Administrative Proceedings
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
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|
---|---|
Date: |
Respondents:
Release No.
34-47107
File Number:
3-8531
|
Date: |
Respondents:
Release No.
34-47102
File Number:
3-10777
|
Date: |
Respondents:
Release No.
IA-2095
File Number:
3-10996
|
Date: |
Respondents:
Release No.
34-47079
File Number:
3-10997
|
Date: |
Respondents:
Release No.
33-8172, 34-47083, AAER-1696
File Number:
3-10998
|
Date: |
Respondents:
Release No.
34-47063, IA-2093
File Number:
3-10989
|
Date: |
Respondents:
Release No.
34-47064, IA-2094
File Number:
3-10990
|
Date: |
Respondents:
Release No.
34-47070
File Number:
3-10991
|
Date: |
Respondents:
Release No.
34-47071
File Number:
3-10992
|
Date: |
Respondents:
Release No.
34-47072
File Number:
3-10993
|
Date: |
Respondents:
Release No.
34-47073
File Number:
3-10994
|
Date: |
Respondents:
Release No.
34-47074
File Number:
3-10995
|
Date: |
Respondents:
Release No.
33-8165, 34-47037
File Number:
3-9933
|
Date: |
Respondents:
Release No.
33-8166, 34-47038
File Number:
3-9933
|
Date: |
Respondents:
Release No.
33-8167, 34-47039
File Number:
3-9933
|
Date: |
Respondents:
Release No.
33-8168, 34-47040
File Number:
3-9933
|
Date: |
Respondents:
Release No.
33-8169, 34-47041
File Number:
3-9933
|
Date: |
Respondents:
Release No.
34-47042
File Number:
3-10978
|
Date: |
Respondents:
Release No.
34-47043
File Number:
3-10979
|
Date: |
Respondents:
Release No.
34-47044
File Number:
3-10980
|
Date: |
Respondents:
Release No.
34-47045
File Number:
3-10981
|
Date: |
Respondents:
Release No.
34-47046
File Number:
3-10982
|
Date: |
Respondents:
Release No.
34-47047
File Number:
3-10983
|
Date: |
Respondents:
Release No.
34-47048
File Number:
3-10984
|
Date: |
Respondents:
Release No.
34-47049
File Number:
3-10985
|
Date: |
Respondents:
Release No.
34-47050
File Number:
3-10986
|
Date: |
Respondents:
Release No.
34-47051
File Number:
3-10987
|
Date: |
Respondents:
Release No.
34-47058
File Number:
3-10988
|
Date: |
Respondents:
Release No.
34-47000, AAER-1691
File Number:
3-10973
|
Date: |
Respondents:
Release No.
34-47002
File Number:
3-10975
|
Date: |
Respondents:
Release No.
34-47004, AAER-1693
|
Date: |
Respondents:
Release No.
34-47005
|
Date: |
Respondents:
Release No.
33-8163, 34-47001, AAER-1692
File Number:
3-10974
|
Date: |
Respondents:
Release No.
34-46991
File Number:
3-10518
|
Date: |
Respondents:
Release No.
34-46993
File Number:
3-10972
|
Date: |
Respondents:
Release No.
IA-2092
File Number:
3-10971
|
Date: |
Respondents:
Release No.
34-46988, AAER-1689
File Number:
3-10970
|
Date: |
Respondents:
Release No.
33-8161, 34-46987
File Number:
3-10843
|
Date: |
Respondents:
Release No.
34-46979, AAER-1687
File Number:
3-10969
|
Date: |
Respondents:
Release No.
33-8159, 34-46978
File Number:
3-10968
|
Date: |
Respondents:
Release No.
34-46969, IA-2089
File Number:
3-10966
|
Date: |
Respondents:
Release No.
34-46970, IA-2090
File Number:
3-10967
|
Date: |
Respondents:
Release No.
34-46952
File Number:
3-10960
|
Date: |
Respondents:
Release No.
34-46953, AAER-1680
File Number:
3-10961
|
Date: |
Respondents:
Release No.
34-46954, AAER-1681
File Number:
3-10962
|
Date: |
Respondents:
Release No.
33-8156, 34-46962, AAER-1684
File Number:
3-10964
|
Date: |
Respondents:
Release No.
33-8157, 34-46963, AAER-1685
File Number:
3-10965
|
Date: |
Respondents:
Release No.
33-8158, 34-46964, AAER-1686
File Number:
3-10963
|
Date: |
Respondents:
Release No.
33-8155, 34-46955
File Number:
3-10545
|
Date: |
Respondents:
Release No.
