: 3-14301
July 11, 2011	Secured Digital Applications, Inc., Senco Sensors, Inc., Sentex Sensing Technology, Inc., Serefex Corp., Sonoma College, Inc., and Source Petroleum, Inc. Brenda P. Murray, Chief Administrative Law Judge Release No. 422 See Also: Finality Order, Release No. 34-65121 File Number: 3-14319
July 8, 2011	Magnum D’Or Resources, Inc. Cameron Elliot, Administrative Law Judge Release No. 421 See Also: Finality Order, Release No. 34-65026 File Number: 3-14359
June 27, 2011	Dohan + Company CPA, Steven H. Dohan, CPA, Nancy L. Brown, CPA, and Erez Bahar, CA Carol Fox Foelak, Administrative Law Judge Release No. 420, 34-64970, AAER-3306 See Also: Finality Order, Release No. 34-64970 File Number: 3-13997
April 29, 2011	John W. Lawton Brenda P. Murray, Chief Administrative Law Judge Release No. 419 File Number: 3-14162
April 26, 2011	Bloomfield, Ronald S. Gorgia, Robert Labi, Victor Martin, John Earl, Sr. Miller, Eugene Release No. 416-A See Also: Finality Order, Release No. 33-9225 File Number: 3-13871
April 21, 2011	David W. Baldt Robert G. Mahony, Administrative Law Judge Release No. 418 See Also: Finality Order, Release No. 33-9210 File Number: 3-13887
April 15, 2011	Thomas Michael Rittweger Carol Fox Foelak, Administrative Law Judge Release No. 417 See Also: Finality Order, Release No. 34-64515 File Number: 3-14070
April 13, 2011	David E. Zilkha Carol Fox Foelak, Administrative Law Judge Release No. 415 See Also: Finality Order, Release Nos. 34-64516, IA-3207, IC-29673 File Number: 3-13913
April 8, 2011	Frank L. Constantino Robert G. Mahony, Administrative Law Judge Release No. 414 See Also: Finality Order, Release No. 34-64490 File Number: 3-14051
Jan. 19, 2011	Eric S. Butler Robert G. Mahony, Administrative Law Judge Release No. 413 See Also: Opinion, Release Nos. 34-65204 and IA-3262 File Number: 3-13986
Jan. 18, 2011	Scott E. Desano, Thomas H. Bruderman, Timothy J. Burnieika, Robert L. Burns, David K. Donovan, Edward S. Driscoll, Jeffrey D. Harris, Christopher J. Horan, Steven P. Pascucci, and Kirk C. Smith Robert G. Mahony, Administrative Law Judge Release No. 412 See Also: Opinion, Release No. IA-3260 File Number: 3-12978

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