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.

Administrative Proceedings Table

Respondents
Date: Respondents:
Release No. 34-100339
File Number: 3-21966
Date: Respondents:
Release No. IA-6628
File Number: 3-21965
Date: Respondents:
Release No. 33-11290, 34-100329
File Number: 3-21964
Date: Respondents:
Release No. 34-100323, IA-6627
File Number: 3-21963
Date: Respondents:
Release No. 34-100318, IA-6623
File Number: 3-21962
Date: Respondents:
Release No. IA-6622
File Number: 3-21961
Date: Respondents:
Release No. 34-100298
File Number: 3-21960
Date: Respondents:
Release No. 34-100294
File Number: 3-21923
Date: Respondents:
Release No. 33-11289, 34-100288, AAER-4506
File Number: 3-21959
Date: Respondents:
Release No. 34-100285, IA-6621
File Number: 3-21958
Date: Respondents:
Release No. 34-100280
File Number: 3-21954
Date: Respondents:
Release No. IA-6620
File Number: 3-21957
Date: Respondents:
Release No. IA-6619
File Number: 3-21956
Date: Respondents:
Release No. IA-6618
File Number: 3-21955
Date: Respondents:
Release No. 34-100271
File Number: 3-20125
Date: Respondents:
Release No. 34-100270
File Number: 3-18681, 3-18682, 3-18683
Date: Respondents:
Release No. 34-100258, AAER-4505
File Number: 3-21953
Date: Respondents:
Release No. 34-100250, AAER-4504
File Number: 3-18123
Date: Respondents:
Release No. 34-100249
File Number: 3-21952
Date: Respondents:
Release No. 34-100238
File Number: 3-21951
Date: Respondents:
Release No. IA-6616, IC-35207
File Number: 3-21950
Date: Respondents:
Release No. IA-6615
File Number: 3-21949
Date: Respondents:
Release No. 34-100222
See Also: Distribution Plan
File Number: 3-21140, 3-21141
Date: Respondents:
Release No. 34-100207
File Number: 3-21948
Date: Respondents:
Release No. 34-100206
File Number: 3-21947
Date: Respondents:
Release No. 34-100201
File Number: 3-21946
Date: Respondents:
Release No. 34-100186, IA-6609
File Number: 3-21945
Date: Respondents:
Release No. 34-100184
File Number: 3-21944
Date: Respondents:
Release No. 34-100183
File Number: 3-21943
Date: Respondents:
Release No. 34-100180
File Number: 3-21535
Date: Respondents:
Release No. 34-100179
File Number: 3-20883
Date: Respondents:
Release No. 34-100178
File Number: 3-17673
Date: Respondents:
Release No. 34-100176
File Number: 3-20060
Date: Respondents:
Release No. 34-100175
File Number: 3-21355
Date: Respondents:
Release No. 34-100172
File Number: 3-21942
Date: Respondents:
Release No. 34-100171
File Number: 3-21940
Date: Respondents:
Release No. 34-100170, AAER-4503
File Number: 3-21939
Date: Respondents:
Release No. 34-100165, IA-6607, IC-35195, AAER-4502
File Number: 3-21938
Date: Respondents:
Release No. 34-100154
See Also: Distribution Plan
File Number: 3-17582
Date: Respondents:
Release No. 34-100153
File Number: 3-20003
Date: Respondents:
Release No. IA-6603
File Number: 3-21937
Date: Respondents:
Release No. 34-100106, IA-6602
File Number: 3-21936
Date: Respondents:
Release No. IA-6601
File Number: 3-21935
Date: Respondents:
Release No. 34-100101, AAER-4501
File Number: 3-20117
Date: Respondents:
Release No. 34-100100
See Also: Distribution Plan
File Number: 3-20906
Date: Respondents:
Release No. 33-11285, 34-100074
File Number: 3-21932
Date: Respondents:
Release No. 34-100082
File Number: 3-21934
Date: Respondents:
Release No. 34-100073
File Number: 3-16852
Date: Respondents:
Release No. IA-6600, IC-35187
File Number: 3-21931
Date: Respondents:
Release No. 33-11284
File Number: 3-21930
Date: Respondents:
Release No. 34-100066
File Number: 3-20597
Date: Respondents:
Release No. 34-100064
File Number: 3-21929
Date: Respondents:
Release No. 34-100054
File Number: 3-21927
Date: Respondents:
Release No. 33-11283, 34-100053, AAER-4500
File Number: 3-21926
Date: Respondents:
Release No. 34-100045
File Number: 3-21925
Date: Respondents:
Release No. IA-6597, IC-35182
File Number: 3-21923
Date: Respondents:
Release No. 34-100019
File Number: 3-21922
Date: Respondents:
Release No. 34-100018
File Number: 3-21921
Date: Respondents:
Release No. 34-100007, AAER-4498
File Number: 3-21920
Date: Respondents:
Release No. IA-6594
File Number: 3-21919
Date: Respondents:
Release No. IA-6593
File Number: 3-21918
Date: Respondents:
Release No. 34-99985
File Number: 3-21917
Date: Respondents:
Release No. 34-99967
File Number: 3-19541
Date: Respondents:
Release No. IA-6591
File Number: 3-21916
Date: Respondents:
Release No. 34-99966
File Number: 3-21295
Date: Respondents:
Release No. 34-99958
File Number: 3-21542
Date: Respondents:
Release No. IA-6590
File Number: 3-21914
Date: Respondents:
Release No. 34-99953
File Number: 3-21913
Date: Respondents:
Release No. 34-99952
File Number: 3-21907
Date: Respondents:
Release No. 34-99948
File Number: 3-21908
Date: Respondents:
Release No. 33-11281, 34-99947
File Number: 3-20898
Date: Respondents:
Release No. IA-6589
File Number: 3-21912
Date: Respondents:
Release No. IA-6588
File Number: 3-21911
Date: Respondents:
Release No. IA-6587
File Number: 3-21910
Date: Respondents:
Release No. IA-6586
File Number: 3-21909
Date: Respondents:
Release No. IA-6585, IC-35170
File Number: 3-21906
Date: Respondents:
Release No. 34-99945
File Number: 3-20252, 3-20253
Date: Respondents:
Release No. 34-99944
File Number: 3-17614
Date: Respondents:
Release No. 34-99942
File Number: 3-21103
Date: Respondents:
Release No. 34-99941
File Number: 3-17956
Date: Respondents:
Release No. 34-99936
File Number: 3-21877
Date: Respondents:
Release No. 34-99933
File Number: 3-21863
Date: Respondents:
Release No. 34-99930, AAER-4497
File Number: 3-21905
Date: Respondents:
Release No. 34-99928
File Number: 3-21904
Date: Respondents:
Release No. 34-99927
File Number: 3-21903
Date: Respondents:
Release No. 34-99926
File Number: 3-21902
Date: Respondents:
Release No. 34-99904
File Number: 3-16729
Date: Respondents:
Release No. 34-99903
File Number: 3-21901
Date: Respondents:
Release No. 34-99901
File Number: 3-21816
Date: Respondents:
Release No. 34-99900
File Number: 3-21836
Date: Respondents:
Release No. 34-99899
File Number: 3-20963
Date: Respondents:
Release No. 34-99898
File Number: 3-20087, 3-20088
Date: Respondents:
Release No. 34-99897
File Number: 3-21717
Date: Respondents:
Release No. IA-6581
File Number: 3-21900
Date: Respondents:
Release No. 34-99896
File Number: 3-21762
Date: Respondents:
Release No. 34-99895
File Number: 3-21355
Date: Respondents:
Release No. 34-99894, IA-6580
File Number: 3-21899
Date: Respondents:
Release No. 34-99886
File Number: 3-21837
Date: Respondents:
Release No. 34-99882
File Number: 3-21898
Date: Respondents:
Release No. 34-99832
File Number: 3-21897