ALJ Orders: Administrative Law Judges
During enforcement proceedings assigned to one of the SEC's administrative law judges (ALJs), a judge may issue orders to schedule hearings, rule on motions or the admissibility of evidence, or otherwise communicate information to the parties involved.
View orders arranged by date below.
ALJ Orders: Administrative Law Judges Table
Respondents
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|
---|---|
Date: |
Respondents:
Release No.
3-14656
File Number:
3-14656
|
Date: |
Respondents:
Release No.
3-14601
File Number:
3-14601
|
Date: |
Respondents:
Release No.
3-14617
File Number:
3-14617
|
Date: |
Respondents:
Release No.
3-14473
File Number:
3-14473
|
Date: |
Respondents:
Release No.
3-14634
File Number:
3-14634
|
Date: |
Respondents:
Release No.
3-14622
File Number:
3-14622
|
Date: |
Respondents:
Release No.
3-14581, AP-689
File Number:
3-14581
|
Date: |
Respondents:
Release No.
3-14616
File Number:
3-14616
|
Date: |
Respondents:
Release No.
3-14432
File Number:
3-14432
|
Date: |
Respondents:
Release No.
3-14608
File Number:
3-14608
|
Date: |
Respondents:
Release No.
3-14584
File Number:
3-14584
|
Date: |
Respondents:
Release No.
3-14595
File Number:
3-14595
|
Date: |
Respondents:
Release No.
3-14606
File Number:
3-14606
|
Date: |
Respondents:
Release No.
3-14587
File Number:
3-14587
|
Date: |
Respondents:
Release No.
3-14579
File Number:
3-14579
|
Date: |
Respondents:
Release No.
3-14534
File Number:
3-14534
|
Date: |
Respondents:
Release No.
3-14588
File Number:
3-14588
|
Date: |
Respondents:
Release No.
3-14580
File Number:
3-14580
|
Date: |
Respondents:
Release No.
3-14568
File Number:
3-14568
|
Date: |
Respondents:
Release No.
3-14537
File Number:
3-14537
|
Date: |
Respondents:
Release No.
3-14538
File Number:
3-14538
|
Date: |
Respondents:
Release No.
3-14476
File Number:
3-14476
|
Date: |
Respondents:
Release No.
3-14555
File Number:
3-14555
|
Date: |
Respondents:
Release No.
3-14361
File Number:
3-14361
|
Date: |
Respondents:
Release No.
3-14390
File Number:
3-14390
|
Date: |
Respondents:
Release No.
3-14401, AP-686
File Number:
3-14401
|
Date: |
Respondents:
Release No.
3-14536
File Number:
3-14536
|
Date: |
Respondents:
Release No.
3-14432
File Number:
3-14432
|
Date: |
Respondents:
Release No.
3-14539
File Number:
3-14539
|
Date: |
Respondents:
Release No.
3-14546
File Number:
3-14546
|
Date: |
Respondents:
Release No.
3-14556
File Number:
3-14556
|
Date: |
Respondents:
Release No.
3-14503
File Number:
3-14503
|
Date: |
Respondents:
Release No.
3-14513
File Number:
3-14513
|
Date: |
Respondents:
Release No.
3-14394
File Number:
3-14394
|
Date: |
Respondents:
Release No.
3-14535
File Number:
3-14535
|
Date: |
Respondents:
Release No.
3-14543
File Number:
3-14543
|
Date: |
Respondents:
Release No.
3-14545
File Number:
3-14545
|
Date: |
Respondents:
Release No.
3-14055
File Number:
3-14055
|
Date: |
Respondents:
Release No.
3-14471
File Number:
3-14471
|
Date: |
Respondents:
Release No.
3-14475, IA-3296
File Number:
3-14475
|
Date: |
Respondents:
Release No.
3-14139
File Number:
3-14139
|
Date: |
Respondents:
Release No.
3-14194
File Number:
3-14194
|
Date: |
Respondents:
Release No.
3-14345
File Number:
3-14345
|
Date: |
Respondents:
Release No.
3-14521
File Number:
3-14521
|
Date: |
Respondents:
Release No.
3-14462
File Number:
3-14462
|
Date: |
Respondents:
Release No.
3-14512
File Number:
3-14512
|
Date: |
Respondents:
Release No.
3-14450
File Number:
3-14450
|
Date: |
Respondents:
Release No.
