Administrative Proceedings
The list below provides links to opinions and orders concerning both litigated and settled administrative proceedings instituted by the Commission.
The links below direct you to the docket pages for adjudicatory proceedings – meaning administrative proceedings adjudicated by the Commission including by its consideration of initial decisions of ALJ and appeals from SRO or PCAOB action – 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.
Administrative Proceedings Table
Respondents
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|
---|---|
Date: |
Respondents:
Release No.
IA-6445
File Number:
3-21756
|
Date: |
Respondents:
Release No.
IA-6438, AAER-4464
See Also:
Administrative Summary
File Number:
3-21750
|
Date: |
Respondents:
Release No.
IA-6437
See Also:
Administrative Summary
File Number:
3-21747
|
Date: |
Respondents:
Release No.
33-11248, 34-98616, AAER-4467
File Number:
3-21761
|
Date: |
Respondents:
Release No.
34-98609, IA-6440
See Also:
Administrative Summary
File Number:
3-21753
|
Date: |
Respondents:
Release No.
34-98611, AAER-4465
File Number:
3-21754
|
Date: |
Respondents:
Release No.
34-98615, AAER-4466
File Number:
3-21755
|
Date: |
Respondents:
Release No.
34-98600
File Number:
3-20945
|
Date: |
Respondents:
Release No.
34-98595, AAER-4463
File Number:
3-21746
|
Date: |
Respondents:
Release No.
34-98594
See Also:
Plan of Distribution
File Number:
3-20881
|
Date: |
Respondents:
Release No.
33-11245, 34-98577, AAER-4462
File Number:
3-21745
|
Date: |
Respondents:
Release No.
33-11244, 34-98575
See Also:
Administrative Summary
File Number:
3-21743
|
Date: |
Respondents:
Release No.
33-11243, 34-98574
See Also:
Administrative Summary
File Number:
3-21741
|
Date: |
Respondents:
Release No.
34-98576
File Number:
3-21744
|
Date: |
Respondents:
Release No.
34-98569
File Number:
3-17582
|
Date: |
Respondents:
Release No.
34-98556
File Number:
3-21740
|
Date: |
Respondents:
Release No.
34-98555
File Number:
3-21739
|
Date: |
Respondents:
Release No.
34-98553
File Number:
3-21738
|
Date: |
Respondents:
Release No.
34-98552
File Number:
3-21737
|
Date: |
Respondents:
Release No.
34-98551
File Number:
3-21736
|
Date: |
Respondents:
Release No.
34-98550
File Number:
3-21735
|
Date: |
Respondents:
Release No.
34-98549
File Number:
3-21734
|
Date: |
Respondents:
Release No.
34-98548
File Number:
3-21733
|
Date: |
Respondents:
Release No.
34-98547
File Number:
3-21732
|
Date: |
Respondents:
Release No.
34-98546
File Number:
3-21731
|
Date: |
Respondents:
Release No.
34-98545
File Number:
3-21730
|
Date: |
Respondents:
Release No.
34-98543
File Number:
3-21729
|
Date: |
Respondents:
Release No.
34-98542
File Number:
3-21728
|
Date: |
Respondents:
Release No.
34-98540
File Number:
3-20964
|
Date: |
Respondents:
Release No.
34-98538
File Number:
3-21385
|
Date: |
Respondents:
Release No.
34-98518
File Number:
3-21718
|
Date: |
Respondents:
Release No.
34-98537
File Number:
3-21727
|
Date: |
Respondents:
Release No.
34-98526
See Also:
Administrative Summary
File Number:
3-21726
|
Date: |
Respondents: Bruderman Asset Management, LLC, n/k/a Gary Goldberg Planning Services, LLC and Matthew J. Bruderman
Release No.
IA-6435
File Number:
3-21725
|
Date: |
Respondents:
Release No.
IA-6434
File Number:
3-21724
|
Date: |
Respondents:
Release No.
34-98525
File Number:
3-21723
|
Date: |
Respondents:
Release No.
34-98524
File Number:
3-21722
|
Date: |
Respondents:
Release No.
34-98523
File Number:
3-21721
|
Date: |
Respondents:
Release No.
34-98522
File Number:
3-21720
|
Date: |
Respondents:
Release No.
34-98521
File Number:
3-21719
|
Date: |
Respondents:
Release No.
34-98520
File Number:
3-20999
|
Date: |
Respondents:
Release No.
34-98517
File Number:
3-21382
|
Date: |
Respondents:
Release No.
34-98512
See Also:
Plan of Distribution
File Number:
3-20781
|
Date: |
Respondents:
Release No.
34-98510
See Also:
Administrative Summary
File Number:
3-21717
|
Date: |
Respondents:
Release No.
34-98507
File Number:
3-21716
|
Date: |
Respondents:
Release No.
34-98506
File Number:
3-21715
|
Date: |
Respondents:
Release No.
