Administrative law judges (ALJs) serve as independent adjudicators who determine whether allegations against respondents in SEC enforcement proceedings are true. The judges conduct public hearings, issue subpoenas, hold conferences with parties, rule on motions, and rule on the admissibility of evidence.

ALJs prepare an initial decision that sets forth factual findings and legal conclusions while determining whether sanctions are warranted.

Learn more about the Office of Administrative Law Judges

Dean Metry bio photo

Dean Metry

Chief Administrative Law Judge

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ALJ Orders

ALJs issue orders to schedule hearings, rule on motions, or otherwise communicate to parties involved in an administrative proceeding.

ALJ Initial Decisions

ALJs issue rulings interpreting and applying the law in contested administrative proceedings that the Commission has discretion to review.

Documents in Administrative Proceedings

The public has access to documents containing the principal pleadings, orders, and decisions in present or past SEC administrative proceedings.