Commission Opinions and Adjudicatory Orders
This page features opinions and orders issued by the Commission in connection with its adjudication of administrative proceedings, appeals from initial decisions of ALJs, and appeals from SRO or PCAOB action.
The links below direct you to the docket pages for such adjudicatory proceedings as well as to docket pages for respondents’ requests to vacate bars under Koch v. SEC or Bartko v. SEC. The docket pages contain the Commission opinions and orders as well as significant pleadings for such matters.
Commission Opinions and Adjudicatory Orders Table
Respondents
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|
---|---|
Date: |
Respondents:
Release No.
34-97271
File Number:
3-20120
|
Date: |
Respondents:
Release No.
IA-6276
File Number:
3-21121
|
Date: |
Respondents:
Release No.
34-97265
File Number:
3-19666
|
Date: |
Respondents:
Release No.
34-97264
File Number:
3-21015
|
Date: |
Respondents:
Release No.
34-97256
File Number:
3-15332
|
Date: |
Respondents: Jeffrey Yokuty (ORDER VACATING BROKER, DEALER, MUNICIPAL SECURITIES DEALER, AND
TRANSFER AGENT BARS)
Release No.
IA-6275
File Number:
3-14484
|
Date: |
Respondents:
Release No.
IA-6274
File Number:
3-16722
|
Date: |
Respondents:
Release No.
34-97254
File Number:
3-20818
|
Date: |
Respondents:
Release No.
34-97253
File Number:
3-21001
|
Date: |
Respondents:
Release No.
34-97248
File Number:
3-18617, 3-18877, 3-18879, 3-18883, 3-18910, 3-18919, 3-18934, 3-18988, 3-19013, 3-19016, 3-19017, 3-19219, 3-19405, 3-19573, 3-19574, 3-19611, 3-20160, 3-20205, 3-20467, 3-20499, 3-20620, 3-20621, 3-18616
|
Date: |
Respondents:
Release No.
34-97246, AAER-4395
File Number:
3-21241
|
Date: |
Respondents:
Release No.
34-97238
File Number:
3-21214
|
Date: |
Respondents:
Release No.
IA-6268
File Number:
3-21143
|
Date: |
Respondents:
Release No.
34-97233
File Number:
3-21015
|
Date: |
Respondents:
Release No.
IA-6269
File Number:
3-21333, 3-21333
|
Date: |
Respondents:
Release No.
IA-6267
File Number:
3-20208
|
Date: |
Respondents:
Release No.
34-97209, AAER-4393
File Number:
3-21314
|
Date: |
Respondents:
Release No.
34-97215
File Number:
3-20362
|
Date: |
Respondents:
Release No.
34-97217
File Number:
3-18979
|
Date: |
Respondents:
Release No.
34-97204
File Number:
3-20210
|
Date: |
Respondents:
Release No.
34-97207
File Number:
3-18567
|
Date: |
Respondents:
Release No.
34-97200
File Number:
3-21035
|
Date: |
Respondents:
Release No.
34-97198
File Number:
3-19007, 3-19012
|
Date: |
Respondents:
Release No.
34-97199
File Number:
3-21264
|
Date: |
Respondents:
Release No.
34-97201
File Number:
3-21221
|
Date: |
Respondents:
Release No.
34-97192
File Number:
3-21270
|
Date: |
Respondents:
Release No.
34-97185
File Number:
3-20816
|
Date: |
Respondents:
Release No.
34-97177
File Number:
3-21225
|
Date: |
Respondents:
Release No.
34-97179
File Number:
3-20154
|
Date: |
Respondents:
Release No.
34-97180
File Number:
3-19897
|
Date: |
Respondents:
Release No.
34-97162
File Number:
3-19185
|
Date: |
Respondents:
Release No.
33-11169, 34-97163, IA-6264
File Number:
3-19145
|
Date: |
Respondents:
Release No.
34-97164
File Number:
3-20811
|
Date: |
Respondents:
Release No.
34-97165
File Number:
3-20387
|
Date: |
Respondents:
Release No.
34-97157
File Number:
3-20817
|
Date: |
Respondents:
Release No.
34-97132
File Number:
3-18616, 3-18617, 3-18877, 3-18879, 3-18883, 3-18910, 3-18988, 3-19013, 3-19016, 3-19017, 3-19219, 3-19405, 3-19573, 3-19574, 3-19611, 3-20160, 3-20205, 3-20467, 3-20499, 3-20620, 3-20621, 3-18919, 3-18934
|
Date: |
Respondents:
Release No.
34-97135
File Number:
3-21221
|
Date: |
Respondents:
Release No.
34-97116
File Number:
3-19896
|
Date: |
Respondents:
Release No.
34-97121
File Number:
3-21292
|
Date: |
Respondents:
Release No.
34-97115
File Number:
3-18999
|
Date: |
Respondents:
Release No.
34-97118
File Number:
3-15755
|
Date: |
Respondents:
Release No.
34-97119
File Number:
3-20260
|
Date: |
Respondents:
Release No.
