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.
Administrative Proceedings Table
Respondents
|
|
---|---|
Date: |
Respondents:
Release No.
34-69978
File Number:
3-15352
|
Date: |
Respondents:
Release No.
34-69984, IA-3629
File Number:
3-15377
|
Date: |
Respondents:
Release No.
34-69969, IA-3625
File Number:
3-15374
|
Date: |
Respondents:
Release No.
34-69971, IA-3626
File Number:
3-15375
|
Date: |
Respondents:
Release No.
34-69973, IA-3627
File Number:
3-15376
|
Date: |
Respondents:
Release No.
34-69946
File Number:
3-15371
|
Date: |
Respondents:
Release No.
34-69949, IA-3622
File Number:
3-15372
|
Date: |
Respondents:
Release No.
34-69950, IA-3623
File Number:
3-15373
|
Date: |
Respondents:
Release No.
34-69942
File Number:
3-15335
|
Date: |
Respondents:
Release No.
34-69943
File Number:
3-15352
|
Date: |
Respondents:
Release No.
34-69945, AAER-3472
File Number:
3-15370
|
Date: |
Respondents:
Release No.
34-69924
File Number:
3-15019
|
Date: |
Respondents:
Release No.
34-69937
File Number:
3-15369
|
Date: |
Respondents:
Release No.
34-69905
File Number:
3-15305
|
Date: |
Respondents:
Release No.
34-69906
File Number:
3-15368
|
Date: |
Respondents:
Release No.
34-69917
File Number:
3-14982
|
Date: |
Respondents:
Release No.
34-69895
File Number:
3-15367
|
Date: |
Respondents:
Release No.
34-69896
File Number:
3-15294
|
Date: |
Respondents:
Release No.
34-69886, AAER-3469
File Number:
3-15191
|
Date: |
Respondents:
Release No.
IA-3620
File Number:
3-15366
|
Date: |
Respondents:
Release No.
34-69865
File Number:
3-15325
|
Date: |
Respondents:
Release No.
34-69873, 34-69418, 34-69138, 34-67363, 33-9329, 34-67142, IA-3417, IC-30099
File Number:
3-14909
|
Date: |
Respondents:
Release No.
34-69879, 34-58441
File Number:
3-13151
|
Date: |
Respondents:
Release No.
34-69860, AAER-3465
File Number:
3-15365
|
Date: |
Respondents:
Release No.
34-69840
File Number:
3-15319
|
Date: |
Respondents:
Release No.
34-69833
File Number:
3-15301
|
Date: |
Respondents:
Release No.
34-69839
File Number:
3-15363
|
Date: |
Respondents:
Release No.
34-69815
File Number:
3-15128
|
Date: |
Respondents:
Release No.
34-69816, IA-3618, IC-30565
File Number:
3-15004
|
Date: |
Respondents:
Release No.
34-69832
File Number:
3-15362
|
Date: |
Respondents:
Release No.
34-69804
File Number:
3-15281
|
Date: |
Respondents:
Release No.
34-69808
File Number:
3-15361
|
Date: |
Respondents:
Release No.
34-69795
File Number:
3-15336
|
Date: |
Respondents:
Release No.
34-69796
File Number:
3-15334
|
Date: |
Respondents:
Release No.
34-69797
File Number:
3-15340
|
Date: |
Respondents:
Release No.
34-69778
File Number:
3-15328
|
Date: |
Respondents:
Release No.
34-69780
File Number:
3-15360
|
Date: |
Respondents:
Release No.
34-69781
File Number:
3-15359
|
Date: |
Respondents:
Release No.
34-69783
File Number:
3-15262
|
Date: |
Respondents:
Release No.
34-69769
File Number:
3-15253
|
Date: |
Respondents:
Release No.
34-69770
File Number:
3-15324
|
Date: |
Respondents:
Release No.
34-69765, AAER-3464
File Number:
3-15358
|
Date: |
Respondents:
Release No.
34-69750
File Number:
3-15356
|
Date: |
Respondents:
Release No.
34-69759
File Number:
3-15357
|
Date: |
Respondents:
Release No.
IC-30557
File Number:
3-15127
|
Date: |
Respondents:
Release No.
34-69738
File Number:
3-15330
|
Date: |
Respondents:
Release No.
34-69746
File Number:
3-14207
|
Date: |
Respondents:
Release No.
34-69727
File Number:
3-15328
|
Date: |
Respondents:
Release No.
34-69728
File Number:
3-15326
|
Date: |
Respondents:
Release No.
