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.
34-61255
File Number:
3-13019
|
Date: |
Respondents:
Release No.
34-61256
See Also:
the Final Distribution Plan
File Number:
3-13019
|
Date: |
Respondents:
Release No.
34-61262, AAER-3092
File Number:
3-13732
|
Date: |
Respondents:
Release No.
34-61247, IA-2967
File Number:
3-13731
|
Date: |
Respondents:
Release No.
34-61252
File Number:
3-11530
|
Date: |
Respondents:
Release No.
34-61243
File Number:
3-13698
|
Date: |
Respondents:
Release No.
34-61245, AAER-3090
File Number:
3-13729
|
Date: |
Respondents:
Release No.
33-9101, 34-61246, IA-2966, IC-29098
File Number:
3-13730
|
Date: |
Respondents:
Release No.
33-9100, 34-61213
File Number:
3-13728
|
Date: |
Respondents:
Release No.
33-9097, 34-61200
File Number:
3-13726
|
Date: |
Respondents:
Release No.
34-61208
See Also:
the Proposed Distribution Plan
File Number:
3-13199
|
Date: |
Respondents:
Release No.
34-61209
See Also:
the Proposed Distribution Plan
File Number:
3-11578
|
Date: |
Respondents:
Release No.
34-61210
See Also:
the Proposed Distribution Plan
File Number:
3-11579
|
Date: |
Respondents:
Release No.
34-61188
File Number:
3-13718
|
Date: |
Respondents:
Release No.
33-9092, 34-61190, AAER-3081
File Number:
3-13719
|
Date: |
Respondents:
Release No.
34-61191, AAER-3082
File Number:
3-13720
|
Date: |
Respondents:
Release No.
33-9093, 34-61192, AAER-3083
File Number:
3-13721
|
Date: |
Respondents:
Release No.
33-9094, 34-61193, AAER-3084
File Number:
3-13722
|
Date: |
Respondents:
Release No.
33-9095, 34-61194, AAER-3085
File Number:
3-13723
|
Date: |
Respondents:
Release No.
34-61195, AAER-3086
File Number:
3-13724
|
Date: |
Respondents:
Release No.
33-9096, 34-61196, AAER-3087
File Number:
3-13725
|
Date: |
Respondents:
Release No.
34-61199A
File Number:
3-11445
|
Date: |
Respondents:
Release No.
34-61180, IA-2963
|
Date: |
Respondents:
Release No.
34-61181, IA-2964
File Number:
3-13717
|
Date: |
Respondents:
Release No.
34-61166
File Number:
3-13715
|
Date: |
Respondents:
Release No.
34-61159
File Number:
3-13688
|
Date: |
Respondents:
Release No.
IA-2961
File Number:
3-13713
|
Date: |
Respondents:
Release No.
IA-2962
File Number:
3-13714
|
Date: |
Respondents:
Release No.
IA-2960
File Number:
3-13712
|
Date: |
Respondents:
Release No.
34-61137, AAER-3074
File Number:
3-13707
|
Date: |
Respondents:
Release No.
34-61142
See Also:
the Proposed Distribution Plan
File Number:
3-11987
|
Date: |
Respondents:
Release No.
34-61146, AAER-3075
File Number:
3-13708
|
Date: |
Respondents:
Release No.
34-61147, AAER-3076
File Number:
3-13709
|
Date: |
Respondents:
Release No.
34-61148, AAER-3077
File Number:
3-13710
|
Date: |
Respondents:
Release No.
34-61149, AAER-3078
File Number:
3-13711
|
Date: |
Respondents:
Release No.
34-61132
File Number:
3-13706
|
Date: |
Respondents:
Release No.
34-61123A, IA-2958A, IC-29067A
File Number:
3-13705
|
Date: |
Respondents:
Release No.
34-61111
File Number:
3-13703
|
Date: |
Respondents:
Release No.
34-61113, AAER-3072
File Number:
3-13704
|
Date: |
Respondents:
Release No.
34-61114
File Number:
3-13680
|
Date: |
Respondents:
Release No.
34-61117
See Also:
the Proposed Distribution Plan
File Number:
3-12400
|
Date: |
Respondents:
Release No.
34-61118
See Also:
the Proposed Distribution Plan
File Number:
3-12111
|
Date: |
Respondents:
Release No.
34-61108
File Number:
3-13647
|
Date: |
Respondents:
Release No.
34-61109
File Number:
3-12896
|
Date: |
Respondents:
Release No.
34-61092
|
Date: |
Respondents:
Release No.
34-61096
File Number:
3-13702
|
Date: |
Respondents:
Release No.
