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.
34-100322, IA-6626
File Number:
3-20305
|
Date: |
Respondents:
Release No.
IA-6625
File Number:
3-20531
|
Date: |
Respondents:
Release No.
IA-6624
File Number:
3-21333
|
Date: |
Respondents:
Release No.
34-100311
File Number:
3-21866
|
Date: |
Respondents:
Release No.
34-100310
File Number:
3-21869
|
Date: |
Respondents:
Release No.
34-100302
File Number:
3-20808
|
Date: |
Respondents:
Release No.
34-100301
File Number:
3-19896
|
Date: |
Respondents:
Release No.
34-100299
File Number:
3-18999
|
Date: |
Respondents:
Release No.
34-100295
File Number:
3-21870
|
Date: |
Respondents:
Release No.
34-100287
File Number:
3-21880
|
Date: |
Respondents:
Release No.
34-100275
File Number:
3-21264
|
Date: |
Respondents:
Release No.
34-100268
File Number:
3-21865
|
Date: |
Respondents:
Release No.
34-100269
File Number:
3-21867
|
Date: |
Respondents:
Release No.
34-100266
File Number:
3-21726
|
Date: |
Respondents:
Release No.
34-100267
File Number:
3-21001
|
Date: |
Respondents:
Release No.
33-11288
File Number:
3-21243
|
Date: |
Respondents:
Release No.
34-100251
File Number:
3-21925
|
Date: |
Respondents:
Release No.
34-100246
File Number:
3-21871
|
Date: |
Respondents:
Release No.
34-100226
File Number:
3-21578
|
Date: |
Respondents:
Release No.
34-100227
File Number:
3-20380
|
Date: |
Respondents:
Release No.
34-100231, IA-6614
File Number:
3-20091
|
Date: |
Respondents:
Release No.
34-100230
File Number:
3-21933
|
Date: |
Respondents:
Release No.
34-100228
File Number:
3-21915
|
Date: |
Respondents:
Release No.
34-100221
File Number:
3-20400
|
Date: |
Respondents:
Release No.
34-100192
File Number:
3-20913
|
Date: |
Respondents:
Release No.
34-100191
File Number:
3-21159
|
Date: |
Respondents:
Release No.
34-100190
File Number:
3-21160
|
Date: |
Respondents:
Release No.
34-100189
File Number:
3-21582
|
Date: |
Respondents:
Release No.
34-100177
File Number:
3-21933
|
Date: |
Respondents:
Release No.
34-100174
File Number:
3-20905
|
Date: |
Respondents:
Release No.
34-100173
File Number:
3-20647
|
Date: |
Respondents:
Release No.
34-100167
File Number:
3-21864
|
Date: |
Respondents:
Release No.
34-100166
File Number:
3-20816
|
Date: |
Respondents:
Release No.
34-100164
File Number:
3-21664
|
Date: |
Respondents:
Release No.
34-100163
File Number:
3-21696
|
Date: |
Respondents:
Release No.
34-100162
File Number:
3-21665
|
Date: |
Respondents:
Release No.
34-100161, IA-6606
File Number:
3-20839
|
Date: |
Respondents:
Release No.
34-100159
File Number:
3-21740
|
Date: |
Respondents:
Release No.
34-100158
File Number:
3-21035
|
Date: |
Respondents:
Release No.
34-100151
File Number:
3-21701
|
Date: |
Respondents:
Release No.
34-100150
File Number:
3-21713
|
Date: |
Respondents:
Release No.
34-100149
File Number:
3-21698
|
Date: |
Respondents:
Release No.
34-100148
File Number:
3-20705
|
Date: |
Respondents:
Release No.
34-100152
File Number:
3-21246
|
Date: |
Respondents:
Release No.
34-100128
File Number:
3-21924
|
Date: |
Respondents:
Release No.
34-100111
File Number:
3-21658
|
Date: |
Respondents:
Release No.
34-100110
File Number:
3-21656
|
Date: |
Respondents:
Release No.
34-100107
File Number:
3-21663
|
Date: |
Respondents:
Release No.
33-11286
File Number:
3-21032
|
Date: |
Respondents:
Release No.
34-100108
File Number:
3-21529
|
Date: |
Respondents:
Release No.