34-69726
File Number:
3-15353
|
Date: |
Respondents:
Release No.
34-69729
File Number:
3-15354
|
Date: |
Respondents:
Release No.
34-69730
File Number:
3-15355
|
Date: |
Respondents:
Release No.
34-69713
File Number:
3-15301
|
Date: |
Respondents:
Release No.
34-69714
File Number:
3-15328
|
Date: |
Respondents:
Release No.
34-69720
File Number:
3-14576
|
Date: |
Respondents:
Release No.
34-69704
File Number:
3-15352
|
Date: |
Respondents:
Release No.
34-69705
File Number:
3-15326
|
Date: |
Respondents:
Release No.
34-69697
File Number:
3-15302
|
Date: |
Respondents:
Release No.
34-69698
File Number:
3-15326
|
Date: |
Respondents:
Release No.
34-69689
File Number:
3-15287
|
Date: |
Respondents:
Release No.
34-69679
File Number:
3-15289
|
Date: |
Respondents:
Release No.
34-69680, IA-3615
File Number:
3-15347
|
Date: |
Respondents:
Release No.
34-69687
File Number:
3-15348
|
Date: |
Respondents:
Release No.
34-69688
File Number:
3-15349
|
Date: |
Respondents:
Release No.
IA-3614
File Number:
3-15345
|
Date: |
Respondents:
Release No.
IA-3613
File Number:
3-15342
|
Date: |
Respondents:
Release No.
34-69660
File Number:
3-15202
|
Date: |
Respondents:
Release No.
34-69662
File Number:
3-15341
|
Date: |
Respondents:
Release No.
34-69663
File Number:
3-15288
|
Date: |
Respondents:
Release No.
34-69664
File Number:
3-15319
|
Date: |
Respondents:
Release No.
34-69665
File Number:
3-15319
|
Date: |
Respondents:
Release No.
34-69667
File Number:
3-15343
|
Date: |
Respondents:
Release No.
33-9406, 34-69668
File Number:
3-14974
|
Date: |
Respondents:
Release No.
33-9407
File Number:
3-15344
|
Date: |
Respondents:
Release No.
34-69646
File Number:
3-15334
|
Date: |
Respondents:
Release No.
34-69648
File Number:
3-15335
|
Date: |
Respondents:
Release No.
34-69650
File Number:
3-15336
|
Date: |
Respondents:
Release No.
34-69652
File Number:
3-15337
|
Date: |
Respondents:
Release No.
34-69654, AAER-3461
File Number:
3-15338
|
Date: |
Respondents:
Release No.
34-69655
File Number:
3-15339
|
Date: |
Respondents:
Release No.
34-69656
File Number:
3-15340
|
Date: |
Respondents:
Release No.
34-69644, AAER-3459
File Number:
3-15078
|
Date: |
Respondents:
Release No.
34-69645, AAER-3460
File Number:
3-15077
|
Date: |
Respondents:
Release No.
34-69637, IA-3612
File Number:
3-15068
|
Date: |
Respondents:
Release No.
34-69640
File Number:
3-15333
|
Date: |
Respondents:
Release No.
34-69626
File Number:
3-15330
|
Date: |
Respondents:
Release No.
IA-3611
File Number:
3-15331
|
Date: |
Respondents:
Release No.
34-69623
File Number:
3-15332
|
Date: |
Respondents:
Release No.
34-69627, IC-30540
File Number:
3-15049
|
Date: |
Respondents:
Release No.
34-69630, 34-69592
File Number:
3-15273
|
Date: |
Respondents:
Release No.
34-69616
File Number:
3-15279
|
Date: |
Respondents:
Release No.
34-69618
File Number:
3-15328
|
Date: |
Respondents:
Release No.
34-69619
File Number:
3-15319
|
Date: |
Respondents:
Release No.
34-69621
File Number:
3-15246
|
Date: |
Respondents:
Release No.
34-69624
File Number:
3-14594
|
Date: |
Respondents:
Release No.
33-9404
File Number:
3-15329
|
Date: |
Respondents:
Release No.
IA-3610
File Number:
3-15260
|
Date: |
Respondents:
Release No.
34-69601, IA-3609, IC-30525
File Number:
3-14955
|
Date: |
Respondents:
Release No.
34-69604
See Also:
Proposed Plan of Distribution
File Number:
3-14950
|
Date: |
Respondents: Alexander V. Rekeda, Xavier Capdepon and Gwen Snorteland, Delaware Asset Advisers and Wei (Alex) Wei
Release No.
34-69600
File Number:
3-14953, 3-14954, 3-14952
|