Breadcrumb

Administrative Proceedings

The list below provides links to opinions and orders concerning both litigated and settled administrative proceedings instituted by the Commission.

The links below direct you to the docket pages for adjudicatory proceedings – meaning administrative proceedings adjudicated by the Commission including by its consideration of initial decisions of ALJ and appeals from SRO or PCAOB action – 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.

Date Sort ascending Respondents
Release No. 34-61255
File Number: 3-13019
Release No. 34-61256
File Number: 3-13019
Release No. 34-61262, AAER-3092
File Number: 3-13732
Release No. 34-61247, IA-2967
File Number: 3-13731
Release No. 34-61252
File Number: 3-11530
Release No. 34-61243
File Number: 3-13698
Release No. 34-61245, AAER-3090
File Number: 3-13729
Release No. 33-9101, 34-61246, IA-2966, IC-29098
File Number: 3-13730
Release No. 33-9100, 34-61213
File Number: 3-13728
Release No. 34-61208
File Number: 3-13199
Release No. 34-61209
File Number: 3-11578
Release No. 34-61210
File Number: 3-11579
Release No. 33-9097, 34-61200
File Number: 3-13726
Release No. 34-61188
File Number: 3-13718
Release No. 33-9092, 34-61190, AAER-3081
File Number: 3-13719
Release No. 34-61195, AAER-3086
File Number: 3-13724
Release No. 34-61191, AAER-3082
File Number: 3-13720
Release No. 33-9096, 34-61196, AAER-3087
File Number: 3-13725
Release No. 33-9093, 34-61192, AAER-3083
File Number: 3-13721
Release No. 34-61199A
File Number: 3-11445
Release No. 33-9094, 34-61193, AAER-3084
File Number: 3-13722
Release No. 33-9095, 34-61194, AAER-3085
File Number: 3-13723
Release No. 34-61180, IA-2963
Release No. 34-61181, IA-2964
File Number: 3-13717
Release No. 34-61166
File Number: 3-13715
Release No. 34-61159
File Number: 3-13688
Release No. IA-2961
File Number: 3-13713
Release No. IA-2962
File Number: 3-13714
Release No. IA-2960
File Number: 3-13712
Release No. 34-61147, AAER-3076
File Number: 3-13709
Release No. 34-61148, AAER-3077
File Number: 3-13710
Release No. 34-61137, AAER-3074
File Number: 3-13707
Release No. 34-61149, AAER-3078
File Number: 3-13711
Release No. 34-61142
File Number: 3-11987
Release No. 34-61146, AAER-3075
File Number: 3-13708
Release No. 34-61132
File Number: 3-13706
Release No. 34-61123A, IA-2958A, IC-29067A
File Number: 3-13705
Release No. 34-61114
File Number: 3-13680
Release No. 34-61117
File Number: 3-12400
Release No. 34-61118
File Number: 3-12111
Release No. 34-61111
File Number: 3-13703
Release No. 34-61113, AAER-3072
File Number: 3-13704
Release No. 34-61108
File Number: 3-13647
Release No. 34-61109
File Number: 3-12896
Release No. 34-61092
Release No. 34-61096
File Number: 3-13702
Release No. 34-61098
File Number: 3-11317
Release No. 34-61088
File Number: 3-11818
Release No. 34-61082
File Number: 3-13660
Release No. 34-61069
File Number: 3-13263
Release No. 34-61076
File Number: 3-13699
Release No. 34-61077
File Number: 3-13700
Release No. 34-61079, IA-2957
File Number: 3-13532
Release No. 34-61063
File Number: 3-13698
Release No. 34-61064
File Number: 3-13620
Release No. IA-2956
File Number: 3-13697
Release No. 34-61054
File Number: 3-13694
Release No. 34-61055
File Number: 3-13695
Release No. 34-61056
File Number: 3-13696
Release No. IA-2954
File Number: 3-13615
Release No. 34-61058A
File Number: 3-13651
Release No. IA-2955
File Number: 3-13616
Release No. 34-61047A
File Number: 3-13676
Release No. IA-2953
File Number: 3-13693
Release No. 34-61040
File Number: 3-13621
Release No. 34-61044
Release No. 34-61045
Release No. 34-60292A
Release No. 34-61038
File Number: 3-13691
Release No. 34-61029, IA-2951
File Number: 3-13689
Release No. IA-2952
File Number: 3-13690
Release No. 34-61037
File Number: 3-11696
Release No. 34-61028
File Number: 3-13673
Release No. 34-61015
File Number: 3-13651
Release No. 34-61018
File Number: 3-13665
Release No. 34-61019
File Number: 3-13629
Release No. 34-61014
File Number: 3-13688
Release No. 34-61004
File Number: 3-13603
Release No. 34-61007
File Number: 3-13685
Release No. 34-61011
File Number: 3-13686
Release No. 34-60994
File Number: 3-13662
Release No. 34-60998, IA-2949
File Number: 3-13684
Release No. 34-60987
File Number: 3-13663
Release No. 33-9083, 34-60993, IA-2948, IC-28996
File Number: 3-13683
Release No. 34-60976
File Number: 3-13681
Release No. 34-60982
File Number: 3-13682
Release No. 34-60986
File Number: 3-12947
Release No. 34-60972
File Number: 3-13680
Release No. 34-60964
File Number: 3-13649
Release No. 34-60947
File Number: 3-13632
Release No. 34-60948
File Number: 3-13650
Release No. 34-60943
File Number: 3-13651
Release No. 34-60935, IA-2944
File Number: 3-13674
Release No. 33-9078, 34-60928
See Also: 33-9079 , and 33-9080
Release No. 33-9081, 34-60936, IA-2945, IC-28989
Release No. IA-2943
File Number: 3-13438
Release No. 34-60940
File Number: 3-13676
Release No. 34-60927
File Number: 3-13637
Release No. 34-60941
File Number: 3-13677
Release No. 34-60930
File Number: 3-13636