34-61098
File Number:
3-11317
|
Date: |
Respondents:
Release No.
34-61082
File Number:
3-13660
|
Date: |
Respondents:
Release No.
34-61088
File Number:
3-11818
|
Date: |
Respondents:
Release No.
34-61069
File Number:
3-13263
|
Date: |
Respondents:
Release No.
34-61076
File Number:
3-13699
|
Date: |
Respondents:
Release No.
34-61077
File Number:
3-13700
|
Date: |
Respondents:
Release No.
34-61079, IA-2957
File Number:
3-13532
|
Date: |
Respondents:
Release No.
34-61063
File Number:
3-13698
|
Date: |
Respondents:
Release No.
34-61064
File Number:
3-13620
|
Date: |
Respondents:
Release No.
IA-2954
File Number:
3-13615
|
Date: |
Respondents:
Release No.
IA-2955
File Number:
3-13616
|
Date: |
Respondents:
Release No.
34-61054
File Number:
3-13694
|
Date: |
Respondents:
Release No.
34-61055
File Number:
3-13695
|
Date: |
Respondents:
Release No.
34-61056
File Number:
3-13696
|
Date: |
Respondents:
Release No.
34-61058A
File Number:
3-13651
|
Date: |
Respondents:
Release No.
IA-2956
File Number:
3-13697
|
Date: |
Respondents:
Release No.
34-61047A
File Number:
3-13676
|
Date: |
Respondents:
Release No.
34-61038
File Number:
3-13691
|
Date: |
Respondents:
Release No.
34-61040
File Number:
3-13621
|
Date: |
Respondents:
Release No.
34-61044
|
Date: |
Respondents:
Release No.
34-61045
|
Date: |
Respondents:
Release No.
34-60292A
|
Date: |
Respondents:
Release No.
IA-2953
File Number:
3-13693
|
Date: |
Respondents:
Release No.
34-61028
File Number:
3-13673
|
Date: |
Respondents:
Release No.
34-61029, IA-2951
File Number:
3-13689
|
Date: |
Respondents:
Release No.
IA-2952
File Number:
3-13690
|
Date: |
Respondents: RS Investment Management, Inc., RS Investment Management, L.P., G. Randall Hecht and Steven M. Cohen
Release No.
34-61037
File Number:
3-11696
|
Date: |
Respondents:
Release No.
34-61014
File Number:
3-13688
|
Date: |
Respondents:
Release No.
34-61015
File Number:
3-13651
|
Date: |
Respondents:
Release No.
34-61018
File Number:
3-13665
|
Date: |
Respondents:
Release No.
34-61019
File Number:
3-13629
|
Date: |
Respondents:
Release No.
34-61004
File Number:
3-13603
|
Date: |
Respondents:
Release No.
34-61007
File Number:
3-13685
|
Date: |
Respondents:
Release No.
34-61011
File Number:
3-13686
|
Date: |
Respondents:
Release No.
34-60994
File Number:
3-13662
|
Date: |
Respondents:
Release No.
34-60998, IA-2949
File Number:
3-13684
|
Date: |
Respondents:
Release No.
34-60987
File Number:
3-13663
|
Date: |
Respondents:
Release No.
33-9083, 34-60993, IA-2948, IC-28996
File Number:
3-13683
|
Date: |
Respondents:
Release No.
34-60976
File Number:
3-13681
|
Date: |
Respondents:
Release No.
34-60982
File Number:
3-13682
|
Date: |
Respondents:
Release No.
34-60986
File Number:
3-12947
|
Date: |
Respondents:
Release No.
34-60964
File Number:
3-13649
|
Date: |
Respondents:
Release No.
34-60972
File Number:
3-13680
|
Date: |
Respondents:
Release No.
34-60947
File Number:
3-13632
|
Date: |
Respondents:
Release No.
34-60948
File Number:
3-13650
|
Date: |
Respondents:
Release No.
34-60943
File Number:
3-13651
|
Date: |
Respondents:
Release No.
34-60926
File Number:
3-13672
|
Date: |
Respondents:
Release No.
33-9078, 34-60928
See Also:
33-9079
,
and 33-9080
|
Date: |
Respondents:
Release No.
IA-2943
File Number:
3-13438
|
Date: |
Respondents:
Release No.
34-60927
File Number:
3-13637
|
Date: |
Respondents:
Release No.
34-60930
File Number:
3-13636
|
Date: |
Respondents:
Release No.
34-60935, IA-2944
File Number:
3-13674
|
Date: |
Respondents:
Release No.
33-9081, 34-60936, IA-2945, IC-28989
|
Date: |
Respondents:
Release No.
34-60940
File Number:
3-13676
|