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
|
|
---|---|
Date: |
Respondents:
Release No.
34-53035
See Also:
Proposed Distribution Plan
File Number:
3-11940
|
Date: |
Respondents:
Release No.
34-53041
File Number:
3-11868
|
Date: |
Respondents:
Release No.
34-53042
File Number:
3-11868
|
Date: |
Respondents:
Release No.
34-53028
|
Date: |
Respondents:
Release No.
33-8650, 34-53029, IA-2470
|
Date: |
Respondents:
Release No.
34-53033
|
Date: |
Respondents:
Release No.
33-8649
|
Date: |
Respondents:
Release No.
34-53023, IA-2468
|
Date: |
Respondents:
Release No.
34-53025
See Also:
Proposed Fair Fund Distribution Plan
Comments received are available:
https://www.sec.gov/litigation/admin/311445.shtml
File Number:
3-11445
|
Date: |
Respondents:
Release No.
33-8648, 34-53019, IA-2467, IC-27198
|
Date: |
Respondents:
Release No.
33-8645, 34-53009, IA-2465, IC-27196
|
Date: |
Respondents:
Release No.
33-8646, 34-53011, IA-2466, IC-27197
|
Date: |
Respondents:
Release No.
33-8647, 34-53012, AAER-2358
|
Date: |
Respondents:
Release No.
34-53010
See Also:
Order
|
Date: |
Respondents:
Release No.
34-52988
|
Date: |
Respondents:
Release No.
34-52996
|
Date: |
Respondents:
Release No.
34-52962, IA-2461
|
Date: |
Respondents:
Release No.
34-52963, IA-2462
See Also:
Order
|
Date: |
Respondents:
Release No.
34-52964, IA-2463
See Also:
Order
File Number:
3-12129
|
Date: |
Respondents:
Release No.
34-52973, IA-2464
|
Date: |
Respondents:
Release No.
34-52956
|
Date: |
Respondents:
Release No.
34-52959, AAER-2354
|
Date: |
Respondents:
Release No.
33-8643, 34-52945, IA-2460
See Also:
Inc.
File Number:
3-11246
|
Date: |
Respondents:
Release No.
34-52946
|
Date: |
Respondents:
Release No.
34-52941
File Number:
3-12122
|
Date: |
Respondents:
Release No.
34-52942
File Number:
3-12123
|
Date: |
Respondents:
Release No.
34-52943
File Number:
3-12124
|
Date: |
Respondents:
Release No.
34-52944
|
Date: |
Respondents:
Release No.
34-52933
|
Date: |
Respondents:
Release No.
IA-2458, IC-27181
File Number:
3-11524
|
Date: |
Respondents:
Release No.
34-52884
|
Date: |
Respondents:
Release No.
34-52877
|
Date: |
Respondents:
Release No.
34-52878, AAER-2350
|
Date: |
Respondents:
Release No.
34-52879, IA-2456, IC-27175
|
Date: |
Respondents:
Release No.
34-52880, IA-2457, IC-27176
|
Date: |
Respondents:
Release No.
IA-2451, IC-27170
File Number:
3-12114
|
Date: |
Respondents:
Release No.
IA-2452, IC-27171
File Number:
3-12114
|
Date: |
Respondents:
Release No.
33-8637, 34-52861
|
Date: |
Respondents:
Release No.
33-8638, 34-52862
|
Date: |
Respondents:
Release No.
33-8639, 34-52863, IA-2453, IC- 27172
File Number:
3-12116
|
Date: |
Respondents:
Release No.
34-52864, AAER-2348
|
Date: |
Respondents:
Release No.
34-52865
|
Date: |
Respondents:
Release No.
IA-2454, IC-27174
File Number:
3-12118
|
Date: |
Respondents:
Release No.
33-8640, 34-52873, IA-2455
|
Date: |
Respondents:
Release No.
34-52847, IA-2449
|
Date: |
Respondents:
Release No.
IA-2450
File Number:
3-12113
|
Date: |
Respondents:
Release No.
34-52839, IA-2448, IC-27167
|
Date: |
Respondents:
Release No.
34-52841
|
Date: |
Respondents:
Release No.
IA-2447
See Also:
the Order in this matter
File Number:
3-12109
|
Date: |
Respondents:
Release No.
34-52828
See Also:
the Order in this matter
|
Date: |
Respondents:
Release No.
34-52829
See Also:
the Order in this matter
|
Date: |
Respondents:
Release No.
34-52833
|
Date: |
Respondents:
Release No.
34-52819
|
Date: |
Respondents:
Release No.
33-8636, 34-52810
File Number:
3-11692
|
Date: |
Respondents:
Release No.
34-52813, AAER-2347
|
Date: |
Respondents:
Release No.
34-52791
|
Date: |
Respondents:
Release No.
34-52792, AAER-2346
|
Date: |
Respondents:
Release No.
34-52793
|
Date: |
Respondents:
Release No.
34-52788
|
Date: |
Respondents:
Release No.
34-52776
|
Date: |
Respondents:
Release No.
34-52778
|
Date: |
Respondents:
Release No.
34-52771
|
Date: |
Respondents:
Release No.
34-52773
|
Date: |
Respondents:
Release No.
34-52759
|
Date: |
Respondents:
Release No.
34-52762
|
Date: |
Respondents:
Release No.
34-52763, AAER-2344
|
Date: |
Respondents:
Release No.
34-52751
See Also:
Chart
,
Chart
,
the Order in this matter
,
the Order in this matter
|
Date: |
Respondents:
Release No.
34-52742
|
Date: |
Respondents:
Release No.
34-52744
|
Date: |
Respondents:
Release No.
33-8634, 34-52735
|
Date: |
Respondents:
Release No.
34-52734, IA-2446
|
Date: |
Respondents:
Release No.
34-52737
|
Date: |
Respondents:
Release No.
34-52726, AAER-2343
|
Date: |
Respondents:
Release No.
34-52728
|
Date: |
Respondents:
Release No.
34-52702
|
Date: |
Respondents:
Release No.
34-52703
|
Date: |
Respondents:
Release No.
34-52704
See Also:
the Order in this matter
|
Date: |
Respondents:
Release No.
34-52687
|
Date: |
Respondents:
Release No.
33-8631
|
Date: |
Respondents:
Release No.
33-8632, 34-52677
|
Date: |
Respondents:
Release No.
IA-2445
File Number:
3-12028
|
Date: |
Respondents:
Release No.
34-52678
|
Date: |
Respondents:
Release No.
34-52661
|
Date: |
Respondents:
Release No.
33-8630, 34-52662
|
Date: |
Respondents:
Release No.
34-52644
|
Date: |
Respondents:
Release No.
33-8629
|
Date: |
Respondents:
Release No.
34-52636
|
Date: |
Respondents:
Release No.
34-52641
See Also:
the Order in this matter
|
Date: |
Respondents:
Release No.
34-52622
|
Date: |
Respondents:
Release No.
34-52623
|
Date: |
Respondents:
Release No.
34-52626, IA-2444
|
Date: |
Respondents:
Release No.
34-52627
|
Date: |
Respondents:
Release No.
34-52616, IA-2443
|
Date: |
Respondents:
Release No.
34-52617
|
Date: |
Respondents:
Release No.
33-8625, 34-52608
|
Date: |
Respondents:
Release No.
33-8626, 34-52609
|
Date: |
Respondents:
Release No.
33-8627, 34-52610
|
Date: |
Respondents:
Release No.
34-52597, AAER-2335
|
Date: |
Respondents:
Release No.
34-52599
|
Date: |
Respondents:
Release No.
34-52584
|