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. 34-63622
File Number: 3-14116
Date: Respondents:
Release No. IA-3130
File Number: 3-14173
Date: Respondents:
Release No. 34-63605
File Number: 3-14098
Date: Respondents:
Release No. 34-63608
File Number: 3-14102
Date: Respondents:
Release No. IA-3127
File Number: 3-14172
Date: Respondents:
Release No. 34-63600, AAER-3222
File Number: 3-14171
Date: Respondents:
Release No. 33-9167
File Number: 3-14169
Date: Respondents:
Release No. 34-63583
File Number: 3-14168
Date: Respondents:
Release No. 34-63586
File Number: 3-14170
Date: Respondents:
Release No. 33-9166, AAER-3221
File Number: 3-14167
Date: Respondents:
Release No. 34-63578, AAER-3220
File Number: 3-14166
Date: Respondents:
Release No. 34-63570
File Number: 3-14164
Date: Respondents:
Release No. 34-63571
File Number: 3-12591
Date: Respondents:
Release No. IA-3124
File Number: 3-14165
Date: Respondents:
Release No. 34-63560, AAER-3218
File Number: 3-13150
Date: Respondents:
Release No. 34-63563
File Number: 3-13532
Date: Respondents:
Release No. 34-63565
File Number: 3-11377
Date: Respondents:
Release No. 33-9163
Date: Respondents:
Release No. IA-3123
File Number: 3-14162
Date: Respondents:
Release No. 34-63516
File Number: 3-14159
Date: Respondents:
Release No. 34-63518
File Number: 3-11645
Date: Respondents:
Release No. 34-63528
File Number: 3-14160
Date: Respondents:
Release No. 34-63529
File Number: 3-14161
Date: Respondents:
Release No. 34-63478
File Number: 3-14158
Date: Respondents:
Release No. 34-63510
File Number: 3-12495
Date: Respondents:
Release No. 34-63511
Date: Respondents:
Release No. 34-63457
File Number: 3-14087
Date: Respondents:
Release No. 34-63458
File Number: 3-14087
Date: Respondents:
Release No. 34-63459
File Number: 3-14136
Date: Respondents:
Release No. 34-63460
File Number: 3-14154
Date: Respondents:
Release No. 34-63473, AAER-3216
File Number: 3-14155
Date: Respondents:
Release No. 34-63474
File Number: 3-14156
Date: Respondents:
Release No. 34-63477
File Number: 3-14157
Date: Respondents:
Release No. 34-63446
File Number: 3-14118
Date: Respondents:
Release No. 34-63449
File Number: 3-12121
Date: Respondents:
Release No. 34-63450
File Number: 3-14152
Date: Respondents:
Release No. 34-63451
File Number: 3-14153
Date: Respondents:
Release No. 34-63433
File Number: 3-14126
Date: Respondents:
Release No. 34-63438
File Number: 3-14151
Date: Respondents:
Release No. 34-63445
File Number: 3-12116, 3-11292
Date: Respondents:
Release No. 34-63421
File Number: 3-14119
Date: Respondents:
Release No. 34-63424
File Number: 3-12805
Date: Respondents:
Release No. 34-63429
File Number: 3-14150
Date: Respondents:
Release No. 34-63408
File Number: 3-14108
Date: Respondents:
Release No. 34-63409
File Number: 3-14148
Date: Respondents:
Release No. 34-63410
File Number: 3-14149
Date: Respondents:
Release No. 34-63420
File Number: 3-12628
Date: Respondents:
Release No. 34-63401
File Number: 3-14119
Date: Respondents:
Release No. 34-63407
File Number: 3-11590
Date: Respondents:
Release No. IA-3117
File Number: 3-14147
Date: Respondents:
Release No. 33-9160
File Number: 3-14145
Date: Respondents:
Release No. 34-63392
File Number: 3-14144
Date: Respondents:
Release No. 34-63399
File Number: 3-12631
Date: Respondents:
Release No. 34-63380
File Number: 3-14109
Date: Respondents:
Release No. 34-63384
File Number: 3-14143
Date: Respondents:
Release No. 34-63377
File Number: 3-14140
Date: Respondents:
Release No. 34-63378
File Number: 3-14141
Date: Respondents:
Release No. 34-63379
File Number: 3-14142
Date: Respondents:
Release No. 34-63369
File Number: 3-14101
Date: Respondents:
Release No. 34-63370
File Number: 3-14092
Date: Respondents:
Release No. 34-63371
File Number: 3-14138
Date: Respondents:
Release No. 34-63374
File Number: 3-14139
Date: Respondents:
Release No. 34-63360
File Number: 3-11818
Date: Respondents:
Release No. 34-63362
File Number: 3-14136
Date: Respondents:
Release No. 34-63365
File Number: 3-14137
Date: Respondents:
Release No. 33-9159
Date: Respondents:
Release No. 34-63353
File Number: 3-14090
Date: Respondents:
Release No. 34-63354
File Number: 3-14132
Date: Respondents:
Release No. 34-63356, AAER-3214
File Number: 3-14134
Date: Respondents:
Release No. 34-63358
File Number: 3-14135
Date: Respondents:
Release No. IA-3112
File Number: 3-14131
Date: Respondents:
Release No. 33-9157
File Number: 3-14129
Date: Respondents:
Release No. 34-63343
File Number: 3-14100
Date: Respondents:
Release No. 34-63344
File Number: 3-14092
Date: Respondents:
Release No. 34-63323
Date: Respondents:
Release No. 34-63326
File Number: 3-14126
Date: Respondents:
Release No. 34-63327
File Number: 3-14127
Date: Respondents:
Release No. 34-63328
File Number: 3-14128
Date: Respondents:
Release No. IA-3108
File Number: 3-14124
Date: Respondents:
Release No. 34-63315
File Number: 3-14123
Date: Respondents:
Release No. 34-63294
File Number: 3-14086
Date: Respondents:
Release No. 34-63296
File Number: 3-14118
Date: Respondents:
Release No. 34-63297
File Number: 3-14119
Date: Respondents:
Release No. 34-63298
File Number: 3-14091
Date: Respondents:
Release No. 34-63302
Date: Respondents:
Release No. 34-63303
Date: Respondents:
Release No. IA-3104
File Number: 3-14120
Date: Respondents:
Release No. 34-63279
File Number: 3-14116
Date: Respondents:
Release No. 34-63280
File Number: 3-14029
Date: Respondents:
Release No. 34-63281
File Number: 3-13976
Date: Respondents:
Release No. 34-63289
File Number: 3-14117
Date: Respondents:
Release No. 34-63290
File Number: 3-11940
Date: Respondents:
Release No. IA-3103
File Number: 3-14115
Date: Respondents:
Release No. 34-63269
File Number: 3-13675
Date: Respondents:
Release No. 34-63261
File Number: 3-14110
Date: Respondents:
Release No. 34-63262, AAER-3208
File Number: 3-3208
Date: Respondents:
Release No. 34-63263, AAER-3209
File Number: 3-14112
Date: Respondents:
Release No. 34-63264, AAER-3210
File Number: 3-14113
Date: Respondents:
Release No. 34-63265, AAER-3211
File Number: 3-14114
Date: Respondents:
Release No. 34-63243, AAER-3204