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. 34-39506
File Number: 3-9521
Date: Respondents:
Release No. 34-39507
File Number: 3-9522
Date: Respondents:
Release No. 33-7493, 34-39508
Date: Respondents:
Release No. 33-7492, 34-39501
File Number: 3-8703
Date: Respondents:
Release No. 33-7490, IA-1689
File Number: 3-9517
Date: Respondents:
Release No. 34-39485
File Number: 3-9516
Date: Respondents:
Release No. 34-39486
File Number: 3-9518
Date: Respondents:
Release No. 34-39472
File Number: 3-9515
Date: Respondents:
Release No. IA-1688
File Number: 3-9514
Date: Respondents:
Release No. 34-39471
Date: Respondents:
Release No. 34-39463
File Number: 3-9511
Date: Respondents:
Release No. 34-39464
File Number: 3-9512
Date: Respondents:
Release No. 34-39447, AAER-995
Date: Respondents:
Release No. 33-7484, 34-39424
File Number: 3-9503
Date: Respondents:
Release No. 33-7485, 34-39425
File Number: 3-9504
Date: Respondents:
Release No. 33-7486, 34-39426
File Number: 3-9505
Date: Respondents:
Release No. 33-7487, 34-39427
File Number: 3-9506
Date: Respondents:
Release No. 33-7488, 34-39428
File Number: 3-9507
Date: Respondents:
Release No. 33-7489, 34-39429
File Number: 3-9508
Date: Respondents:
Release No. 34-39431
File Number: 3-9509
Date: Respondents:
Release No. 34-39430
File Number: 3-9385
Date: Respondents:
Release No. 34-39432
File Number: 3-9385
Date: Respondents:
Release No. 34-39400, AAER-994
File Number: 3-9500
Date: Respondents:
Release No. 33-7483, 34-39399
File Number: 3-9499
Date: Respondents:
Release No. IA-1683, 34-39397
File Number: 3-9497
Date: Respondents:
Release No. 33-7482, 34-39398
File Number: 3-9498
Date: Respondents:
Release No. 33-7480, 34-39388
File Number: 3-9495
Date: Respondents:
Release No. 33-7481, 34-39396
File Number: 3-9496
Date: Respondents:
Release No. 34-39377, AAER-992
File Number: 3-9493
Date: Respondents:
Release No. 33-7477, 34-39375
File Number: 3-9491
Date: Respondents:
Release No. 34-39376, AAER-991
File Number: 3-9492
Date: Respondents:
Release No. 34-39360
File Number: 3-9489
Date: Respondents:
Release No. 34-39362
File Number: 3-9490
Date: Respondents:
Release No. 34-39335
File Number: 3-9125
Date: Respondents:
Release No. 34-39329, AAER-987
File Number: 3-9488
Date: Respondents:
Release No. 33-7474, 34-39310
File Number: 3-9201
Date: Respondents:
Release No. 34-39312
File Number: 3-9484
Date: Respondents:
Release No. 34-39314
File Number: 3-9485
Date: Respondents:
Release No. 33-7473, 34-39293
File Number: 3-9321
Date: Respondents:
Release No. 34-39290
Date: Respondents:
Release No. 34-39283
File Number: 3-9363
Date: Respondents:
Release No. 34-39279, IA-1680
File Number: 3-9482
Date: Respondents:
Release No. 33-7471, 34-39263
File Number: 3-9201
Date: Respondents:
Release No. 33-7469, IA-1678
File Number: 3-9477
Date: Respondents:
Release No. 34-39243
File Number: 3-9370
Date: Respondents:
Release No. 34-39210
File Number: 3-9475
Date: Respondents:
Release No. 34-39212IA-1677
File Number: 3-9476
Date: Respondents:
Release No. 34-39215
Date: Respondents:
Release No. 33-7468, 34-39209
File Number: 3-9125
Date: Respondents:
Release No. 33-7466, 34-39207
