ALJ Initial Decisions
Administrative Law Judges issued the following Initial Decisions pursuant to 5 U.S.C § 557 and 17 C.F.R. § 201.360(a).
Related Resources:
Date Sort ascending | Respondents |
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Release No.
1229
File Number:
3-18107
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Release No.
1228
File Number:
3-18219
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Release No.
1227
File Number:
3-17699
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Release No.
1226
File Number:
3-17990
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Release No.
1225
File Number:
3-18193
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Release No.
1223
File Number:
3-18153
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Release No.
1224
File Number:
3-18223
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Release No.
1222
File Number:
3-18173
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Release No.
1219
File Number:
3-18199
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Release No.
1220
File Number:
3-18201
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Release No.
1221
File Number:
3-18130
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Release No.
1217
File Number:
3-18207
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Release No.
1218
File Number:
3-18221
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Release No.
1216
File Number:
3-18204
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Release No.
1214
File Number:
3-18217
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Release No.
1215
File Number:
3-18210
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Release No.
1213
See Also:
Release Nos. 34-80197
,
and 34-80198
File Number:
3-17874
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Release No.
1210
File Number:
3-18208
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Release No.
1206
File Number:
3-18206
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Release No.
1207
File Number:
3-18220
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Release No.
1208
File Number:
3-18203
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Release No.
1209
File Number:
3-18179
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Release No.
1205
File Number:
3-18185
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Release No.
1211
File Number:
3-18180
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Release No.
1212
File Number:
3-18190
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Release No.
1199
File Number:
3-18156
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Release No.
1203
File Number:
3-18129
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Release No.
1200
File Number:
3-18191
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Release No.
1201
File Number:
3-18038
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Release No.
1198
File Number:
3-18189
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Release No.
1202
File Number:
3-17558
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Release No.
1204
File Number:
3-18202
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Release No.
1197
File Number:
3-18157
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Release No.
1196
File Number:
3-18177
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Release No.
1195
File Number:
3-17352
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Release No.
1193
File Number:
3-18148
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Release No.
1194
File Number:
3-18170
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Release No.
1191
File Number:
3-18155
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Release No.
1190
File Number:
3-18149
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Release No.
1192
File Number:
3-18095
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|
Release No.
1189
File Number:
3-18169
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|
Release No.
1188
File Number:
3-18174
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|
Release No.
1185
File Number:
3-18146
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|
Release No.
1186
File Number:
3-18162
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Release No.
1187
File Number:
3-18151
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Release No.
1184
File Number:
3-18141
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|
Release No.
1183
File Number:
3-18142
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|
Release No.
1182
See Also:
Order Instituting Proceedings, Release No. IA-4053
,
Finality Order, Release Nos. IA-4815, IC-32926
File Number:
3-16462
|
|
Release No.
1180
File Number:
3-18096
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|
Release No.
1181
File Number:
3-18106
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|
Release No.
1177
File Number:
3-18105
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|
Release No.
1178
File Number:
3-18017
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|
Release No.
1179
File Number:
3-16604
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|
Release No.
1176
File Number:
3-18103
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Release No.
1175
File Number:
3-18082
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|
Release No.
1172
File Number:
3-18097
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|
Release No.
1173
File Number:
3-18104
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|
Release No.
1174
File Number:
3-18077
|
|
Release No.
1170
File Number:
3-18081
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|
Release No.
1171
File Number:
3-18079
|
|
Release No.
1168
File Number:
3-18092
|
|
Release No.
1169
File Number:
3-18091
|
|
Release No.
1166
File Number:
3-18037
|
|
Release No.
1167
File Number:
3-16349
|
|
Release No.
1165
File Number:
3-18078
|
|
Release No.
1164
File Number:
3-18023
|
|
Release No.
1163
See Also:
Order Instituting Proceedings, Release No. 33-10254
,
Finality Order, Release No. 33-10439
File Number:
3-17676
|
|
Release No.
1161
See Also:
Order Instituting Proceedings, Release No. 33-10120
,
Finality Order, Release No. 33-10434
File Number:
3-17387
|
|
Release No.
1162
File Number:
3-18038
|
|
Release No.
1160
File Number:
3-17848
|
|
Release No.
1159
File Number:
3-18047
|
|
Release No.
1158
File Number:
3-17883
|
|
Release No.
1157
File Number:
3-17751
|
|
Release No.
