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. 34-43772
File Number: 3-10399
Date: Respondents:
Release No. 34-43759
File Number: 3-10141
Date: Respondents:
Release No. 34-43760
File Number: 3-10396
Date: Respondents:
Release No. 34-43761, AAER-1355
File Number: 3-10397
Date: Respondents:
Release No. 34-43764
File Number: 3-10398
Date: Respondents:
Release No. 33-7930
File Number: 3-10396
Date: Respondents:
Release No. 33-7928
File Number: 3-10394
Date: Respondents:
Release No. 33-7929
File Number: 3-9471
Date: Respondents:
Release No. 34-43753
File Number: 3-10395
Date: Respondents:
Release No. IA-1915
File Number: 3-10390
Date: Respondents:
Release No. 34-43724, AAER-1350
File Number: 3-10388
Date: Respondents:
Release No. 34-43725, AAER-1351
File Number: 3-10389
Date: Respondents:
Release No. 33-7927
File Number: 3-9930
Date: Respondents:
Release No. 34-43715, AAER-1353
File Number: 3-10315
Date: Respondents:
Release No. 34-43722, IA-1914
Date: Respondents:
Release No. 34-43708
File Number: 3-10381
Date: Respondents:
Release No. 34-43709
File Number: 3-10382
Date: Respondents:
Release No. 34-43710
File Number: 3-10383
Date: Respondents:
Release No. 34-43711
File Number: 3-10384
Date: Respondents:
Release No. 34-43712
File Number: 3-10385
Date: Respondents:
Release No. 34-43713
File Number: 3-10386
Date: Respondents:
Release No. 33-7926
File Number: 3-9897
Date: Respondents:
Release No. 34-43702
File Number: 3-10380
Date: Respondents:
Release No. 34-43703
File Number: 3-9256
Date: Respondents:
Release No. 34-43693
File Number: 3-10379
Date: Respondents:
Release No. 34-43687
File Number: 3-10378
Date: Respondents:
Release No. 34-43681
File Number: 3-10376
Date: Respondents:
Release No. 34-43682, AAER-1349
File Number: 3-10377
Date: Respondents:
Release No. 33-7925, 34-43669
File Number: 3-10373
Date: Respondents:
Release No. 34-43670
Date: Respondents:
Release No. 34-43672
Date: Respondents:
Release No. 34-43673
Date: Respondents:
Release No. 34-43674
File Number: 3-10375
Date: Respondents:
Release No. 34-43661
File Number: 3-10374
Date: Respondents:
Release No. 33-7924, 34-43662
File Number: 3-9949
Date: Respondents:
Release No. 34-43663
File Number: 3-9949
Date: Respondents:
Release No. 33-7922, 34-43650
File Number: 3-10371
Date: Respondents:
Release No. 34-43649
File Number: 3-10370
Date: Respondents:
Release No. 33-7923, 34-43656
File Number: 3-10372
Date: Respondents:
Release No. 34-43644
File Number: 3-10213
Date: Respondents:
Release No. 34-43633
File Number: 3-10363
Date: Respondents:
Release No. 34-43622, AAER-1348
File Number: 3-10141
Date: Respondents:
Release No. 33-7920, 34-43609, AAER-1346
File Number: 3-10368
Date: Respondents:
Release No. 33-7921, 34-43610, AAER-1347
File Number: 3-10369
Date: Respondents:
Release No. 34-43578
File Number: 3-10367
Date: Respondents:
Release No. 33-7918, 34-43579
File Number: 3-10140
Date: Respondents:
Release No. 34-43570, AAER-1343
File Number: 3-10364
Date: Respondents:
Release No. 33-7916, 34-43571, AAER-1344
File Number: 3-10365
Date: Respondents:
Release No. 33-7917, 34-43572, AAER-1345
File Number: 3-10366
Date: Respondents:
Release No. 34-43569
