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.
IA-3829
File Number:
3-14536
|
Date: |
Respondents:
Release No.
34-72090
File Number:
3-15824
|
Date: |
Respondents:
Release No.
34-72080
File Number:
3-15045
|
Date: |
Respondents:
Release No.
33-9582
File Number:
3-15715
|
Date: |
Respondents:
Release No.
34-72076
File Number:
3-15130
|
Date: |
Respondents:
Release No.
33-9580, 34-72059, IA-3827, IC-31036
File Number:
3-14081
|
Date: |
Respondents:
Release No.
34-72035
File Number:
3-15794
|
Date: |
Respondents:
Release No.
34-72031, IA-3824
File Number:
3-15308
|
Date: |
Respondents:
Release No.
34-71972
File Number:
3-15735
|
Date: |
Respondents:
Release No.
34-71970
File Number:
3-15183
|
Date: |
Respondents:
Release No.
34-71926
File Number:
3-15769
|
Date: |
Respondents:
Release No.
34-71922, IA-3816
File Number:
3-15538
|
Date: |
Respondents:
Release No.
34-71921
File Number:
3-15817
|
Date: |
Respondents:
Release No.
34-71875
File Number:
3-15794
|
Date: |
Respondents:
Release No.
34-71866
File Number:
3-14587
|
Date: |
Respondents:
Release No.
34-71865, IA-3809
File Number:
3-15461
|
Date: |
Respondents:
Release No.
34-71833, AAER-3547
File Number:
3-15012
|
Date: |
Respondents:
Release No.
IA-3805, IC-30997
File Number:
3-14194
|
Date: |
Respondents:
Release No.
34-71761, AAER-3543
File Number:
3-15659
|
Date: |
Respondents:
Release No.
33-9561, IA-3796, IC-30892
File Number:
3-15574
|
Date: |
Respondents:
Release No.
33-9560
File Number:
3-15658
|
Date: |
Respondents:
Release No.
34-71707
File Number:
3-15510
|
Date: |
Respondents:
Release No.
34-71706
File Number:
3-15601
|
Date: |
Respondents:
Release No.
34-71668
File Number:
3-14981
|
Date: |
Respondents:
Release No.
34-71666
File Number:
3-14700
|
Date: |
Respondents:
Release No.
33-9555, 34-71664
File Number:
3-13927
|
Date: |
Respondents:
Release No.
33-9553, 34-71632
File Number:
3-13871
|
Date: |
Respondents:
Release No.
34-71600
File Number:
3-14810
|
Date: |
Respondents:
Release No.
34-71589A
File Number:
3-14175r, 3-14175
|
Date: |
Respondents:
Release No.
34-71584
File Number:
3-15211
|
Date: |
Respondents:
Release No.
34-71577
File Number:
3-15735
|
Date: |
Respondents:
Release No.
34-71566
File Number:
3-15701
|
Date: |
Respondents:
Release No.
IA-3774, IC-30907
File Number:
3-15263
|
Date: |
Respondents:
Release No.
34-71481, IA-3772, IC-30906
File Number:
3-15141
|
Date: |
Respondents:
Release No.
34-71432
File Number:
3-15271
|
Date: |
Respondents:
Release No.
33-9519, 34-71415, IA-3764, IC-30894
File Number:
3-15255
|
Date: |
Respondents:
Release No.
34-71391
File Number:
3-15466
|
Date: |
Respondents:
Release No.
33-9518, 34-71392, IA-3761, IC-30892
File Number:
3-15015
|
Date: |
Respondents:
Release No.
34-71340
File Number:
3-15259
|
Date: |
Respondents:
Release No.
33-9514, 34-71354, IC-30886
File Number:
3-14848
|
Date: |
Respondents:
Release No.
33-9512
File Number:
3-15124
|
Date: |
Respondents:
Release No.
33-9509
File Number:
3-15015
|
Date: |
Respondents:
Release No.
34-71277
File Number:
3-15601
|
Date: |
Respondents:
Release No.
34-71205, AAER-3524
File Number:
3-15168
|
Date: |
Respondents:
Release No.
33-9507, 34-71204, IA-3749, IC-30851
File Number:
3-15255
|
Date: |
Respondents:
Release No.
34-71100
File Number:
3-15601
|
Date: |
Respondents:
Release No.
34-71099
File Number:
3-15271
|
Date: |
Respondents:
Release No.
34-71068, IA-3736
See Also:
Court of Appeals Opinion
File Number:
3-15057
|
Date: |
Respondents:
Release No.
33-9492, 34-71021, IA-3733, IC-30820
File Number:
3-15255
|
Date: |
Respondents:
Release No.