1156
See Also:
Order Instituting Proceedings, Release No. 34-80846
,
Finality Order, Release No. 34-81897
File Number:
3-18007
|
|
Release No.
1155
See Also:
Release No. 33-10358
,
Release No. 33-10359
,
Release No. 33-10360
,
Release No. 33-10361
,
Release No. 33-10362
,
Release No. 33-10363
,
Finality Order, Release No. 33-10427
File Number:
3-17984
|
|
Release No.
1154
See Also:
Order Instituting Proceedings, Release No. 34-80765
,
Finality Order, Release No. 34-81832
File Number:
3-17999
|
|
Release No.
1153
See Also:
Order Instituting Proceedings, Release No. 34-80880
,
Finality Order, Release No. 34-81833
File Number:
3-18014
|
|
Release No.
1152
See Also:
Order Instituting Proceedings, Release No. 34-80519
,
Finality Order, Release No. 34-81831
File Number:
3-17941
|
|
Release No.
1151
See Also:
Order Instituting Proceedings, Release No. 34-80829
,
Finality Order, Release No. 34-81834
File Number:
3-18004
|
|
Release No.
1150
See Also:
Order Instituting Proceedings, Release No. 34-80493
,
Finality Order, Release No. 34-81811
File Number:
3-17935
|
|
Release No.
1148
See Also:
Order Instituting Proceedings, Release No. 34-80703
,
Finality Order, Release No. 34-81812
File Number:
3-17991
|
|
Release No.
1149
See Also:
Order Instituting Proceedings
,
Order Instituting Proceedings
,
IA-4630
,
Finality Order, Release No. IA-4786
File Number:
3-17818
|
|
Release No.
1146
See Also:
Order Instituting Proceedings, Release No. 34-80633
,
Finality Order, Release No. 34-81813
File Number:
3-17977
|
|
Release No.
1147
See Also:
Order Instituting Proceedings, Release No. 34-80095
,
Finality Order, Release No. 34-81808
File Number:
3-17856
|
|
Release No.
1145
See Also:
Order Instituting Proceedings, Release No. 34-80701
,
Finality Order, Release No. 34-81809
File Number:
3-17990
|
|
Release No.
1143
See Also:
Order Instituting Proceedings, Release No. 34-80493
,
Finality Order, Release No. 34-81563
File Number:
3-17935
|
|
Release No.
1144
See Also:
Order Instituting Proceedings, Release No. 34-80299
,
Finality Order, Release No. 34-81800
File Number:
3-17888
|
|
Release No.
1142
See Also:
Order Instituting Proceedings, Release No. 33-10215
,
Finality Order, Release No. 33-10423
File Number:
3-17550
|
|
Release No.
1141
File Number:
3-17811
|
|
Release No.
1140
File Number:
3-17686
|
|
Release No.
1138
See Also:
Order Instituting Proceedings, Release No. 34-80365
,
Finality Order, Release No. 34-81509
File Number:
3-17897
|
|
Release No.
1139
See Also:
Order Instituting Proceedings, Release No. 34-80446
,
Finality Order, Release No. 34-81508
File Number:
3-17928
|
|
Release No.
1136
See Also:
Order Instituting Proceedings, Release No. 34-80174
,
Finality Order, Release No. 34-81242
File Number:
3-17868
|
|
Release No.
1137
See Also:
Order Instituting Proceedings, Release No. 34-80344
,
Finality Order, Release No. 34-81241
File Number:
3-17894
|
|
Release No.
1135
See Also:
Order Instituting Proceedings, Release No. 34-80174
,
Finality Order, Release No. 34-81234
File Number:
3-17868
|
|
Release No.
1134
See Also:
Order Instituting Proceedings, Release No. 34-80145
,
Finality Order, Release No. 34-81553
File Number:
3-17865
|
|
Release No.
1133
See Also:
Order Instituting Proceedings, Release No. 34-80261
,
Finality Order, Release No. 34-81243
File Number:
3-17882
|
|
Release No.
1131
See Also:
Order Instituting Proceedings, Release No. 34-80112
,
Finality Order, Release No. 34-81125
File Number:
3-17859
|
|
Release No.
1132
See Also:
Order Instituting Proceedings, Release No. 33-10313
,
Finality Order, Release No. 34-10400
File Number:
3-17861
|
|
Release No.
1130
File Number:
3-17551
|