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. 34-57064
Date: Respondents:
Release No. 34-57043, IA-2687
Date: Respondents:
Release No. 34-57048
Date: Respondents:
Release No. 34-57051
Date: Respondents:
Release No. 34-57053, AAER-2761
Date: Respondents:
Release No. 34-57055, IA-2688
Date: Respondents:
Release No. 34-57056, IA-2689
Date: Respondents:
Release No. 34-57025
Date: Respondents:
Release No. IA-2685
File Number: 3-12910
Date: Respondents:
Release No. 34-57024
Date: Respondents:
Release No. 34-57040
Date: Respondents:
Release No. 34-57008, AAER-2759
Date: Respondents:
Release No. 33-8875
Date: Respondents:
Release No. 34-56995
Date: Respondents:
Release No. 33-8877A, 34-56996A, IA-2684A, IC-28079A
Date: Respondents:
Release No. 33-8872, 34-56979, IC-28077, IA-2683
Date: Respondents:
Release No. 34-56980, IC-28078
Date: Respondents:
Release No. 34-56981
Date: Respondents:
Release No. 34-56966, IA-2682
Date: Respondents:
Release No. 34-56967
Date: Respondents:
Release No. 34-56954
Date: Respondents:
Release No. 34-56944
Date: Respondents:
Release No. 34-56939
Date: Respondents:
Release No. 34-56942, AAER-2756
Date: Respondents:
Release No. 34-56935
Date: Respondents:
Release No. 34-56915
Date: Respondents:
Release No. 34-56921
Date: Respondents:
Release No. 34-56922
Date: Respondents:
Release No. 34-56896
Date: Respondents:
Release No. 34-56902
Date: Respondents:
Release No. 34-56909
Date: Respondents:
Release No. 34-56911
Date: Respondents:
Release No. 33-8867, 34-56891
Date: Respondents:
Release No. 33-8868, 34-56892
Date: Respondents:
Release No. IA-2681
File Number: 3-8424
Date: Respondents:
Release No. 33-8866, IA-2680
Date: Respondents:
Release No. 34-56884
Date: Respondents:
Release No. 34-56869
Date: Respondents:
Release No. 34-56872
Date: Respondents:
Release No. 34-56877
Date: Respondents:
Release No. 34-56878
Date: Respondents:
Release No. IA-2678
File Number: 3-12894
Date: Respondents:
Release No. 34-56859
Date: Respondents:
Release No. 34-56857
Date: Respondents:
Release No. 34-56839
Date: Respondents:
Release No. 34-56844
Date: Respondents:
Release No. 33-8862, 34-56847
Date: Respondents:
Release No. 33-8863, 34-56848
Date: Respondents:
Release No. 33-8864, 34-56849
Date: Respondents:
Release No. 34-56830
Date: Respondents:
Release No. 34-56834
Date: Respondents:
Release No. 34-56823, IA-2677
Date: Respondents:
Release No. 34-56829
Date: Respondents:
Release No. 34-56815
Date: Respondents:
Release No. 34-56807
Date: Respondents:
Release No. 34-56788
Date: Respondents:
Release No. 34-56791
Date: Respondents:
Release No. 34-56793
Date: Respondents:
Release No. 34-56794
Date: Respondents:
Release No. 34-56785
Date: Respondents:
Release No. 34-56783
Date: Respondents:
Release No. 34-56758
Date: Respondents:
Release No. 34-56748
Date: Respondents:
Release No. 34-56755, AAER-2749
Date: Respondents:
Release No. 34-56743
Date: Respondents:
Release No. 34-56745
Date: Respondents:
Release No. 34-56746
Date: Respondents:
Release No. 34-56734
Date: Respondents:
Release No. 34-56735
Date: Respondents:
Release No. 34-56737, IA-2676
Date: Respondents:
Release No. 34-56728
Date: Respondents:
Release No. 34-56729
Date: Respondents:
Release No. 34-56724
Date: Respondents:
Release No. 34-56720
Date: Respondents:
Release No. 34-56712
Date: Respondents:
Release No. 34-56716
Date: Respondents:
Release No. 34-56702
Date: Respondents:
Release No. 34-56705, AAER-2747
Date: Respondents:
Release No. 34-56689
Date: Respondents:
Release No. 34-56690
Date: Respondents:
Release No. 34-56691
Date: Respondents:
Release No. 34-56692
Date: Respondents:
Release No. 34-56693
Date: Respondents:
Release No. IA-2673, IC-28022
File Number: 3-12611
Date: Respondents:
Release No. 34-56687
Date: Respondents:
Release No. 34-56681
Date: Respondents:
Release No. 34-56679
Date: Respondents:
Release No. 33-8858, 34-56672
Date: Respondents:
Release No. 34-56673, AAER-2743
Date: Respondents:
Release No. 34-56674, AAER-2744
Date: Respondents:
Release No. 34-56675
Date: Respondents:
Release No. 34-56676
Date: Respondents:
Release No. 34-56664
Date: Respondents:
Release No. 34-56665
Date: Respondents:
Release No. IA-2672
File Number: 3-12742
Date: Respondents:
Release No. 34-56668, IA-2671
Date: Respondents:
Release No. 34-56659
File Number: 3-12121
Date: Respondents:
Release No. 34-56648
Date: Respondents:
Release No. 34-56658
Date: Respondents:
Release No. 34-56643