33-9486, 34-70942
File Number:
3-14266
|
Date: |
Respondents:
Release No.
34-70893
File Number:
3-15346
|
Date: |
Respondents:
Release No.
34-70883
File Number:
3-15059
|
Date: |
Respondents:
Release No.
33-9479, 34-70891, IA-3717, IC-30788
File Number:
3-15255
|
Date: |
Respondents:
Release No.
33-9478, 34-70869, IA-3716, IC-30784
File Number:
3-15255
|
Date: |
Respondents:
Release No.
34-70841
File Number:
3-15255
|
Date: |
Respondents:
Release No.
34-70833
File Number:
3-14146
|
Date: |
Respondents:
Release No.
33-9474, 34-70810, IC-30774
File Number:
3-14848
|
Date: |
Respondents:
Release No.
34-70803
|
Date: |
Respondents:
Release No.
34-70800
File Number:
3-14581
|
Date: |
Respondents:
Release No.
34-70792
File Number:
3-14587
|
Date: |
Respondents:
Release No.
34-70738
File Number:
3-15012
|
Date: |
Respondents:
Release No.
33-9469
File Number:
3-15003
|
Date: |
Respondents:
Release No.
34-70708
File Number:
3-14720
|
Date: |
Respondents:
Release No.
34-70707
File Number:
3-15508
|
Date: |
Respondents:
Release No.
34-70706
File Number:
3-15432
|
Date: |
Respondents:
Release No.
33-9466, 34-66815
File Number:
3-14848
|
Date: |
Respondents:
Release No.
33-9465, 34-70639
File Number:
3-14266
|
Date: |
Respondents:
Release No.
34-70632
|
Date: |
Respondents:
Release No.
33-9464, 34-70631
|
Date: |
Respondents:
Release No.
34-70620
File Number:
3-15432
|
Date: |
Respondents:
Release No.
33-9463, 34-70621, IA-3687, IC-30741
File Number:
3-15015
|
Date: |
Respondents:
Release No.
34-70603
File Number:
3-14872, 3-15116
|
Date: |
Respondents:
Release No.
33-9449, 34-70328, IA-3661, IC-30686
File Number:
3-15002
|
Date: |
Respondents:
Release No.
34-70318
File Number:
3-9599
|
Date: |
Respondents:
Release No.
33-9448, 34-70305
File Number:
3-14630
|
Date: |
Respondents:
Release No.
34-70290
File Number:
3-14104r
|
Date: |
Respondents:
Release No.
33-9441, 34-70216, IC-30650
File Number:
3-14862
|
Date: |
Respondents:
Release No.
34-70149
File Number:
3-15119
|
Date: |
Respondents:
Release No.
34-70140
File Number:
3-15161
|
Date: |
Respondents:
Release No.
34-70130, IC-30646
File Number:
3-14853
|
Date: |
Respondents:
Release No.
34-70120
|
Date: |
Respondents:
Release No.
34-70046
File Number:
3-15080
|
Date: |
Respondents:
Release No.
34-70044
File Number:
3-14208
|
Date: |
Respondents:
Release No.
34-69994
File Number:
3-15128
|
Date: |
Respondents:
Release No.
33-9417, 34-69982
File Number:
3-14266
|
Date: |
Respondents:
Release No.
IA-3628
File Number:
3-14572
|
Date: |
Respondents:
Release No.
34-69976
File Number:
3-14795
|
Date: |
Respondents:
Release No.
34-69968
File Number:
3-14640
|
Date: |
Respondents:
Release No.
34-69967
File Number:
3-13481
|
Date: |
Respondents:
Release No.
34-69953
File Number:
3-15003
|
Date: |
Respondents:
Release No.
34-69939
File Number:
3-14999
|
Date: |
Respondents:
Release No.
33-9413, 34-69940, IA-3621, IC-30591
File Number:
3-15015
|
Date: |
Respondents:
Release No.
34-69930
File Number:
3-14795
|
Date: |
Respondents:
Release No.
34-69923
See Also:
Court of Appeals Opinion
File Number:
3-14609
|
Date: |
Respondents:
Release No.
34-69922, AAER-3470
File Number:
3-14571
|
Date: |
Respondents:
Release No.
34-69885, IA-3619, AAER-3468
File Number:
3-14565
|
Date: |
Respondents:
Release No.
34-69766
File Number:
3-14810
|
Date: |
Respondents:
Release No.
34-69615
File Number:
3-15080
|
Date: |
Respondents:
Release No.
33-9400, 34-69478, IC-30498
File Number:
3-14848, 3-148653
|
Date: |
Respondents:
Release No.
34-69439
File Number:
3-14935
|