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
Date: Respondents:
Release No. 34-38102
File Number: 3-9211
Date: Respondents:
Release No. 34-38088
Date: Respondents:
Release No. 34-38083
File Number: 3-9209
Date: Respondents:
Release No. 34-38074
File Number: 3-9090
Date: Respondents:
Release No. 34-38061
File Number: 3-9207
Date: Respondents:
Release No. 34-38055
Date: Respondents:
Release No. 33-7372
File Number: 3-9201
Date: Respondents:
Release No. 33-7374
File Number: 3-9202
Date: Respondents:
Release No. 34-38035
File Number: 3-9199
Date: Respondents:
Release No. 34-38037
File Number: 3-9126
Date: Respondents:
Release No. 33-7370
File Number: 3-9200
Date: Respondents:
Release No. 34-38027
File Number: 3-9197
Date: Respondents:
Release No. 34-38028
File Number: 3-9198
Date: Respondents:
Release No. 34-38026
File Number: 3-9195
Date: Respondents:
Release No. 34-38016
File Number: 3-8947
Date: Respondents:
Release No. 33-7368
File Number: 3-9033
Date: Respondents:
Release No. 34-38001
File Number: 3-8781
Date: Respondents:
Release No. 34-38002
File Number: 3-9002
Date: Respondents:
Release No. 34-38003
File Number: 3-9193
Date: Respondents:
Release No. 33-7367
File Number: 3-9194
Date: Respondents:
Release No. 33-7366
File Number: 3-9191
Date: Respondents:
Release No. 34-37984
Date: Respondents:
Release No. 34-37966
Date: Respondents:
Release No. 33-7365
File Number: 3-9187
Date: Respondents:
Release No. 33-7364
File Number: 3-9186
Date: Respondents:
Release No. 34-37938
File Number: 3-9184
Date: Respondents:
Release No. 33-7363
File Number: 3-8901
Date: Respondents:
Release No. 34-37940
File Number: 3-9185
Date: Respondents:
Release No. 34-37932
File Number: 3-9127
Date: Respondents:
Release No. 33-7362
File Number: 3-9180
Date: Respondents:
Release No. 34-37926
File Number: 3-9181
Date: Respondents:
Release No. 34-37898
File Number: 3-9178
Date: Respondents:
Release No. 34-37905
File Number: 3-9179
Date: Respondents:
Release No. 33-7359
File Number: 3-8983
Date: Respondents:
Release No. 33-7360
File Number: 3-8984
Date: Respondents:
Release No. 34-37889
File Number: 3-9176
Date: Respondents:
Release No. 34-37892
File Number: 3-9177
Date: Respondents:
Release No. 34-37879
File Number: 3-9175
Date: Respondents:
Release No. 34-37847
File Number: 3-9172
Date: Respondents:
Release No. 34-37848
File Number: 3-9173
Date: Respondents:
Release No. 34-37843
File Number: 3-9171
Date: Respondents:
Release No. 34-37830
File Number: 3-9010
Date: Respondents:
Release No. 34-37831
File Number: 3-9167
Date: Respondents:
Release No. 34-37832
File Number: 3-9168
Date: Respondents:
Release No. IA-1594
File Number: 3-9166
Date: Respondents:
Release No. 34-37834
File Number: 3-9170
Date: Respondents:
Release No. 33-7358
File Number: 3-9169
Date: Respondents:
Release No. 34-37804
File Number: 3-9014
Date: Respondents:
Release No. 34-37819
Date: Respondents:
Release No. 34-37820
File Number: 3-8981
Date: Respondents:
Release No. 34-37821
File Number: 3-9034
Date: Respondents:
Release No. 34-37822
Date: Respondents:
Release No. 34-37814
File Number: 3-9163
Date: Respondents:
Release No. 33-7357
Date: Respondents:
Release No. 34-37798
Date: Respondents:
Release No. 34-37791
Date: Respondents:
Release No. 34-37785
File Number: 3-8698
Date: Respondents:
Release No. 33-7352
File Number: 3-9138
Date: Respondents:
Release No. 33-7353
File Number: 3-9139
Date: Respondents:
Release No. 33-7354
File Number: 3-9118
Date: Respondents:
Release No. 34-37775
File Number: 3-9050
Date: Respondents:
Release No. 33-7347
Date: Respondents:
Release No. 33-7348
File Number: 3-9121
Date: Respondents:
Release No. 33-7343
File Number: 3-9116
Date: Respondents:
Release No. 33-7345
File Number: 3-9118
Date: Respondents:
Release No. 34-37754
File Number: 3-9122
Date: Respondents:
Release No. 33-7344
File Number: 3-9117
Date: Respondents:
Release No. 34-37747
File Number: 3-9115
Date: Respondents:
Release No. 34-37749
File Number: 3-9127
Date: Respondents:
Release No. 34-37760
Date: Respondents:
Release No. 34-37761
File Number: 3-9131
Date: Respondents:
Release No. 34-3776
File Number: 3-9134
Date: Respondents:
Release No. 34-37765
File Number: 3-9135
Date: Respondents:
Release No. 34-37766
File Number: 3-9136
Date: Respondents:
Release No. IA-1588
File Number: 3-9128
Date: Respondents:
Release No. IA-1589
File Number: 3-9133
Date: Respondents:
Release No. 33-7346
File Number: 3-9119
Date: Respondents:
Release No. 33-7349
File Number: 3-9129
Date: Respondents:
Release No. 34-37755
File Number: 3-9123
Date: Respondents:
Release No. 34-37756
File Number: 3-9124
Date: Respondents:
Release No. 34-37757
File Number: 3-9125
Date: Respondents:
Release No. 34-37758
File Number: 3-9126
Date: Respondents:
Release No. 34-37762
File Number: 3-9132
Date: Respondents:
Release No. 34-37768
File Number: 3-9137
Date: Respondents:
Release No. 34-377737
File Number: 3-9106
Date: Respondents:
Release No. 34-37738
File Number: 3-9108
Date: Respondents:
Release No. 34-37741
File Number: 3-9112
Date: Respondents:
Release No. 34-37742
File Number: 3-9113
Date: Respondents:
Release No. IA-1584
File Number: 3-9107
Date: Respondents:
Release No. IA-1585
File Number: 3-9109
Date: Respondents:
Release No. 33-7341
File Number: 3-9110
Date: Respondents:
Release No. 33-7342
File Number: 3-9111
Date: Respondents:
Release No. 34-37743
File Number: 3-9114
Date: Respondents:
Release No. IA-1586
File Number: 3-8766
Date: Respondents:
Release No. 34-37727
File Number: 3-9099
Date: Respondents:
Release No. 33-7337
Date: Respondents:
Release No. 33-7338
File Number: 3-9101
Date: Respondents:
Release No. 34-37730
File Number: 3-9102
Date: Respondents:
Release No. 34-37733
File Number: 3-9103
Date: Respondents:
Release No. 33-7339