File Number: 3-8955
Date: Respondents:
Release No. 34-43560
Date: Respondents:
Release No. 33-7914, 34-43561, IA-1908, IC-24738
File Number: 3-10142
Date: Respondents:
Release No. 33-7915, 34-43562, IA-1909, IC-24739
File Number: 3-10142
Date: Respondents:
Release No. 34-43531, AAER-1341
File Number: 3-10357
Date: Respondents:
Release No. 34-43532, AAER-1342
File Number: 3-10358
Date: Respondents:
Release No. 34-43503
File Number: 3-9671
Date: Respondents:
Release No. 34-43497, AAER-1338
File Number: 3-10354
Date: Respondents:
Release No. 34-43498, AAER-1339
Date: Respondents:
Release No. 34-43486
File Number: 3-10353
Date: Respondents:
Release No. 34-43478
File Number: 3-10352
Date: Respondents:
Release No. 34-43472
File Number: 3-10351
Date: Respondents:
Release No. 34-43466
File Number: 3-10350
Date: Respondents:
Release No. 34-43449
File Number: 3-9906
Date: Respondents:
Release No. 34-43450
File Number: 3-9906
Date: Respondents:
Release No. 34-43445, AAER-1334
File Number: 3-10347
Date: Respondents:
Release No. 34-43446, AAER-1336
File Number: 3-10348
Date: Respondents:
Release No. 34-43434
File Number: 3-10206
Date: Respondents:
Release No. 34-43432
File Number: 3-10345
Date: Respondents:
Release No. 34-43433
File Number: 3-10346
Date: Respondents:
Release No. 34-43431
File Number: 3-10150
Date: Respondents:
Release No. 33-7909, 34-43425
Date: Respondents:
Release No. 33-7910, 34-43428
Date: Respondents:
Release No. 34-43422
Date: Respondents:
Release No. 34-43423
File Number: 3-10200
Date: Respondents:
Release No. 34-43416, AAER-1332
File Number: 3-10343
Date: Respondents:
Release No. 34-43385
Date: Respondents:
Release No. 34-43386
File Number: 3-10328
Date: Respondents:
Release No. 34-43388, AAER-1321
File Number: 3-10332
Date: Respondents:
Release No. 34-43389, AAER-1322
File Number: 3-10333
Date: Respondents:
Release No. 34-43390, IA-1903
File Number: 3-10334
Date: Respondents:
Release No. 34-43391, AAER-1323
File Number: 3-10335
Date: Respondents:
Release No. IA-1901
File Number: 3-10329
Date: Respondents:
Release No. IA-1902
File Number: 3-10330
Date: Respondents:
Release No. 33-7904, 34-43387
File Number: 3-10331
Date: Respondents:
Release No. 33-7905, 34-43397
File Number: 3-10338
Date: Respondents:
Release No. 33-7906, 34-43398
File Number: 3-10339
Date: Respondents:
Release No. 33-7907, 34-43399
File Number: 3-10340
Date: Respondents:
Release No. 33-7908, 34-43400
File Number: 3-10341
Date: Respondents:
Release No. 34-43392
File Number: 3-10336
Date: Respondents:
Release No. 34-43393
Date: Respondents:
Release No. 34-43372
File Number: 3-10318
Date: Respondents:
Release No. 34-43373
File Number: 3-10320
Date: Respondents:
Release No. IA-1899, IC-24668
File Number: 3-10319
Date: Respondents:
Release No. 34-43374
File Number: 3-10321
Date: Respondents:
Release No. 34-43375
File Number: 3-10322
Date: Respondents:
Release No. 34-43378
File Number: 3-10323
Date: Respondents:
Release No. 34-43379
File Number: 3-10324
Date: Respondents:
Release No. 34-43381
File Number: 3-10325
Date: Respondents:
Release No. 34-43382
File Number: 3-10326
Date: Respondents:
Release No. 34-43357, AAER-1313
File Number: 3-10311