34-97120
File Number:
3-20199
|
Date: |
Respondents:
Release No.
34-97113, AAER-4389
File Number:
3-21314
|
Date: |
Respondents:
Release No.
34-97101
File Number:
3-21146
|
Date: |
Respondents:
Release No.
34-97103
File Number:
3-21109
|
Date: |
Respondents:
Release No.
34-97105
File Number:
3-21091
|
Date: |
Respondents:
Release No.
34-97107
File Number:
3-21147
|
Date: |
Respondents:
Release No.
34-97110
File Number:
3-21116
|
Date: |
Respondents:
Release No.
34-97111
File Number:
3-21092
|
Date: |
Respondents:
Release No.
34-97112
File Number:
3-21124
|
Date: |
Respondents:
Release No.
IA-6257
File Number:
3-21098
|
Date: |
Respondents:
Release No.
IA-6258
File Number:
3-21097, 3-21097
|
Date: |
Respondents:
Release No.
34-97117
File Number:
3-21220
|
Date: |
Respondents:
Release No.
34-97085
File Number:
3-20992
|
Date: |
Respondents:
Release No.
34-97086
File Number:
3-21040
|
Date: |
Respondents:
Release No.
34-97087
File Number:
3-20984
|
Date: |
Respondents:
Release No.
34-97089
File Number:
3-20991
|
Date: |
Respondents:
Release No.
34-97090
File Number:
3-21041
|
Date: |
Respondents:
Release No.
34-97091
File Number:
3-20994
|
Date: |
Respondents:
Release No.
34-97092
File Number:
3-20987
|
Date: |
Respondents:
Release No.
34-97095
File Number:
3-21001
|
Date: |
Respondents:
Release No.
34-97097
File Number:
3-21224
|
Date: |
Respondents:
Release No.
34-97066
File Number:
3-20976
|
Date: |
Respondents:
Release No.
34-97067
File Number:
3-20978
|
Date: |
Respondents:
Release No.
34-97068
File Number:
3-20982
|
Date: |
Respondents:
Release No.
34-97069
File Number:
3-20748
|
Date: |
Respondents:
Release No.
34-97070
File Number:
3-20979
|
Date: |
Respondents:
Release No.
34-97072
File Number:
3-20977
|
Date: |
Respondents:
Release No.
34-97073
File Number:
3-20983
|
Date: |
Respondents:
Release No.
34-97071
File Number:
3-19666
|
Date: |
Respondents:
Release No.
34-97075
File Number:
3-18831
|
Date: |
Respondents:
Release No.
34-97076, IA-6256
File Number:
3-20849
|
Date: |
Respondents:
Release No.
33-11164, 34-97061, AAER-4387
File Number:
3-21239
|
Date: |
Respondents:
Release No.
34-97074, AAER-4388
File Number:
3-21298
|
Date: |
Respondents:
Release No.
34-97046
File Number:
3-20506
|
Date: |
Respondents:
Release No.
34-97047
File Number:
3-17990
|
Date: |
Respondents:
Release No.
34-97041
File Number:
3-20973
|
Date: |
Respondents:
Release No.
34-97040
File Number:
3-20816
|
Date: |
Respondents:
Release No.
34-97022
File Number:
3-20839
|
Date: |
Respondents:
Release No.
34-97024
File Number:
3-21211
|
Date: |
Respondents:
Release No.
34-97027
File Number:
3-19771
|
Date: |
Respondents:
Release No.
34-97004, AAER-4381
File Number:
3-20602
|
Date: |
Respondents:
Release No.
34-97007, AAER-4383
File Number:
3-20603
|
Date: |
Respondents:
Release No.
34-97002
File Number:
3-21263
|
Date: |
Respondents:
Release No.
34-97006
File Number:
3-20665
|
Date: |
Respondents:
Release No.
34-97005, AAER-4382
File Number:
3-20601
|
Date: |
Respondents:
Release No.
34-96993
File Number:
3-21011
|
Date: |
Respondents:
Release No.
IA-6252
File Number:
3-20134, 3-20134
|
Date: |
Respondents:
Release No.
34-96994, AAER-4379
File Number:
3-21298
|
Date: |
Respondents:
Release No.
34-96984
File Number:
3-18979
|
Date: |
Respondents:
Release No.
34-96985
File Number:
3-20380
|
Date: |
Respondents:
Release No.
34-96986
File Number:
3-20126
|
Date: |
Respondents:
Release No.
34-96987, IA-6248
File Number:
3-20874
|
Date: |
Respondents:
Release No.
IA-6246
File Number:
3-21121
|
Date: |
Respondents:
Release No.
IA-6247
File Number:
3-20927
|
Date: |
Respondents:
Release No.
34-96962
File Number:
3-19007, 3-19012
|
Date: |
Respondents:
Release No.
34-96955
File Number:
3-20647
|
Date: |
Respondents:
Release No.
33-11158, 34-96956
File Number:
3-16509
|
Date: |
Respondents:
Release No.
34-96957
File Number:
3-20705
|