Administrative Proceedings
The links below direct you to the individual case pages for litigated administrative proceedings adjudicated by the Commission, including its consideration of appeals from initial decisions issued by administrative law judges or from SRO or PCAOB action. The case pages contain the Commission opinions and orders as well as significant filings in such matters. The links below additionally direct you to the electronic filing system for administrative proceedings and to information for respondents in administrative proceedings.
- Litigated AP Case Materials (Open)
- Litigated AP Case Materials (Closed)
- Electronic Filings in Administrative Proceedings (eFAP)
- Information for Respondents in Administrative Proceedings
- Subpoena Form to Produce Documents - Proceeding Before the Commission
- Subpoena Form to Appear and Testify at a Deposition - Proceeding Before the Commission
Below is a chronological list of links to orders by the Commission instituting both litigated and settled administrative proceedings and to issuances for the Commission, by the Division of Enforcement, pursuant to delegated authority. The orders and other issuances in litigated administrative proceedings below also may be found on the individual case pages linked on the Open Litigated Administrative Proceedings and Closed Litigated Administrative Proceedings pages, together with filings made in the proceedings. The issuances pertaining to distribution proceedings may also be found in the individual case charts on the Distributions in Commission Administrative Proceedings: Notices and Orders Pertaining to Disgorgement and Fair Funds page.
| Date Sort descending | Respondents |
|---|---|
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Release No.
34-83906
File Number:
3-18663
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Release No.
IA-4991
File Number:
3-18657
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Release No.
33-10535
File Number:
3-18665
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Release No.
34-83899, IA-4992
File Number:
3-18661
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Release No.
33-10533, 34-83893
File Number:
3-18653
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Release No.
34-83896
See Also:
Administrative Summary
File Number:
3-18655
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Release No.
33-10534, 34-83894
File Number:
3-18654
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Release No.
34-83897
File Number:
3-18070
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Release No.
IA-4990, IC-33208
File Number:
3-18656
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Release No.
34-83886, IA-4989
File Number:
3-18651, 3-18637
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Release No.
34-83889, AAER-3960
See Also:
Administrative Summary
File Number:
3-18652
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Release No.
34-83873, IA-4988, IC-33202
File Number:
3-18649
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Release No.
IA-4987
File Number:
3-18648
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Release No.
34-83883, AAER-3959
File Number:
3-18650
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Release No.
34-83858, AAER-3958
File Number:
3-18646
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Release No.
34-83859, IA-4986
File Number:
3-18647
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Release No.
34-83857
File Number:
3-18645
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Release No.
34-83848, IA-4985
File Number:
3-18642
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Release No.
34-83851
File Number:
3-18643
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Release No.
34-83854, AAER-3957
File Number:
3-18644
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Release No.
33-10529, 34-83838
File Number:
3-18639
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Release No.
34-83840
File Number:
3-18640
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Release No.
IA-4984
See Also:
Administrative Summary
File Number:
3-18638
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Release No.
33-10530, 34-83839
File Number:
3-18641
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Release No.
IA-4983
See Also:
Administrative Summary
File Number:
3-18636
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Release No.
IA-4979
File Number:
3-18632
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Release No.
IA-4980
File Number:
3-18633
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Release No.
34-83816, IA-4981, IC-33198
File Number:
3-18634
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Release No.
34-83817, IA-4982, IC-33199
File Number:
3-18635
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Release No.
34-83804
File Number:
3-18629
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Release No.
34-83805, AAER-3954
File Number:
3-18630
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Release No.
34-83806, AAER-3955
File Number:
3-18631
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Release No.
34-83807, AAER-3956
File Number:
3-17553
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Release No.
34-83801
File Number:
3-18626
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Release No.
34-83802
File Number:
3-18627
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Release No.
34-83803
File Number:
3-18628
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Release No.
34-83795
See Also:
Administrative Summary
File Number:
3-18625
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Release No.
33-10528, 34-83791
File Number:
3-18624
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Release No.
34-83779, IC-33190
File Number:
3-18623
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Release No.
34-83769
File Number:
3-18527
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Release No.
34-83773
File Number:
3-18622
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Release No.
34-83777
File Number:
3-18479
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Release No.
