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.
34-39765
File Number:
3-9237
|
Date: |
Respondents:
Release No.
34-39645
File Number:
3-8327
|
Date: |
Respondents:
Release No.
34-39565
File Number:
3-8992
|
Date: |
Respondents:
Release No.
IA-1696
File Number:
3-8899
|
Date: |
Respondents:
Release No.
34-39544
File Number:
3-9274
|
Date: |
Respondents:
Release No.
34-39543
See Also:
Court of Appeals Opinion
File Number:
3-9190
|
Date: |
Respondents:
Release No.
34-39523
File Number:
3-9188
|
Date: |
Respondents:
Release No.
34-39520
File Number:
3-9192
|
Date: |
Respondents:
Release No.
34-39518
File Number:
3-8527
|
Date: |
Respondents:
Release No.
34-39517
File Number:
3-8543
|
Date: |
Respondents:
Release No.
34-39459
File Number:
3-9289
|
Date: |
Respondents:
Release No.
34-39443
File Number:
3-9254
|
Date: |
Respondents:
Release No.
34-39298
File Number:
3-9076
|
Date: |
Respondents:
Release No.
34-39297
File Number:
3-9253
|
Date: |
Respondents:
Release No.
34-39296
File Number:
3-9067
|
Date: |
Respondents:
Release No.
34-39280
File Number:
3-9189
|
Date: |
Respondents:
Release No.
34-39242
File Number:
3-9296
|
Date: |
Respondents:
Release No.
34-37795
File Number:
3-8841
|
Date: |
Respondents:
Release No.
34-39181
File Number:
3-8573
|
Date: |
Respondents:
Release No.
34-39180
File Number:
3-8305
|
Date: |
Respondents:
Release No.
34-39126
File Number:
3-7998
|
Date: |
Respondents:
Release No.
34-39112
See Also:
Court of Appeals Opinion
|
Date: |
Respondents:
Release No.
34-39007
File Number:
3-9281
|
Date: |
Respondents:
Release No.
34-38999
File Number:
3-9064
|
Date: |
Respondents:
Release No.
34-38893
File Number:
3-8801
|
Date: |
Respondents:
Release No.
34-38815
File Number:
3-7164
|
Date: |
Respondents:
Release No.
34-38742
File Number:
3-8370
|
Date: |
Respondents:
Release No.
34-38705
File Number:
3-8294
|
Date: |
Respondents:
Release No.
34-38658
File Number:
3-8832
|
Date: |
Respondents:
Release No.
34-38657
File Number:
3-8509
|
Date: |
Respondents:
Release No.
34-38570
File Number:
3-9023
|
Date: |
Respondents:
Release No.
34-38487
File Number:
3-8820
|
Date: |
Respondents:
Release No.
34-38486
File Number:
3-8994
|
Date: |
Respondents:
Release No.
34-38485
File Number:
3-8230
|
Date: |
Respondents:
Release No.
34-38440
File Number:
3-8986
|
Date: |
Respondents:
Release No.
34-38423, 34-38815
File Number:
3-7164
|
Date: |
Respondents:
Release No.
34-38418
File Number:
3-9039
|
Date: |
Respondents:
Release No.
34-38390
File Number:
3-9005
|
Date: |
Respondents:
Release No.
34-38389
File Number:
3-8803
|
Date: |
Respondents:
Release No.
34-38373
File Number:
3-8232
|
Date: |
Respondents:
Release No.
34-38183
See Also:
Court of Appeals Opinion
File Number:
3-6776
|
Date: |
Respondents:
Release No.
34-38076
File Number:
3-8889
|
Date: |
Respondents:
Release No.
34-38029
File Number:
3-8936
|
Date: |
Respondents:
Release No.
34-37991
File Number:
3-8639
|
Date: |
Respondents:
Release No.
34-37990
File Number:
3-8395
|
Date: |
Respondents:
Release No.
34-37955
File Number:
3-8990
|
Date: |
Respondents:
Release No.
34-37954
File Number:
3-8893
|
Date: |
Respondents:
Release No.
34-37953
File Number:
3-8971
|
Date: |
Respondents:
Release No.
34-37952
File Number:
3-8962
|
Date: |
Respondents:
Release No.
34-37919A
File Number:
3-8868
|
Date: |
Respondents:
Release No.
34-37910
File Number:
3-8925
|
Date: |
Respondents:
Release No.
34-37895
File Number:
3-8982
|
Date: |
Respondents:
Release No.
34-37867
File Number:
3-8958
|
Date: |
Respondents:
Release No.
34-37866
File Number:
3-8926
|
Date: |
Respondents:
Release No.
34-37865
File Number:
3-8870
|
Date: |
Respondents:
Release No.
34-37849
File Number:
3-8438
|
Date: |
Respondents:
Release No.
34-37835
File Number:
3-8761
|
Date: |
Respondents:
Release No.
34-37613
File Number:
3-8912
|
Date: |
Respondents:
Release No.
34-37611
File Number:
3-8871
|
Date: |
Respondents:
Release No.
34-37601
File Number:
3-8650
|
Date: |
Respondents:
Release No.
34-37600
See Also:
Court of Appeals Opinion
File Number:
3-8519
|
Date: |
Respondents:
Release No.
34-37572
File Number:
3-8013
|
Date: |
Respondents:
Release No.
34-37559
File Number:
3-8702
|
Date: |
Respondents:
Release No.
34-37503
File Number:
3-8927
|
Date: |
Respondents:
Release No.
34-37463
File Number:
3-8894
|
Date: |
Respondents:
Release No.
34-37409
File Number:
3-8725
|
Date: |
Respondents:
Release No.
34-37351
File Number:
3-8521
|
Date: |
Respondents:
Release No.
34-37305
File Number:
3-8722
|
Date: |
Respondents:
Release No.
3437259
File Number:
3-8699
|
Date: |
Respondents:
Release No.
34-37218
File Number:
3-8706
|
Date: |
Respondents:
Release No.
34-37217
File Number:
3-8807
|
Date: |
Respondents:
Release No.
34-37170
File Number:
3-8888
|
Date: |
Respondents:
Release No.
34-37156
File Number:
3-8257
|
Date: |
Respondents:
Release No.
34-37092
File Number:
3-8743
|
Date: |
Respondents:
Release No.
34-37091
File Number:
3-8721
|
Date: |
Respondents:
Release No.
34-37075
File Number:
3-8654
|
Date: |
Respondents:
Release No.
34-37074
File Number:
3-8697
|
Date: |
Respondents:
Release No.
34-37073
File Number:
3-8792
|
Date: |
Respondents:
Release No.
34-37072
File Number:
3-8768
|
Date: |
Respondents:
Release No.
34-37071
File Number:
3-8775
|
Date: |
Respondents:
Release No.
34-37070
File Number:
3-8751
|
Date: |
Respondents:
Release No.
34-37069
File Number:
3-8676
|