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.
34-55021, IA-2577
|
Date: |
Respondents:
Release No.
34-55022
See Also:
the Order in this matter
|
Date: |
Respondents:
Release No.
34-55023
|
Date: |
Respondents:
Release No.
34-55024
|
Date: |
Respondents:
Release No.
34-55030, AAER-2529
|
Date: |
Respondents:
Release No.
34-55031, AAER-2530
|
Date: |
Respondents:
Release No.
34-55014
See Also:
the Order in this matter
|
Date: |
Respondents:
Release No.
34-55010
|
Date: |
Respondents:
Release No.
34-54991, IA-2574, 34-54660
See Also:
Opinion: Release No. 34-54660
|
Date: |
Respondents:
Release No.
IA-2575, IC-27606, 33-8764
See Also:
Release No. 33-8764
File Number:
3-12513
|
Date: |
Respondents:
Release No.
34-54993, IC-27607, 33-8764
See Also:
Release No. 33-8764
|
Date: |
Respondents:
Release No.
34-54994, AAER-2528
|
Date: |
Respondents:
Release No.
34-54996
|
Date: |
Respondents:
Release No.
34-54974
|
Date: |
Respondents:
Release No.
34-54975
|
Date: |
Respondents:
Release No.
33-8761, 34-54972
|
Date: |
Respondents:
Release No.
33-8763, IA-2573
|
Date: |
Respondents:
Release No.
34-54962
|
Date: |
Respondents:
Release No.
34-54950
|
Date: |
Respondents:
Release No.
34-54951
|
Date: |
Respondents:
Release No.
IA-2571
See Also:
Litigation Release No. 19946
File Number:
3-12508
|
Date: |
Respondents:
Release No.
34-54954, IA-2572, IC-27601
|
Date: |
Respondents:
Release No.
34-54945, AAER-2525
|
Date: |
Respondents:
Release No.
34-54937
|
Date: |
Respondents:
Release No.
34-54939
|
Date: |
Respondents:
Release No.
34-54940, AAER-2524
|
Date: |
Respondents:
Release No.
34-54925
See Also:
the Order in this matter
|
Date: |
Respondents:
Release No.
34-54924
|
Date: |
Respondents:
Release No.
34-54903
|
Date: |
Respondents:
Release No.
34-54906, AAER-2522
|
Date: |
Respondents:
Release No.
33-8759, 34-54907, AAER-2523
|
Date: |
Respondents:
Release No.
34-54893
|
Date: |
Respondents:
Release No.
34-54877
See Also:
the Order in this matter
|
Date: |
Respondents:
Release No.
34-54878
|
Date: |
Respondents:
Release No.
34-54881
|
Date: |
Respondents:
Release No.
33-8758, 34-54868
|
Date: |
Respondents:
Release No.
34-54852
See Also:
the Order in this matter
|
Date: |
Respondents:
Release No.
34-54853
See Also:
the Order in this matter
|
Date: |
Respondents:
Release No.
34-54858
See Also:
the Order in this matter
|
Date: |
Respondents:
Release No.
34-54861
|
Date: |
Respondents:
Release No.
34-54862, IC-27588
|
Date: |
Respondents:
Release No.
IA-2570
File Number:
3-12490
|
Date: |
Respondents:
Release No.
34-54845
|
Date: |
Respondents:
Release No.
34-54848
See Also:
the Order in this matter
|
Date: |
Respondents:
Release No.
34-54826
|
Date: |
Respondents:
Release No.
34-54828
|
Date: |
Respondents:
Release No.
34-54830, AAER-2518
|
Date: |
Respondents:
Release No.
34-54835
|
Date: |
Respondents:
Release No.
34-54836
See Also:
the Order in this matter
|
Date: |
Respondents:
Release No.
34-54838
|
Date: |
Respondents:
Release No.
IA-2569, IC-27586
File Number:
3-12489
|
Date: |
Respondents:
Release No.
34-54817
See Also:
the Order in this matter
|
Date: |
Respondents:
Release No.
34-54815
|
Date: |
Respondents:
Release No.
34-54812
See Also:
Distribution Plan
|
Date: |
Respondents:
Release No.
34-54814
See Also:
the Order in this matter
|
Date: |
Respondents:
Release No.
33-8756, 34-54806
|
Date: |
Respondents:
Release No.
34-54781
|
Date: |
Respondents:
Release No.
34-54782
|
Date: |
Respondents:
Release No.
34-54783
|
Date: |
Respondents:
Release No.
IA-2568
File Number:
3-12483
|
Date: |
Respondents:
Release No.
34-54774
|
Date: |
Respondents:
Release No.
33-8755, 34-54776, AAER-2516
|
Date: |
Respondents:
Release No.
34-54763
|
Date: |
Respondents:
Release No.
33-8752
|
Date: |
Respondents:
Release No.
33-8753, 34-54764
|
Date: |
Respondents:
Release No.
34-54754
|
Date: |
Respondents:
Release No.
33-8751, 34-54745
|
Date: |
Respondents:
Release No.
34-54744
|
Date: |
Respondents:
Release No.
34-54735
|
Date: |
Respondents:
Release No.
34-54736, AAER-2513
|
Date: |
Respondents:
Release No.
34-54716
See Also:
the Order in this matter
|
Date: |
Respondents:
Release No.
34-54717
See Also:
the Order in this matter
|
Date: |
Respondents:
Release No.
33-8750, 34-54720, IA-2567, IC-27549
|
Date: |
Respondents:
Release No.
34-54719
|
Date: |
Respondents:
Release No.
34-54725
File Number:
3-12437
|
Date: |
Respondents:
Release No.
IA-2566
File Number:
3-12473
|
Date: |
Respondents:
Release No.
34-54711
|
Date: |
Respondents:
Release No.
34-54712, AAER-2510
|
Date: |
Respondents:
Release No.
34-54700
|
Date: |
Respondents:
Release No.
34-54687
|
Date: |
Respondents:
Release No.
34-54689, AAER-2507
|
Date: |
Respondents:
Release No.
34-54679
|
Date: |
Respondents:
Release No.
34-54683
|
Date: |
Respondents:
Release No.
34-54674
|
Date: |
Respondents:
Release No.
34-54676
|
Date: |
Respondents:
Release No.
34-54677, AAER-2506
|
Date: |
Respondents:
Release No.
34-54665, AAER-2500
|
Date: |
Respondents:
Release No.
34-54666, AAER-2501
|
Date: |
Respondents:
Release No.
34-54667, AAER-2502
|
Date: |
Respondents:
Release No.
34-54668, AAER-2503
|
Date: |
Respondents:
Release No.
34-54669
|
Date: |
Respondents:
Release No.
34-54670
|
Date: |
Respondents:
Release No.
34-54656
|
Date: |
Respondents:
Release No.
34-54661, AAER-2499
|
Date: |
Respondents:
Release No.
34-54662
|
Date: |
Respondents:
Release No.
34-54663
|
Date: |
Respondents:
Release No.
34-54646
|
Date: |
Respondents:
Release No.
34-54647, IA-2563
|
Date: |
Respondents:
Release No.
34-54639
|
Date: |
Respondents:
Release No.
34-54630
|