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
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|
---|---|
Date: |
Respondents:
Release No.
34-57064
|
Date: |
Respondents:
Release No.
34-57043, IA-2687
|
Date: |
Respondents:
Release No.
34-57048
See Also:
Plan of Distribution
|
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
See Also:
the Order in this matter
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
See Also:
Proposed Distribution Plan
|
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
See Also:
the Order in this matter
|
Date: |
Respondents:
Release No.
34-56915
See Also:
the Order in this matter
|
Date: |
Respondents:
Release No.
34-56921
See Also:
the Order in this matter
|
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
See Also:
the Order in this matter
|
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
See Also:
the Order in this matter
|
Date: |
Respondents:
Release No.
34-56783
|
Date: |
Respondents:
Release No.
34-56758
See Also:
the Order in this matter
|
Date: |
Respondents:
Release No.
34-56748
See Also:
the Order in this matter
|
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
See Also:
the Order in this matter
|
Date: |
Respondents:
Release No.
34-56729
See Also:
the Order in this matter
|
Date: |
Respondents:
Release No.
34-56724
|
Date: |
Respondents:
Release No.
34-56720
|
Date: |
Respondents:
Release No.
34-56712
See Also:
the Order in this matter
|
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
See Also:
the Order in this matter
|
Date: |
Respondents:
Release No.
34-56679
See Also:
the Order in this matter
|
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
See Also:
Proposed Modified Distribution Plan
File Number:
3-12121
|
Date: |
Respondents: Aurora Acquisitions, Inc., Can-Ex Minerals Corp., HDF, Inc., Inmold, Inc., and Piccard Medical Corp.
Release No.
34-56648
|
Date: |
Respondents:
Release No.
34-56658
|
Date: |
Respondents:
Release No.
34-56643
|