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:
| Date Sort descending | Respondents |
|---|---|
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Release No.
1411
See Also:
Order Instituting Proceedings, Release No. 34-90259
,
Finality Order, Release No. 34-93457
File Number:
3-20136
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Release No.
1410
File Number:
3-20220
|
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Release No.
1409
See Also:
Order Instituting Proceedings, Release No. 34-82557
,
Finality Order, Release No. 34-93005
File Number:
3-18347
|
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Release No.
1408
See Also:
Order Instituting Proceedings, Release No. 34-82998
,
Finality Order, Release No. 34-91438
File Number:
3-18422
|
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Anton & Chia, LLP Wahl, Gregory A., CPA Deutchman, Michael, CPA Chung, Georgia, CPA Shek, Tommy, CPA
Release No.
1407
File Number:
3-18292
|
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|
Release No.
1406
See Also:
Order Instituting Proceedings, Release No. 33-10843
,
Finality Order, Release No. 33-10928
File Number:
3-20021
|