Commission Opinions and Adjudicatory Orders
This page features opinions and orders issued by the Commission in connection with its adjudication of administrative proceedings, appeals from initial decisions of ALJs, and appeals from SRO or PCAOB action.
The links below direct you to the docket pages for such adjudicatory proceedings 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.
Commission Opinions and Adjudicatory Orders Table
Respondents
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---|---|
Date: |
Respondents:
Release No.
34-97868
File Number:
3-20209
|
Date: |
Respondents:
Release No.
34-97867
File Number:
3-20651
|
Date: |
Respondents:
Release No.
34-97865
File Number:
3-19652
|
Date: |
Respondents:
Release No.
34-97864
File Number:
3-20127
|
Date: |
Respondents:
Release No.
34-97863
File Number:
3-20120
|
Date: |
Respondents:
Release No.
34-97862
File Number:
3-21455
|
Date: |
Respondents:
Release No.
34-97861
File Number:
3-21452
|
Date: |
Respondents:
Release No.
34-97860
File Number:
3-20126
|
Date: |
Respondents:
Release No.
34-97866
File Number:
3-19406
|
Date: |
Respondents:
Release No.
34-97857
File Number:
3-19666
|
Date: |
Respondents:
Release No.
34-97853
File Number:
3-21380
|
Date: |
Respondents:
Release No.
IA-6340
File Number:
3-21202
|
Date: |
Respondents:
Release No.
34-97846
File Number:
3-21471
|
Date: |
Respondents:
Release No.
IA-6337
File Number:
3-21364
|
Date: |
Respondents:
Release No.
34-97821
File Number:
3-20126
|
Date: |
Respondents:
Release No.
IA-6338
File Number:
3-20134
|
Date: |
Respondents:
Release No.
34-97823
File Number:
3-20816
|
Date: |
Respondents:
Release No.
34-97822
File Number:
3-18979
|
Date: |
Respondents:
Release No.
34-97812
File Number:
3-21378
|
Date: |
Respondents:
Release No.
34-97810
File Number:
3-21386
|
Date: |
Respondents:
Release No.
34-97809
File Number:
3-21379
|
Date: |
Respondents:
Release No.
34-97807
File Number:
3-21384
|
Date: |
Respondents:
Release No.
34-97806
File Number:
3-20362
|
Date: |
Respondents:
Release No.
34-97799
File Number:
3-18567
|
Date: |
Respondents:
Release No.
34-97797
File Number:
3-21225
|
Date: |
Respondents:
Release No.
IA-6335
File Number:
3-21400
|
Date: |
Respondents:
Release No.
34-97796
File Number:
3-20639
|
Date: |
Respondents:
Release No.
34-97795, AAER-4424
File Number:
3-21314
|
Date: |
Respondents:
Release No.
34-97793
File Number:
3-21011
|
Date: |
Respondents:
Release No.
34-97791
File Number:
3-19892
|
Date: |
Respondents:
Release No.
34-97790
File Number:
3-21211
|
Date: |
Respondents:
Release No.
34-97779
File Number:
3-19336
|
Date: |
Respondents:
Release No.
34-97778, IA-6334
File Number:
3-19281
|
Date: |
Respondents:
Release No.
34-97777
File Number:
3-19237
|
Date: |
Respondents:
Release No.
34-97776
File Number:
3-19335
|
Date: |
Respondents:
Release No.
34-97759
File Number:
3-21206
|
Date: |
Respondents:
Release No.
34-97758
File Number:
3-20811
|
Date: |
Respondents:
Release No.
34-97754
File Number:
3-20387
|
Date: |
Respondents:
Release No.
34-97753
File Number:
3-19185
|
Date: |
Respondents:
Release No.
34-97731
File Number:
3-21302
|
Date: |
Respondents:
Release No.
34-97730
File Number:
3-20808
|
Date: |
Respondents:
Release No.
34-97722
File Number:
3-20964
|
Date: |
Respondents:
Release No.
34-97721
File Number:
3-19588
|
Date: |
Respondents:
Release No.
34-97714
File Number:
3-21160
|
Date: |
Respondents:
Release No.
34-97713
File Number:
3-21162
|
Date: |
Respondents:
Release No.
34-97712, IA-6327
File Number:
3-19476
|
Date: |
Respondents:
Release No.
34-97711, IA-6326
File Number:
3-19435
|
Date: |
Respondents:
Release No.
34-97709
File Number:
3-21159
|
Date: |
Respondents:
Release No.
34-97705
File Number:
3-19940
|
Date: |
Respondents:
Release No.
34-97704
File Number:
3-19896
|
Date: |
Respondents:
Release No.
34-97703
File Number:
3-19790
|
Date: |
Respondents:
Release No.
34-97702
File Number:
3-20922
|
Date: |
Respondents:
Release No.
34-97701
File Number:
3-20260
|
Date: |
Respondents:
Release No.
34-97700
File Number:
3-19933
|
Date: |
Respondents:
Release No.
34-97698
File Number:
3-19789
|
Date: |
Respondents:
Release No.
34-97696
File Number:
3-19801
|
Date: |
Respondents:
Release No.
34-97695
File Number:
3-18999
|
Date: |
Respondents:
Release No.
34-97684
File Number:
3-19652
|
Date: |
Respondents:
Release No.
34-97680
File Number:
3-20210
|
Date: |
Respondents:
Release No.
