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.
34-98383
File Number:
3-21664
|
Date: |
Respondents:
Release No.
34-98382
File Number:
3-21663
|
Date: |
Respondents:
Release No.
34-98381, IA-6421
File Number:
3-21662
|
Date: |
Respondents:
Release No.
34-98379
File Number:
3-21661
|
Date: |
Respondents:
Release No.
34-98374, IA-6419
File Number:
3-21660
|
Date: |
Respondents:
Release No.
34-98371
File Number:
3-21658
|
Date: |
Respondents:
Release No.
34-98370
File Number:
3-21657
|
Date: |
Respondents:
Release No.
34-98369
File Number:
3-21656
|
Date: |
Respondents:
Release No.
33-11233
File Number:
3-21655
|
Date: |
Respondents:
Release No.
34-98364
File Number:
3-21654
|
Date: |
Respondents:
Release No.
34-98356
File Number:
3-21653
|
Date: |
Respondents:
Release No.
33-11230, IA-6414
File Number:
3-21651
|
Date: |
Respondents:
Release No.
34-98354, IA-6415
See Also:
Administrative Summary
File Number:
3-21652
|
Date: |
Respondents:
Release No.
34-98352, AAER-4458
File Number:
3-21650
|
Date: |
Respondents:
Release No.
34-98351
See Also:
Administrative Summary
File Number:
3-21649
|
Date: |
Respondents:
Release No.
IA-6412
File Number:
3-21644
|
Date: |
Respondents:
Release No.
IA-6411
File Number:
3-21643
|
Date: |
Respondents:
Release No.
IA-6410
File Number:
3-21642
|
Date: |
Respondents:
Release No.
IA-6409
File Number:
3-21641
|
Date: |
Respondents:
Release No.
IA-6408
File Number:
3-21640
|
Date: |
Respondents:
Release No.
IA-6407
File Number:
3-21639
|
Date: |
Respondents:
Release No.
IA-6406
File Number:
3-21638
|
Date: |
Respondents:
Release No.
IA-6405
File Number:
3-21637
|
Date: |
Respondents:
Release No.
IA-6404
File Number:
3-21636
|
Date: |
Respondents:
Release No.
34-98346
See Also:
Administrative Summary
File Number:
3-21648
|
Date: |
Respondents:
Release No.
34-98345
File Number:
3-21647
|
Date: |
Respondents:
Release No.
IA-6413
See Also:
Administrative Summary
File Number:
3-21646
|
Date: |
Respondents:
Release No.
34-98344
File Number:
3-21645
|
Date: |
Respondents:
Release No.
34-98341
File Number:
3-21634
|
Date: |
Respondents:
Release No.
34-98343
File Number:
3-21635
|
Date: |
Respondents:
Release No.
33-11231, 34-98323
File Number:
3-21630
|
Date: |
Respondents:
Release No.
34-98326
File Number:
3-21633
|
Date: |
Respondents:
Release No.
34-98325
File Number:
3-21632
|
Date: |
Respondents:
Release No.
34-98324
File Number:
3-21631
|
Date: |
Respondents:
Release No.
34-98322
File Number:
3-21629
|
Date: |
Respondents:
Release No.
33-11229
File Number:
3-21627
|
Date: |
Respondents:
Release No.
34-98315
File Number:
3-21626
|
Date: |
Respondents:
Release No.
34-98313
File Number:
3-21625
|
Date: |
Respondents:
Release No.
34-98310
File Number:
3-21624
|
Date: |
Respondents:
Release No.
34-98309
File Number:
3-21623
|
Date: |
Respondents:
Release No.
34-98307, AAER-4456
File Number:
3-21622
|
Date: |
Respondents:
Release No.
34-98306, AAER-4455
File Number:
3-21621
|
Date: |
Respondents:
Release No.
34-98305
File Number:
3-21620
|
Date: |
Respondents:
Release No.
34-98301
File Number:
3-21619
|
Date: |
Respondents:
Release No.
34-98300
File Number:
3-21618
|
Date: |
Respondents:
Release No.
34-98299
File Number:
3-21617
|
Date: |
Respondents:
Release No.
34-98298
File Number:
3-21611
|
Date: |
Respondents:
Release No.
34-98297
File Number:
3-21616
|
Date: |
Respondents:
Release No.
34-98296
File Number:
3-21615
|
Date: |
Respondents:
Release No.
34-98295
File Number:
3-21614
|
Date: |
Respondents:
Release No.
34-98294
File Number:
3-21613
|
Date: |
Respondents:
Release No.
34-98293
File Number:
3-21612
|
Date: |
Respondents:
Release No.
