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. IA-2207
File Number: 3-11365
Date: Respondents:
Release No. 34-49005
File Number: 3-11366
Date: Respondents:
Release No. 34-49006
File Number: 3-11367
Date: Respondents:
Release No. 34-49007
File Number: 3-11368
Date: Respondents:
Release No. 34-48974
File Number: 3-11364
Date: Respondents:
Release No. 34-48968
File Number: 3-11161
Date: Respondents:
Release No. 34-48961, AAER-1929
File Number: 3-11362
Date: Respondents:
Release No. 34-48962, AAER-1930
File Number: 3-11363
Date: Respondents:
Release No. IA-2205, IC-26312, IA-2205A
File Number: 3-11359
Date: Respondents:
Release No. 34-48956
File Number: 3-11361
Date: Respondents:
Release No. 34-48951, AAER-1927
File Number: 3-11360
Date: Respondents:
Release No. IA-2203
File Number: 3-11357
Date: Respondents:
Release No. 34-48916
File Number: 3-11356
Date: Respondents:
Release No. 33-8342, 34-48899, IA-2198
File Number: 3-9042
Date: Respondents:
Release No. IA-2201, IC-26291
File Number: 3-11352
Date: Respondents:
Release No. 33-8346, IC-26290, 33-8346A
File Number: 3-11351
Date: Respondents:
Release No. 34-48906, AAER-1921
File Number: 3-11353
Date: Respondents:
Release No. 34-48905
File Number: 3-11350
Date: Respondents:
Release No. 34-48907
File Number: 3-11354
Date: Respondents:
Release No. 34-48900, IA-2199
File Number: 3-11349
Date: Respondents:
Release No. 34-48901, AAER-1920
File Number: 3-9568
Date: Respondents:
Release No. 34-48895
File Number: 3-10977
Date: Respondents:
Release No. 34-48873
File Number: 3-11283
Date: Respondents:
Release No. 34-48870, IA-2197
File Number: 3-11348
Date: Respondents:
Release No. 34-48856
File Number: 3-11279
Date: Respondents:
Release No. 34-48862
File Number: 3-11347
Date: Respondents:
Release No. 34-48849
File Number: 3-11321
Date: Respondents:
Release No. 34-48850
File Number: 3-11247
Date: Respondents:
Release No. 34-48852
File Number: 3-11345
Date: Respondents:
Release No. 33-8341, 34-48853
Date: Respondents:
Release No. 34-48824, IA-2195
File Number: 3-11342
Date: Respondents:
Release No. 34-48826
File Number: 3-11343
Date: Respondents:
Release No. 34-48830, IA-2196
File Number: 3-11344
Date: Respondents:
Release No. IA-2194
File Number: 3-11341
Date: Respondents:
Release No. IA-2193
File Number: 3-11340
Date: Respondents:
Release No. 33-8339
File Number: 3-11335
Date: Respondents:
Release No. 34-48790
File Number: 3-11336
Date: Respondents:
Release No. 34-48792
File Number: 3-11337
Date: Respondents:
Release No. 34-48793
File Number: 3-11338
Date: Respondents:
Release No. 34-48794
File Number: 3-11339
Date: Respondents:
Release No. 33-8336, 34-48776
File Number: 3-11331
Date: Respondents:
Release No. 33-8337, 34-48777
File Number: 3-11332
Date: Respondents:
Release No. IA-2192, IC-26255
File Number: 3-11317
Date: Respondents:
Release No. 33-8338, AAER-1911
File Number: 3-11333
Date: Respondents:
Release No. 34-48783, AAER-1913
File Number: 3-11334
Date: Respondents:
Release No. 34-48770, AAER-1910
Date: Respondents:
Release No. 34-48753, IA-2191
File Number: 3-11213
Date: Respondents:
Release No. IA-2190
File Number: 3-11276
Date: Respondents:
Release No. 34-48748
File Number: 3-11328
Date: Respondents:
Release No. 34-48747
File Number: 3-11287