34-98503
File Number:
3-21714
|
Date: |
Respondents:
Release No.
34-98501
File Number:
3-21713
|
Date: |
Respondents:
Release No.
34-98499, AAER-4461
See Also:
Administrative Summary
File Number:
3-21712
|
Date: |
Respondents:
Release No.
34-98492, AAER-4460
See Also:
Administrative Summary
File Number:
3-21710
|
Date: |
Respondents:
Release No.
33-11241, 34-98491, AAER-4459
File Number:
3-21708
|
Date: |
Respondents:
Release No.
34-98493
See Also:
Proposed Plan of Distribution
File Number:
3-20932
|
Date: |
Respondents:
Release No.
IA-6433
See Also:
Administrative Summary
File Number:
3-21711
|
Date: |
Respondents:
Release No.
IA-6431
File Number:
3-21707
|
Date: |
Respondents:
Release No.
IA-6432
File Number:
3-21709
|
Date: |
Respondents:
Release No.
34-98487
File Number:
3-19927
|
Date: |
Respondents:
Release No.
34-98486
File Number:
3-16000
|
Date: |
Respondents:
Release No.
34-98485
File Number:
3-21706
|
Date: |
Respondents:
Release No.
IA-6429
See Also:
Administrative Summary
File Number:
3-21705
|
Date: |
Respondents:
Release No.
IA-6428
File Number:
3-21704
|
Date: |
Respondents:
Release No.
34-98482
File Number:
3-21703
|
Date: |
Respondents:
Release No.
34-98480
File Number:
3-21701
|
Date: |
Respondents:
Release No.
34-98481
File Number:
3-21702
|
Date: |
Respondents:
Release No.
34-98479
File Number:
3-21700
|
Date: |
Respondents:
Release No.
34-98478
See Also:
Administrative Summary
File Number:
3-21699
|
Date: |
Respondents:
Release No.
34-98477
File Number:
3-21698
|
Date: |
Respondents:
Release No.
33-11240
See Also:
Administrative Summary
File Number:
3-21697
|
Date: |
Respondents:
Release No.
34-98473
File Number:
3-21696
|
Date: |
Respondents:
Release No.
34-98471
File Number:
3-21695
|
Date: |
Respondents:
Release No.
34-98469
File Number:
3-21694
|
Date: |
Respondents:
Release No.
IA-6426
File Number:
3-21692
|
Date: |
Respondents:
Release No.
34-98466
File Number:
3-21693
|
Date: |
Respondents:
Release No.
34-98462
File Number:
3-21688
|
Date: |
Respondents:
Release No.
34-98463
File Number:
3-21689
|
Date: |
Respondents:
Release No.
34-98464
|
Date: |
Respondents:
Release No.
34-98465
File Number:
3-21691
|
Date: |
Respondents:
Release No.
34-98461
File Number:
3-21687
|
Date: |
Respondents:
Release No.
34-98460
File Number:
3-21686
|
Date: |
Respondents:
Release No.
34-98459
File Number:
3-21685
|
Date: |
Respondents:
Release No.
34-98453
File Number:
3-21684
|
Date: |
Respondents:
Release No.
34-98452
File Number:
3-21683
|
Date: |
Respondents:
Release No.
33-11239
See Also:
Administrative Summary
File Number:
3-21682
|
Date: |
Respondents:
Release No.
34-98440
File Number:
3-21681
|
Date: |
Respondents:
Release No.
34-98439
File Number:
3-21680
|
Date: |
Respondents:
Release No.
34-98431
File Number:
3-21677
|
Date: |
Respondents:
Release No.
34-98430
File Number:
3-21676
|
Date: |
Respondents:
Release No.
34-98436
File Number:
3-21679
|
Date: |
Respondents:
Release No.
33-11237, 34-98432, IA-6425, IC-34999
See Also:
Administrative Summary
File Number:
3-21678
|
Date: |
Respondents:
Release No.
34-98429
File Number:
3-21675
|
Date: |
Respondents:
Release No.
34-98426
File Number:
3-21542
|
Date: |
Respondents:
Release No.
34-98425
File Number:
3-19541
|
Date: |
Respondents:
Release No.
34-98424
File Number:
3-21488
|
Date: |
Respondents:
Release No.
33-11236
See Also:
Administrative Summary
File Number:
3-21674
|
Date: |
Respondents:
Release No.
IA-6423
See Also:
Administrative Summary
File Number:
3-21673
|
Date: |
Respondents:
Release No.
34-98423
File Number:
3-18843
|
Date: |
Respondents:
Release No.
34-98418
See Also:
Administrative Summary
File Number:
3-21669
|
Date: |
Respondents:
Release No.
34-98417
File Number:
3-20092
|
Date: |
Respondents:
Release No.
34-98415
File Number:
3-20537
|
Date: |
Respondents:
Release No.
34-98416
File Number:
3-20932
|
Date: |
Respondents:
Release No.
34-98414
File Number:
3-20310
|