34-83772, AAER-3953
File Number:
3-18621
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Release No.
IA-4977
File Number:
3-18620
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Release No.
34-83764
File Number:
3-18393
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Release No.
34-83766
File Number:
3-17582, 3-17628
|
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Release No.
34-83742
See Also:
Administrative Summary
File Number:
3-18618
|
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Release No.
34-83754, IC-33188
File Number:
3-18619
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Release No.
34-83727
File Number:
3-18408
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Release No.
33-10525, 34-83693
File Number:
3-18614
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Release No.
33-10524
File Number:
3-18613
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Release No.
34-83697, IA-4976
File Number:
3-18615
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Release No.
34-83688
File Number:
3-18611
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Release No.
34-83685
File Number:
3-18609
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Release No.
34-83686
File Number:
3-18610
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Release No.
33-10523
File Number:
3-18605
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Release No.
34-83677
File Number:
3-18606
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Release No.
IA-4975
See Also:
Administrative Summary
File Number:
3-18607
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Release No.
34-83683
File Number:
3-18496
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Release No.
34-83684
File Number:
3-18608
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Release No.
34-83669
See Also:
Distribution Plan
File Number:
3-14993
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Release No.
IA-4973, IC-33162
File Number:
3-18604
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Release No.
34-83652, IA-4971
File Number:
3-18600
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Release No.
34-83649, IA-4969
File Number:
3-18597
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Release No.
IA-4972
File Number:
3-18601
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Release No.
33-10519, 34-83655, AAER-3952
File Number:
3-18602
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Release No.
34-83657
File Number:
3-18603
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Release No.
34-83650
File Number:
3-18598
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Release No.
IA-4970
See Also:
Administrative Summary
File Number:
3-18599
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Release No.
34-83636
File Number:
3-16000
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Release No.
34-83637, IA-4968
File Number:
3-18596
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Release No.
34-83626
File Number:
3-18594
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Release No.
34-83627
File Number:
3-18595
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Release No.
IA-4967
File Number:
3-18593
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Anton & Chia, LLP Wahl, Gregory A., CPA Deutchman, Michael, CPA Chung, Georgia, CPA Shek, Tommy, CPA
Release No.
34-83622, AAER-3951
File Number:
3-18292
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Release No.
34-83620, AAER-3950
File Number:
3-18592
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Release No.
34-83621
See Also:
Proposed Distribution Plan
Comments Due:
30 days from date of this Notice
File Number:
3-17899, 3-17900
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Release No.
33-10517, 34-83612, AAER-3949
See Also:
Administrative Summary
File Number:
3-18582
|
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Release No.
IA-4964
See Also:
Administrative Summary
File Number:
3-18589
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Release No.
34-83615, IA-4966
File Number:
3-18591
|
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Release No.
34-83611, IA-4957
File Number:
3-18581
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Release No.
34-83613, IA-4965
See Also:
Administrative Summary
File Number:
3-18590
|
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Release No.
IA-4958
File Number:
3-18583
|
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Release No.
IA-4959
File Number:
3-18584
|
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Release No.
IA-4960
File Number:
3-18585
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Release No.
IA-4961
See Also:
Administrative Summary
File Number:
3-18586
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Release No.
IA-4962
See Also:
Administrative Summary
File Number:
3-18587
|
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Release No.
IA-4963
See Also:
Administrative Summary
File Number:
3-18588
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Release No.
34-83605
File Number:
3-18576
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Release No.
34-83606
File Number:
3-18577
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Release No.
34-83607
File Number:
3-18578
|
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Release No.
34-83608
File Number:
3-18579
|
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Release No.
34-83610
File Number:
3-18580
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Release No.
34-83604, IA-4956, IC-33151
File Number:
3-18414
|
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Release No.
34-83598
File Number:
3-18573
|
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Release No.
34-83602, IA-4954, IC-33150
File Number:
3-18574
|
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Release No.
34-83603, IA-4955
File Number:
3-18575
|
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Release No.
34-83593, AAER-3948
File Number:
3-18571
|
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Release No.
34-83575, AAER-3944
See Also:
Administrative Summary
File Number:
3-18568
|
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Release No.
33-10516, 34-83578, AAER-3946
File Number:
3-18569
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