File Number: 3-9125
Date: Respondents:
Release No. 33-7467, 34-39208
File Number: 3-9125
Date: Respondents:
Release No. 34-39194AAE-975
File Number: 3-9473
Date: Respondents:
Release No. 34-39156
File Number: 3-9460
Date: Respondents:
Release No. 34-39161
File Number: 3-9463
Date: Respondents:
Release No. 34-39163
File Number: 3-9464
Date: Respondents:
Release No. 34-39164
File Number: 3-9465
Date: Respondents:
Release No. 33-746334-39166AAE-971
File Number: 3-9467
Date: Respondents:
Release No. 33-746434-39167AAE-972
File Number: 3-9468
Date: Respondents:
Release No. AAE-96834-39147
File Number: 3-9450
Date: Respondents:
Release No. AAE-96934-39148
File Number: 3-9451
Date: Respondents:
Release No. 33-746034-39149AAE-970
File Number: 3-9452
Date: Respondents:
Release No. 34-39152
File Number: 3-9455
Date: Respondents:
Release No. IA-1675
File Number: 3-9457
Date: Respondents:
Release No. 34-39155
File Number: 3-9459
Date: Respondents:
Release No. 33-746234-39158
File Number: 3-9461
Date: Respondents:
Release No. 34-39160
File Number: 3-9462
Date: Respondents:
Release No. 34-39165
File Number: 3-9466
Date: Respondents:
Release No. 34-39168
File Number: 3-9470
Date: Respondents:
Release No. 33-746534-39170
Date: Respondents:
Release No. 34-39171
File Number: 3-9472
Date: Respondents:
Release No. 34-39150
File Number: 3-9453
Date: Respondents:
Release No. 34-39151
File Number: 3-9454
Date: Respondents:
Release No. 34-39154
File Number: 3-9458
Date: Respondents:
Release No. 34-39141
File Number: 3-9445
Date: Respondents:
Release No. 33-7458;34-39142
File Number: 3-9446
Date: Respondents:
Release No. 34-39144AAE-967
File Number: 3-9447
Date: Respondents:
Release No. 33-745934-39145IA-1673
File Number: 3-9448
Date: Respondents:
Release No. 34-39146IA-1674
File Number: 3-9449
Date: Respondents:
Release No. 34-39134
Date: Respondents:
Release No. 34-39135
File Number: 3-9441
Date: Respondents:
Release No. 34-39136IA-1671
File Number: 3-9442
Date: Respondents:
Release No. 34-39138
Date: Respondents:
Release No. IA-1672
File Number: 3-9443
Date: Respondents:
Release No. 34-39127
File Number: 3-9434
Date: Respondents:
Release No. 34-39128AAE-965
File Number: 3-9435
Date: Respondents:
Release No. 34-39130
File Number: 3-9436
Date: Respondents:
Release No. 34-39132
File Number: 3-9437
Date: Respondents:
Release No. 33-7457
File Number: 3-9439
Date: Respondents:
Release No. 34-39133
File Number: 3-9438
Date: Respondents:
Release No. 33-7455;34-39121
File Number: 3-9429
Date: Respondents:
Release No. 33-745634-39122
File Number: 3-9430
Date: Respondents:
Release No. 34-39123
File Number: 3-9431
Date: Respondents:
Release No. 34-39124AAE-963
File Number: 3-9432
Date: Respondents:
Release No. 34-39125
File Number: 3-9433
Date: Respondents:
Release No. 34-39118
File Number: 3-9426
Date: Respondents:
Release No. 33-7453;34-39107;IA-1669;IC-22829
File Number: 3-9100
Date: Respondents:
Release No. 34-39102,IA-1668
File Number: 3-9422
Date: Respondents:
Release No. 34-39108
File Number: 3-9423
Date: Respondents:
Release No. 33-7454
File Number: 3-9424
Date: Respondents:
Release No. IA-1670
File Number: 3-9425