34-100105
File Number:
3-21604
|
Date: |
Respondents:
Release No.
34-100104
File Number:
3-21598
|
Date: |
Respondents:
Release No.
34-100103
File Number:
3-21599
|
Date: |
Respondents:
Release No.
34-100088
File Number:
3-21471
|
Date: |
Respondents:
Release No.
34-100087
File Number:
3-21597
|
Date: |
Respondents:
Release No.
34-100084
File Number:
3-21594
|
Date: |
Respondents:
Release No.
34-100079
File Number:
3-21715
|
Date: |
Respondents:
Release No.
34-100078
File Number:
3-21739
|
Date: |
Respondents:
Release No.
34-100071
File Number:
3-21714
|
Date: |
Respondents:
Release No.
34-100070
File Number:
3-21687
|
Date: |
Respondents:
Release No.
34-100069
File Number:
3-21661
|
Date: |
Respondents:
Release No.
34-100063
File Number:
3-21214
|
Date: |
Respondents:
Release No.
IA-6599
File Number:
3-21121
|
Date: |
Respondents:
Release No.
34-100058
File Number:
3-21924
|
Date: |
Respondents:
Release No.
34-100057
File Number:
3-21790
|
Date: |
Respondents:
Release No.
34-100056
File Number:
3-21878
|
Date: |
Respondents:
Release No.
34-100055
File Number:
3-21873
|
Date: |
Respondents:
Release No.
34-100049, IA-6598
File Number:
3-21280
|
Date: |
Respondents:
Release No.
33-11282, 34-100035, AAER-4499
File Number:
3-21831
|
Date: |
Respondents:
Release No.
34-99999
File Number:
3-21822
|
Date: |
Respondents:
Release No.
34-100000
File Number:
3-20622
|
Date: |
Respondents:
Release No.
34-99987
File Number:
3-21862
|
Date: |
Respondents:
Release No.
34-99986
File Number:
3-21864
|
Date: |
Respondents:
Release No.
34-99980
File Number:
3-19787
|
Date: |
Respondents:
Release No.
34-99977
File Number:
3-21292
|
Date: |
Respondents:
Release No.
34-99976, IA-6592
File Number:
3-21152
|
Date: |
Respondents:
Release No.
34-99964
File Number:
3-21390
|
Date: |
Respondents:
Release No.
34-99957
File Number:
3-20703
|
Date: |
Respondents:
Release No.
34-99956
File Number:
3-21874
|
Date: |
Respondents:
Release No.
34-99943
File Number:
3-21880
|
Date: |
Respondents:
Release No.
34-99940
File Number:
3-18989
|
Date: |
Respondents:
Release No.
IA-6583
File Number:
3-20927
|
Date: |
Respondents:
Release No.
34-99935
File Number:
3-21841
|
Date: |
Respondents:
Release No.
34-99925
File Number:
3-21222
|
Date: |
Respondents:
Release No.
34-99919
File Number:
3-20127
|
Date: |
Respondents:
Release No.
34-99918
File Number:
3-20209
|
Date: |
Respondents:
Release No.
34-99917, IA-6582
File Number:
3-21030
|
Date: |
Respondents:
Release No.
34-99912
File Number:
3-21878
|
Date: |
Respondents:
Release No.
34-99905
File Number:
3-21467
|
Date: |
Respondents:
Release No.
34-99893
File Number:
3-21139
|
Date: |
Respondents:
Release No.
34-99891
File Number:
3-21872
|
Date: |
Respondents:
Release No.
34-99885
File Number:
3-21726
|
Date: |
Respondents:
Release No.
34-99884
File Number:
3-21654
|
Date: |
Respondents:
Release No.
34-99883
File Number:
3-21206
|
Date: |
Respondents:
Release No.
34-99870
File Number:
3-21865
|
Date: |
Respondents:
Release No.
34-99869
File Number:
3-21001
|
Date: |
Respondents:
Release No.
34-99868
File Number:
3-21626
|
Date: |
Respondents:
Release No.
34-99867
File Number:
3-20922
|
Date: |
Respondents:
Release No.
34-99866
File Number:
3-21263
|
Date: |
Respondents:
Release No.
34-99865
File Number:
3-18989
|