IA-6325
File Number:
3-20616
|
Date: |
Respondents:
Release No.
34-97669
File Number:
3-21214
|
Date: |
Respondents:
Release No.
34-97661
File Number:
3-19666
|
Date: |
Respondents:
Release No.
34-97659
File Number:
3-20650
|
Date: |
Respondents:
Release No.
34-97652
File Number:
3-21385
|
Date: |
Respondents:
Release No.
33-11199, 34-97641, IA-6324, IC-34934, AAER-4414
File Number:
3-06673-rtv, 3-12893-rtv, 3-13974-rtv, 3-14304-rtv, 3-14655-rtv, 3-14676-rtv, 3-15024-rtv, 3-15046-rtv, 3-15074-rtv, 3-15123-rtv, 3-15314-rtv, 3-15380-rtv, 3-15586-rtv, 3-15672-rtv, 3-15823-rtv, 3-15874-rtv, 3-16357-rtv, 3-16737-rtv, 3-14655-rtv, 3-15896-rtv, 3-16032-rtv, 3-16181-rtv, 3-16354-rtv, 3-16359-rtv, 3-16366-rtv, 3-16556-rtv, 3-16576-rtv, 3-16687-rtv, 3-16714-rtv, 3-16725-rtv, 3-16736-rtv, 3-16805-rtv, 3-16845-rtv, 3-16875-rtv, 3-16878-rtv, 3-16883-rtv, 3-16936-rtv, 3-17137-rtv, 3-17216-rtv, 3-17232-rtv, 3-17251-rtv, 3-17334-rtv, 3-17360-rtv, 3-17373-rtv, 3-17511-rtv, 3-17521-rtv, 3-17522-rtv, 3-17612-rtv
|
Date: |
Respondents:
Release No.
33-11198, 34-97640, IA-6323, IC-34933, AAER-4413
File Number:
3-17228, 3-15755, 3-16047, 3-16293, 3-16318, 3-16386, 3-16509, 3-16517, 3-17184, 3-17253, 3-17352, 3-17990, 3-18733, 3-18746, 3-18994, 3-19145, 3-19419, 3-19661, 3-19685, 3-19868, 3-20308, 3-20309, 3-20312, 3-20344, 3-20345, 3-20355, 3-20356, 3-17935, 3-17991, 3-17999, 3-18004, 3-18007, 3-18014, 3-18187, 3-18292, 3-18346, 3-18378, 3-18483, 3-18774, 3-18780, 3-18781, 3-18867
|
Date: |
Respondents:
Release No.
34-97644
File Number:
3-20297
|
Date: |
Respondents:
Release No.
34-97643
File Number:
3-15123, 3-15123-rtv
|
Date: |
Respondents:
Release No.
34-97642
File Number:
3-16151
|
Date: |
Respondents:
Release No.
IA-6321
File Number:
3-19920
|
Date: |
Respondents:
Release No.
34-97635
File Number:
3-20724
|
Date: |
Respondents:
Release No.
34-97634
File Number:
3-19594
|
Date: |
Respondents:
Release No.
34-97633
File Number:
3-19407
|
Date: |
Respondents:
Release No.
34-97623
File Number:
3-21267
|
Date: |
Respondents:
Release No.
34-97619
File Number:
3-20126
|
Date: |
Respondents:
Release No.
34-97617
File Number:
3-20380
|
Date: |
Respondents:
Release No.
34-97615
File Number:
3-18979
|
Date: |
Respondents:
Release No.
34-97614
File Number:
3-21117
|
Date: |
Respondents:
Release No.
34-97613
File Number:
3-21108
|
Date: |
Respondents:
Release No.
34-97606
File Number:
3-21095
|
Date: |
Respondents:
Release No.
34-97604
File Number:
3-20529
|
Date: |
Respondents:
Release No.
34-97603
File Number:
3-20893
|
Date: |
Respondents:
Release No.
34-97574
File Number:
3-21013
|
Date: |
Respondents:
Release No.
34-97591
File Number:
3-21087
|
Date: |
Respondents:
Release No.
34-97590, AAER-4410
File Number:
3-21298
|
Date: |
Respondents:
Release No.
34-97578
File Number:
3-21085
|
Date: |
Respondents:
Release No.
34-97577
File Number:
3-21090
|
Date: |
Respondents:
Release No.
34-97572
File Number:
3-21093
|
Date: |
Respondents:
Release No.
34-97557
File Number:
3-21077
|
Date: |
Respondents:
Release No.
34-97556
File Number:
3-21068
|
Date: |
Respondents:
Release No.
34-97555
File Number:
3-21076
|
Date: |
Respondents:
Release No.
34-97558
File Number:
3-19892
|
Date: |
Respondents:
Release No.
34-97546
File Number:
3-21066
|
Date: |
Respondents:
Release No.
34-97545
File Number:
3-21027
|
Date: |
Respondents:
Release No.
34-97544
File Number:
3-21025
|
Date: |
Respondents:
Release No.
34-97538
File Number:
3-20705
|
Date: |
Respondents:
Release No.
34-97539
File Number:
3-21343
|
Date: |
Respondents:
Release No.
34-97537
File Number:
3-20647
|
Date: |
Respondents:
Release No.
33-11194, 34-97536
File Number:
3-16509
|
Date: |
Respondents:
Release No.
IA-6313
File Number:
3-20935
|