Date: Respondents:
Release No. 34-48739
File Number: 3-11326
Date: Respondents:
Release No. 34-48741
File Number: 3-11327
Date: Respondents:
Release No. 34-48724, IA-2188
File Number: 3-11322
Date: Respondents:
Release No. 34-48725, IA-2189
File Number: 3-11323
Date: Respondents:
Release No. 34-48732
File Number: 3-11325
Date: Respondents:
Release No. 34-48718
File Number: 3-11320
Date: Respondents:
Release No. IA-2186
File Number: 3-11318
Date: Respondents:
Release No. 34-48715
File Number: 3-11319
Date: Respondents:
Release No. IA-2185, IC-26232
File Number: 3-11317
Date: Respondents:
Release No. 34-48703
File Number: 3-11315
Date: Respondents:
Release No. 34-48704
File Number: 3-11185
Date: Respondents:
Release No. 34-48705
File Number: 3-11316
Date: Respondents:
Release No. 33-8305
File Number: 3-11307
Date: Respondents:
Release No. 33-8306
File Number: 3-11308
Date: Respondents:
Release No. 33-8307
File Number: 3-11309
Date: Respondents:
Release No. 33-8308
File Number: 3-11310
Date: Respondents:
Release No. 33-8309
File Number: 3-11311
Date: Respondents:
Release No. 33-8310
File Number: 3-11312
Date: Respondents:
Release No. 33-8311
File Number: 3-11313
Date: Respondents:
Release No. 34-48679, AAER-1905
File Number: 3-11306
Date: Respondents:
Release No. 34-48682, AAER-1906
File Number: 3-11314
Date: Respondents:
Release No. 34-48661
File Number: 3-11305
Date: Respondents:
Release No. 34-48654, AAER-1899
File Number: 3-9045
Date: Respondents:
Release No. 34-48655, AAER-1900
File Number: 3-9045
Date: Respondents:
Release No. 34-48638, AAER-1898
File Number: 3-11301
Date: Respondents:
Release No. 34-48642, IA-2182
File Number: 3-11302
Date: Respondents:
Release No. 33-8304, 34-48643, IA-2183, IC-26209
File Number: 3-11303
Date: Respondents:
Release No. 34-48645, IA-2184
File Number: 3-11304
Date: Respondents:
Release No. 34-48628
File Number: 3-11297
Date: Respondents:
Release No. 34-48629, AAER-1897
File Number: 3-11298
Date: Respondents:
Release No. 34-48633
File Number: 3-11299
Date: Respondents:
Release No. 34-48635
File Number: 3-11300
Date: Respondents:
Release No. 34-48608, AAER-1892
Date: Respondents:
Release No. 33-8301
Date: Respondents:
Release No. 33-8302, 34-48602
Date: Respondents:
Release No. 34-48593
File Number: 3-11294
Date: Respondents:
Release No. 33-8300, 34-48594, AAER-1889
File Number: 3-11295
Date: Respondents:
Release No. 33-8298, 34-48588, IA-2180, IC-26201
File Number: 3-11292
Date: Respondents:
Release No. 33-8299, 34-48589
File Number: 3-11293
Date: Respondents:
Release No. 34-48578, AAER-1884
File Number: 3-11290
Date: Respondents:
Release No. 34-48580, AAER-1885
File Number: 3-11291
Date: Respondents:
Release No. 34-48566
File Number: 3-11282
Date: Respondents:
Release No. 34-48567
File Number: 3-11283
Date: Respondents:
Release No. IA-2178
File Number: 3-11286
Date: Respondents:
Release No. 34-48570, AAER-1880
File Number: 3-11284
Date: Respondents:
Release No. 34-48571, AAER-1881
File Number: 3-11285
Date: Respondents:
Release No. 34-48427A
File Number: 3-11239
Date: Respondents:
Release No. 34-48572
File Number: 3-11287
Date: Respondents:
Release No. 34-48574
File Number: 3-11288
Date: Respondents:
Release No. 33-8296, 34-48575, AAER-1882
File Number: 3-11289