34-98292
File Number:
3-21610
|
Date: |
Respondents:
Release No.
34-98289
File Number:
3-20771
|
Date: |
Respondents:
Release No.
IA-6400
File Number:
3-21609
|
Date: |
Respondents:
Release No.
IA-6399
File Number:
3-21608
|
Date: |
Respondents:
Release No.
IA-6398
File Number:
3-21607
|
Date: |
Respondents:
Release No.
IA-6395
File Number:
3-21605
|
Date: |
Respondents:
Release No.
ia-6396
File Number:
3-21606
|
Date: |
Respondents:
Release No.
34-98282
File Number:
3-21604
|
Date: |
Respondents:
Release No.
34-98281
File Number:
3-21603
|
Date: |
Respondents:
Release No.
33-11228
File Number:
3-21602
|
Date: |
Respondents:
Release No.
IA-6394
File Number:
3-21601
|
Date: |
Respondents:
Release No.
34-98272, IA-6393, AAER-4453
See Also:
Administrative Summary
File Number:
3-21600
|
Date: |
Respondents:
Release No.
34-98270
File Number:
3-21599
|
Date: |
Respondents:
Release No.
34-98269
File Number:
3-21598
|
Date: |
Respondents:
Release No.
34-98257
File Number:
3-21597
|
Date: |
Respondents:
Release No.
34-98256
File Number:
3-21596
|
Date: |
Respondents:
Release No.
34-98255
File Number:
3-21595
|
Date: |
Respondents:
Release No.
34-98254
File Number:
3-21594
|
Date: |
Respondents:
Release No.
34-98251
File Number:
3-21593
|
Date: |
Respondents:
Release No.
34-98250
File Number:
3-21592
|
Date: |
Respondents:
Release No.
34-98246
File Number:
3-21204
|
Date: |
Respondents:
Release No.
34-98244
File Number:
3-21589
|
Date: |
Respondents:
Release No.
IA-6391
File Number:
3-21590
|
Date: |
Respondents:
Release No.
34-98248, IA-6392
File Number:
3-21591
|
Date: |
Respondents:
Release No.
34-98243, AAER-4452
See Also:
Administrative Summary
File Number:
3-21588
|
Date: |
Respondents:
Release No.
34-98238
File Number:
3-21583
|
Date: |
Respondents:
Release No.
34-98234
File Number:
3-21587
|
Date: |
Respondents:
Release No.
33-11227
See Also:
Administrative Summary
File Number:
3-21586
|
Date: |
Respondents:
Release No.
33-11226
File Number:
3-21585
|
Date: |
Respondents:
Release No.
34-98229, AAER-4451
File Number:
3-21584
|
Date: |
Respondents:
Release No.
34-98222, AAER-4450
File Number:
3-21581
|
Date: |
Respondents:
Release No.
34-98221, IA-6387
File Number:
3-21580
|
Date: |
Respondents:
Release No.
34-98218, AAER-4449
File Number:
3-21579
|
Date: |
Respondents:
Release No.
34-98209
File Number:
3-20393
|
Date: |
Respondents:
Release No.
34-98194, AAER-4448
See Also:
Administrative Summary
File Number:
3-21577
|
Date: |
Respondents:
Release No.
34-98193, AAER-4447
See Also:
Administrative Summary
File Number:
3-21576
|
Date: |
Respondents:
Release No.
34-98192, AAER-4446
See Also:
Administrative Summary
File Number:
3-21574
|
Date: |
Respondents:
Release No.
34-98190, AAER-4444
See Also:
Administrative Summary
File Number:
3-21573
|
Date: |
Respondents:
Release No.
34-98188, AAER-4443
See Also:
Administrative Summary
File Number:
3-21572
|
Date: |
Respondents:
Release No.
34-98195, IA-6382
File Number:
3-21578
|
Date: |
Respondents:
Release No.
34-98191, AAER-4445
File Number:
3-21575
|
Date: |
Respondents:
Release No.
IA-6381
See Also:
Administrative Summary
File Number:
3-21571
|
Date: |
Respondents:
Release No.
34-98186, AAER-4442
File Number:
3-21570
|
Date: |
Respondents:
Release No.
IA-6380
File Number:
3-21569
|
Date: |
Respondents:
Release No.
34-98166
File Number:
3-21568
|
Date: |
Respondents:
Release No.
IA-6379
File Number:
3-21567
|
Date: |
Respondents:
Release No.
34-98153
File Number:
3-21565
|
Date: |
Respondents:
Release No.
34-98154; IA-6378
File Number:
3-21566
|