3-14508
File Number:
3-14508
|
Date: |
Respondents:
Release No.
3-14502
File Number:
3-14506
|
Date: |
Respondents:
Release No.
3-14506
File Number:
3-14502
|
Date: |
Respondents:
Release No.
3-14507
File Number:
3-14507
|
Date: |
Respondents:
Release No.
3-14256
File Number:
3-14256
|
Date: |
Respondents:
Release No.
3-14456
File Number:
3-14456
|
Date: |
Respondents:
Release No.
3-14466
File Number:
3-14466
|
Date: |
Respondents:
Release No.
3-14487
File Number:
3-14487
|
Date: |
Respondents:
Release No.
3-14435
File Number:
3-14435
|
Date: |
Respondents:
Release No.
3-14465
File Number:
3-14465
|
Date: |
Respondents:
Release No.
3-14470
File Number:
3-14470
|
Date: |
Respondents:
Release No.
3-14476
File Number:
3-14476
|
Date: |
Respondents:
Release No.
3-14489
File Number:
3-14489
|
Date: |
Respondents:
Release No.
3-14462
File Number:
3-14462
|
Date: |
Respondents:
Release No.
3-14463
File Number:
3-14463
|
Date: |
Respondents:
Release No.
3-14439
File Number:
3-14439
|
Date: |
Respondents:
Release No.
3-14461
File Number:
3-14461
|
Date: |
Respondents:
Release No.
3-14440
File Number:
3-14440
|
Date: |
Respondents:
Release No.
3-14423
File Number:
3-14423
|
Date: |
Respondents:
Release No.
3-14426
File Number:
3-14426
|
Date: |
Respondents:
Release No.
3-14453
File Number:
3-14453
|
Date: |
Respondents:
Release No.
3-14340
File Number:
3-14340
|
Date: |
Respondents:
Release No.
3-14355
File Number:
3-14355
|
Date: |
Respondents:
Release No.
3-14401
File Number:
3-14401
|
Date: |
Respondents:
Release No.
3-14439
File Number:
3-14439
|
Date: |
Respondents:
Release No.
3-14420
File Number:
3-14420
|
Date: |
Respondents:
Release No.
3-14431
File Number:
3-14431
|
Date: |
Respondents:
Release No.
3-14432
File Number:
3-14432
|
Date: |
Respondents:
Release No.
3-14452
File Number:
3-14452
|
Date: |
Respondents:
Release No.
3-14390
File Number:
3-14390
|
Date: |
Respondents:
Release No.
3-14422
File Number:
3-14422
|
Date: |
Respondents:
Release No.
3-14405
File Number:
3-14405
|
Date: |
Respondents:
Release No.
3-14406
File Number:
3-14406
|
Date: |
Respondents:
Release No.
3-14411
File Number:
3-14411
|
Date: |
Respondents:
Release No.
3-14427
File Number:
3-14427
|
Date: |
Respondents:
Release No.
3-14081
File Number:
3-14081
|
Date: |
Respondents:
Release No.
3-14377
File Number:
3-14377
|
Date: |
Respondents:
Release No.
3-14412
File Number:
3-14412
|
Date: |
Respondents:
Release No.
3-14402
File Number:
3-14402
|
Date: |
Respondents:
Release No.
3-14279
File Number:
3-14279
|
Date: |
Respondents:
Release No.
3-14344
File Number:
3-14344
|
Date: |
Respondents:
Release No.
3-14346
File Number:
3-14346
|
Date: |
Respondents:
Release No.
3-14378
File Number:
3-14378
|
Date: |
Respondents:
Release No.
3-14392
File Number:
3-14392
|
Date: |
Respondents:
Release No.
3-14391
File Number:
3-14391
|
Date: |
Respondents:
Release No.
3-14055
File Number:
3-14055
|
Date: |
Respondents:
Release No.
3-14082
File Number:
3-14082
|
Date: |
Respondents:
Release No.
3-14380
File Number:
3-14380
|
Date: |
Respondents:
Release No.
3-14349
File Number:
3-14349
|
Date: |
Respondents:
Release No.
3-14366
File Number:
3-14366
|
Date: |
Respondents:
Release No.
3-14211
File Number:
3-14211
|
Date: |
Respondents:
Release No.
3-14363
File Number:
3-14363
|
Date: |
Respondents:
Release No.
3-14356
File Number:
3-14356
|