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
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
Date: Respondents:
Release No. 34-55010
Date: Respondents:
Release No. 34-54991, IA-2574, 34-54660
Date: Respondents:
Release No. IA-2575, IC-27606, 33-8764
File Number: 3-12513
Date: Respondents:
Release No. 34-54993, IC-27607, 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
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
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
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
Date: Respondents:
Release No. 34-54853
Date: Respondents:
Release No. 34-54858
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
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
Date: Respondents:
Release No. 34-54838
Date: Respondents:
Release No. IA-2569, IC-27586
File Number: 3-12489
Date: Respondents:
Release No. 34-54817
Date: Respondents:
Release No. 34-54815
Date: Respondents:
Release No. 34-54812
Date: Respondents:
Release No. 34-54814
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
Date: Respondents:
Release No. 34-54717
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