During enforcement proceedings assigned to one of the SEC's administrative law judges (ALJs), a judge may issue orders to schedule hearings, rule on motions or the admissibility of evidence, or otherwise communicate information to the parties involved.

View orders arranged by date below. 

ALJ Orders: Administrative Law Judges Table

Respondents
Date: Respondents:
Release No. AP-4496
File Number: 3-17733
Date: Respondents:
Release No. AP-4490
File Number: 3-17698
Date: Respondents:
Release No. AP-4491
File Number: 3-17651
Date: Respondents:
Release No. AP-4492
File Number: 3-17711
Date: Respondents:
Release No. AP-4493
File Number: 3-17393
Date: Respondents:
Release No. AP-4494
File Number: 3-17558
Date: Respondents:
Release No. AP-4495
File Number: 3-17387
Date: Respondents:
Release No. AP-4485
File Number: 3-17747
Date: Respondents:
Release No. AP-4486
File Number: 3-17748
Date: Respondents:
Release No. AP-4487
File Number: 3-17749
Date: Respondents:
Release No. AP-4488
File Number: 3-17686
Date: Respondents:
Release No. AP-4489
File Number: 3-17751
Date: Respondents:
Release No. AP-4484
File Number: 3-17104
Date: Respondents:
Release No. AP-4480
File Number: 3-17743
Date: Respondents:
Release No. AP-4481
File Number: 3-17744
Date: Respondents:
Release No. AP-4482
File Number: 3-17372
Date: Respondents:
Release No. AP-4483
File Number: 3-17387
Date: Respondents:
Release No. AP-4477
File Number: 3-17527
Date: Respondents:
Release No. AP-4478
File Number: 3-17645
Date: Respondents:
Release No. AP-4479
File Number: 3-17387
Date: Respondents:
Release No. AP-4475
File Number: 3-17740
Date: Respondents:
Release No. AP-4476
File Number: 3-17685
Date: Respondents:
Release No. AP-4468
File Number: 3-17733
Date: Respondents:
Release No. AP-4469
File Number: 3-17700
Date: Respondents:
Release No. AP-4470
File Number: 3-17685
Date: Respondents:
Release No. AP-4471
File Number: 3-17657
Date: Respondents:
Release No. AP-4472
File Number: 3-17676
Date: Respondents:
Release No. AP-4473
File Number: 3-16554
Date: Respondents:
Release No. AP-4474
File Number: 3-17342
Date: Respondents:
Release No. AP-4461
File Number: 3-17683
Date: Respondents:
Release No. AP-4462
File Number: 3-16383
Date: Respondents:
Release No. AP-4463
File Number: 3-17405
Date: Respondents:
Release No. AP-4464
File Number: 3-17650
Date: Respondents:
Release No. AP-4465
File Number: 3-17674
Date: Respondents:
Release No. AP-4466
File Number: 3-16554
Date: Respondents:
Release No. AP-4467
File Number: 3-17651
Date: Respondents:
Release No. AP-4455
File Number: 3-16349
Date: Respondents:
Release No. AP-4456
File Number: 3-17387
Date: Respondents:
Release No. AP-4457
File Number: 3-17393
Date: Respondents:
Release No. AP-4458
File Number: 3-17558
Date: Respondents:
Release No. AP-4459
File Number: 3-17157
Date: Respondents:
Release No. AP-4460
File Number: 3-17387
Date: Respondents:
Release No. AP-4454
File Number: 3-17716
Date: Respondents:
Release No. AP-4445
File Number: 3-17721
Date: Respondents:
Release No. AP-4446
File Number: 3-17550
Date: Respondents:
Release No. AP-4447
File Number: 3-17387
Date: Respondents:
Release No. AP-4448
File Number: 3-16649
Date: Respondents:
Release No. AP-4449
File Number: 3-16649
Date: Respondents:
Release No. AP-4450
File Number: 3-17528
Date: Respondents:
Release No. AP-4451
File Number: 3-17657
Date: Respondents:
Release No. AP-4452
File Number: 3-16649
Date: Respondents:
Release No. AP-4453
File Number: 3-17685
Date: Respondents:
Release No. AP-4440
File Number: 3-17387
Date: Respondents:
Release No. AP-4441
File Number: 3-17559
Date: Respondents:
Release No. AP-4442
File Number: 3-16554
Date: Respondents:
Release No. AP-4443
File Number: 3-17699
Date: Respondents:
Release No. AP-4444
File Number: 3-17698
Date: Respondents:
Release No. AP-4430
File Number: 3-17715
Date: Respondents:
Release No. AP-4431
File Number: 3-17716
Date: Respondents:
Release No. AP-4432
File Number: 3-17692
Date: Respondents:
Release No. AP-4433
File Number: 3-17690
Date: Respondents:
Release No. AP-4434
File Number: 3-17574
Date: Respondents:
Release No. AP-4435
File Number: 3-17686
Date: Respondents:
Release No. AP-4436
File Number: 3-17676
Date: Respondents:
Release No. AP-4437
File Number: 3-17674
Date: Respondents:
Release No. AP-4438
File Number: 3-17650
Date: Respondents:
Release No. AP-4439
File Number: 3-17528
Date: Respondents:
Release No. AP-4427
File Number: 3-17507
Date: Respondents:
Release No. AP-4428
File Number: 3-16554
Date: Respondents:
Release No. AP-4429
File Number: 3-17651
Date: Respondents:
Release No. AP-4423
File Number: 3-17661
Date: Respondents:
Release No. AP-4424
File Number: 3-16227, 3-16229
Date: Respondents:
Release No. AP-4425
File Number: 3-17693
Date: Respondents:
Release No. AP-4426
File Number: 3-17698
Date: Respondents:
Release No. AP-4420
File Number: 3-17679
Date: Respondents:
Release No. AP-4421
File Number: 3-17711
Date: Respondents:
Release No. AP-4422
File Number: 3-16383
Date: Respondents:
Release No. AP-4419
File Number: 3-17683
Date: Respondents:
Release No. AP-4414
File Number: 3-17559
Date: Respondents:
Release No. AP-4415
File Number: 3-17641
Date: Respondents:
Release No. AP-4416
File Number: 3-17680
Date: Respondents:
Release No. AP-4417
File Number: 3-17519
Date: Respondents:
Release No. AP-4418
File Number: 3-17681
Date: Respondents:
Release No. AP-4409
File Number: 3-16649
Date: Respondents:
Release No. AP-4410
File Number: 3-17699
Date: Respondents:
Release No. AP-4411
File Number: 3-17700
Date: Respondents:
Release No. AP-4412
File Number: 3-17551
Date: Respondents:
Release No. AP-4413
File Number: 3-17210
Date: Respondents:
Release No. AP-4405
File Number: 3-17657
Date: Respondents:
Release No. AP-4406
File Number: 3-17387
Date: Respondents:
Release No. AP-4407
File Number: 3-17387
Date: Respondents:
Release No. AP-4408
File Number: 3-17674
Date: Respondents:
Release No. AP-4403
File Number: 3-17698
Date: Respondents:
Release No. AP-4404
File Number: 3-17651
Date: Respondents:
Release No. AP-4393
File Number: 3-16649
Date: Respondents:
Release No. AP-4394
File Number: 3-16383
Date: Respondents:
Release No. AP-4395
File Number: 3-17387
Date: Respondents:
Release No. AP-4396
File Number: 3-17633
Date: Respondents:
Release No. AP-4397
File Number: 3-17651
Date: Respondents:
Release No. AP-4398
File Number: 3-17664, 3-17665, 3-17666, 3-17667