34-46950
File Number:
3-10886
|
Date: |
Respondents:
Release No.
34-46945
File Number:
3-10959
|
Date: |
Respondents:
Release No.
34-46937
|
Date: |
Respondents:
Release No.
33-8152, IC-25837
File Number:
3-10956
|
Date: |
Respondents:
Release No.
IA-2087, 33-8153, 34-46928
File Number:
3-46928
|
Date: |
Respondents:
Release No.
34-46907, AAER-1675
File Number:
3-10779
|
Date: |
Respondents:
Release No.
34-46908, AAER-1676
File Number:
3-10953
|
Date: |
Respondents:
Release No.
34-46909, AAER-1677
File Number:
3-10954
|
Date: |
Respondents:
Release No.
34-46910
File Number:
3-10955
|
Date: |
Respondents:
Release No.
34-46895
File Number:
3-10948
|
Date: |
Respondents:
Release No.
34-46896
File Number:
3-10949
|
Date: |
Respondents:
Release No.
34-46897
File Number:
3-10950
|
Date: |
Respondents:
Release No.
34-46899
File Number:
3-10951
|
Date: |
Respondents:
Release No.
34-46900
File Number:
3-10952
|
Date: |
Respondents:
Release No.
34-46864
File Number:
3-10939
|
Date: |
Respondents:
Release No.
34-46865
File Number:
3-10940
|
Date: |
Respondents:
Release No.
34-46866
File Number:
3-10941
|
Date: |
Respondents:
Release No.
34-46867
File Number:
3-10942
|
Date: |
Respondents:
Release No.
34-46870, AAER-1670
File Number:
3-10943
|
Date: |
Respondents:
Release No.
33-8149, 34-46863, IA-2083
File Number:
3-10829
|
Date: |
Respondents:
Release No.
34-46871, IA-2084
File Number:
3-10945
|
Date: |
Respondents:
Release No.
34-46873, IA-2085
File Number:
3-10946
|
Date: |
Respondents:
Release No.
34-46880, AAER-1672
File Number:
3-10947
|
Date: |
Respondents:
Release No.
34-46854
File Number:
3-10938
|
Date: |
Respondents:
Release No.
34-46856
File Number:
3-10890
|
Date: |
Respondents:
Release No.
34-46842, IA-2082
File Number:
3-10923
|
Date: |
Respondents:
Release No.
34-46845, AAER-1667
File Number:
3-10937
|
Date: |
Respondents:
Release No.
34-46836
File Number:
3-10934
|
Date: |
Respondents:
Release No.
34-46837
File Number:
3-10935
|
Date: |
Respondents:
Release No.
33-8148, 34-46838
File Number:
3-10936
|
Date: |
Respondents:
Release No.
33-8146, 34-46821, AAER-1661
|
Date: |
Respondents:
Release No.
34-46813, AAER-1660
File Number:
3-1660
|
Date: |
Respondents:
Release No.
34-46791
File Number:
3-10893
|
Date: |
Respondents:
Release No.
IA-2078
File Number:
3-10929
|
Date: |
Respondents:
Release No.
IA-2079
File Number:
3-10930
|
Date: |
Respondents:
Release No.
IA-2080
File Number:
3-10931
|
Date: |
Respondents:
Release No.
34-46777, AAER-1659
File Number:
3-10718
|
Date: |
Respondents:
Release No.
34-46770
File Number:
3-10926
|
Date: |
Respondents:
Release No.
34-46773, IA-2077
File Number:
3-10927
|
Date: |
Respondents:
Release No.
34-46775
File Number:
3-10928
|
Date: |
Respondents:
Release No.
33-8143, 34-46766
File Number:
3-10231
|
Date: |
Respondents:
Release No.
34-46754
File Number:
3-10925
|
Date: |
Respondents:
Release No.
IA-2074
File Number:
3-10891
|
Date: |
Respondents:
Release No.
34-46748, IA-2073
File Number:
3-10923
|
Date: |
Respondents:
Release No.
34-46749
File Number:
3-10924
|
Date: |
Respondents:
Release No.
33-8141, 34-46736
File Number:
3-10922
|
Date: |
Respondents:
Release No.
IA-2072
File Number:
3-10698
|
Date: |
Respondents:
Release No.
IA-2069
File Number:
3-10919
|
Date: |
Respondents:
Release No.
IA-2070
File Number:
3-10920
|
Date: |
Respondents:
Release No.
IA-2071
File Number:
3-10921
|
Date: |
Respondents:
Release No.
34-46715
File Number:
3-10900
|