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. 34-42275
File Number: 3-10123
Date: Respondents:
Release No. 34-42276
File Number: 3-10124
Date: Respondents:
Release No. 34-42277
File Number: 3-10125
Date: Respondents:
Release No. 34-42278
File Number: 3-10126
Date: Respondents:
Release No. IA-1848
File Number: 3-10121
Date: Respondents:
Release No. IA-1849
File Number: 3-10122
Date: Respondents:
Release No. 34-42261
File Number: 3-10064
Date: Respondents:
Release No. 34-42262
File Number: 3-9989
Date: Respondents:
Release No. 34-42243, 33-7785
File Number: 3-10118
Date: Respondents:
Release No. 34-42244, 33-7786
File Number: 3-10119
Date: Respondents:
Release No. 34-42245
File Number: 3-10120
Date: Respondents:
Release No. 34-42237
File Number: 3-10018
Date: Respondents:
Release No. 34-42229, AAER-1212
File Number: 3-10117
Date: Respondents:
Release No. 34-42234
Date: Respondents:
Release No. 33-7783
File Number: 3-10114
Date: Respondents:
Release No. 33-7784
File Number: 3-10115
Date: Respondents:
Release No. 34-42211
File Number: 3-10056
Date: Respondents:
Release No. 34-42206
File Number: 10b-5
Date: Respondents:
Release No. 34-42204
File Number: 3-10110
Date: Respondents:
Release No. 34-42199, 33-7782, AAER-1211
File Number: 3-10045
Date: Respondents:
Release No. 34-42196
File Number: 3-10108
Date: Respondents:
Release No. 34-42197
File Number: 3-9542
Date: Respondents:
Release No. 34-42181
File Number: 3-9654
Date: Respondents:
Release No. 34-42182
File Number: 3-9654
Date: Respondents:
Release No. 33-7781
File Number: 3-9367
Date: Respondents:
Release No. 34-42172
File Number: 3-9854
Date: Respondents:
Release No. 33-7780
File Number: 3-10107
Date: Respondents:
Release No. 34-42157, AAER-1210
File Number: 3-10104
Date: Respondents:
Release No. 34-42158
File Number: 3-10105
Date: Respondents:
Release No. 33-7779
File Number: 3-10103
Date: Respondents:
Release No. 33-7776
File Number: 3-10101
Date: Respondents:
Release No. 33-7777
File Number: 3-10102
Date: Respondents:
Release No. 33-7778
Date: Respondents:
Release No. 34-42140
File Number: 3-9739
Date: Respondents:
Release No. 34-42139, AAER-1208
File Number: 3-10096
Date: Respondents:
Release No. 34-42124, AAER-1205
File Number: 3-10094
Date: Respondents:
Release No. 34-42125
Date: Respondents:
Release No. 34-42109, AAER-1201
File Number: 3-9952
Date: Respondents:
Release No. 34-42096, AAER-1202
File Number: 3-9793
Date: Respondents:
Release No. 34-42097
File Number: 3-10090
Date: Respondents:
Release No. 34-42103
Date: Respondents:
Release No. 34-42104
Date: Respondents:
Release No. 34-42105
File Number: 3-9168
Date: Respondents:
Release No. 34-42106
File Number: 3-10091
Date: Respondents:
Release No. 34-42107
File Number: 3-10092
Date: Respondents:
Release No. 34-42079, AAER-1198
File Number: 3-9846
Date: Respondents:
Release No. 34-42080, AAER-1199
File Number: 3-9846
Date: Respondents:
Release No. 34-42082, AAER-1200
File Number: 3-9846
Date: Respondents:
Release No. 34-42083
File Number: 3-10087
Date: Respondents:
Release No. IA-1844
File Number: 3-9888
Date: Respondents:
Release No. 34-42084
File Number: 3-10088
Date: Respondents:
Release No. 34-42085
File Number: 3-10089
Date: Respondents:
Release No. 34-42066
File Number: 3-10086
Date: Respondents:
Release No. 34-41069
File Number: 3-9991
Date: Respondents:
Release No. 34-42062
File Number: 3-9327
Date: Respondents:
Release No. 34-42063
File Number: 3-9327
Date: Respondents:
Release No. 34-42064
File Number: 3-9327
Date: Respondents:
Release No. 34-42065
File Number: 3-9992
Date: Respondents:
Release No. 34-42059
File Number: 3-8575
Date: Respondents:
Release No. 34-42045, AAER-1194
File Number: 3-10083
Date: Respondents:
Release No. 34-42046, AAER-1195
File Number: 3-10084
Date: Respondents:
Release No. 34-42047, AAER-1196
File Number: 3-10085
Date: Respondents:
Release No. 33-7756
File Number: 3-10080
Date: Respondents:
Release No. 33-7757
File Number: 3-10081
Date: Respondents:
Release No. 33-7758
File Number: 3-10082
Date: Respondents:
Release No. 34-42030, AAER-1193
File Number: 3-9586
Date: Respondents:
Release No. 34-42031, AAER-1192
File Number: 3-10079
Date: Respondents:
Release No. 34-42021, AAER-1190
File Number: 3-10077
Date: Respondents:
Release No. 34-42022, AAER-1191
File Number: 3-10078
Date: Respondents:
Release No. 33-7753, 34-42000
Date: Respondents:
Release No. 34-41976
Date: Respondents:
Release No. IA-1842
File Number: 3-10073
Date: Respondents:
Release No. IA-1843
File Number: 3-10074
Date: Respondents:
Release No. IA-1838
File Number: 3-10053
Date: Respondents:
Release No. IA-1839
File Number: 3-9734
Date: Respondents:
Release No. IA-1840
File Number: 3-10062
Date: Respondents:
Release No. IA-1841
File Number: 3-10072
Date: Respondents:
Release No. 33-7747
File Number: 3-9896
Date: Respondents:
Release No. 33-7749
File Number: 3-9893
Date: Respondents:
Release No. 34-41949
File Number: 3-10054
Date: Respondents:
Release No. 34-41950
Date: Respondents:
Release No. 34-41951
File Number: 3-10056
Date: Respondents:
Release No. 34-41952
File Number: 3-10057
Date: Respondents:
Release No. 34-41953
File Number: 3-10058
Date: Respondents:
Release No. 34-41954
Date: Respondents:
Release No. 34-41955
Date: Respondents:
Release No. 34-41956
File Number: 3-10061
Date: Respondents:
Release No. 34-41957
File Number: 3-10063
Date: Respondents:
Release No. 34-41958
Date: Respondents:
Release No. 34-41959
File Number: 3-10065
Date: Respondents:
Release No. 34-41960
File Number: 3-10066
Date: Respondents:
Release No. 34-41962
Date: Respondents:
Release No. 34-41963
File Number: 3-10068
Date: Respondents:
Release No. 34-41964
File Number: 3-10069
Date: Respondents:
Release No. 34-41965
File Number: 3-10070
Date: Respondents:
Release No. 34-41966
File Number: 3-10071
Date: Respondents:
Release No. IA-1837
File Number: 3-9782
Date: Respondents:
Release No. 34-41940
File Number: 3-10047
Date: Respondents:
Release No. 34-41941
File Number: 3-10048
Date: Respondents:
Release No. 33-7746
File Number: 3-10051