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. 34-47107
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