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. 34-82419
File Number: 3-18327
Date: Respondents:
Release No. 34-82410
File Number: 3-17791
Date: Respondents:
Release No. 34-82411
File Number: 3-16852
Date: Respondents:
Release No. 34-82412
File Number: 3-18326
Date: Respondents:
Release No. 34-82404
File Number: 3-18325
Date: Respondents:
Release No. 34-82393
File Number: 3-18321
Date: Respondents:
Release No. 33-10449, 34-82395
File Number: 3-18322
Date: Respondents:
Release No. 33-10448, IA-4833, IC-32951
File Number: 3-18320
Date: Respondents:
Release No. 34-82397, IA-4834
File Number: 3-18323
Date: Respondents:
Release No. 34-82399, IA-4835
File Number: 3-18324
Date: Respondents:
Release No. 34-82400
File Number: 3-1513400
Date: Respondents:
Release No. 34-82382, IA-4831
File Number: 3-18318
Date: Respondents:
Release No. 34-82383, IA-4832
File Number: 3-18319
Date: Respondents:
Release No. IA-4830
File Number: 3-18317
Date: Respondents:
Release No. 34-82361, IA-4829
File Number: 3-18311
Date: Respondents:
Release No. 34-82369
File Number: 3-18219
Date: Respondents:
Release No. IA-4828
File Number: 3-18312
Date: Respondents:
Release No. 34-82329
File Number: 3-17672
Date: Respondents:
Release No. 34-82330
File Number: 3-17740
Date: Respondents:
Release No. 34-82333
File Number: 3-12372
Date: Respondents:
Release No. IA-4827
File Number: 3-18309
Date: Respondents:
Release No. 34-82292
File Number: 3-18306
Date: Respondents:
Release No. 34-82293, AAER-3916
File Number: 3-18308
Date: Respondents:
Release No. 34-82294
File Number: 3-18307
Date: Respondents:
Release No. 33-10445
File Number: 3-18304
Date: Respondents:
Release No. 34-82282, IA-4826
File Number: 3-18305
Date: Respondents:
Release No. 33-10443, IA-4824, IC-32937
File Number: 3-18303
Date: Respondents:
Release No. 34-82242
File Number: 3-18299
Date: Respondents:
Release No. 34-82243
File Number: 3-18300
Date: Respondents:
Release No. 34-82244, IA-4822
File Number: 3-18301
Date: Respondents:
Release No. IA-4823
File Number: 3-18302
Date: Respondents:
Release No. 34-82231
File Number: 3-12114
Date: Respondents:
Release No. 34-82233
File Number: 3-18298
Date: Respondents:
Release No. 34-82215, AAER-3914
File Number: 3-11890
Date: Respondents:
Release No. IA-4819
File Number: 3-18295
Date: Respondents:
Release No. IA-4820
File Number: 3-18296
Date: Respondents:
Release No. 34-82220, AAER-3915
File Number: 3-14113
Date: Respondents:
Release No. IA-4821
File Number: 3-18297
Date: Respondents:
Release No. 34-82222
File Number: 3-18219
Date: Respondents:
Release No. 34-82206, AAER-3911
File Number: 3-18292
Date: Respondents:
Release No. 34-82207, AAER-3912
File Number: 3-18293
Date: Respondents:
Release No. 34-82208, AAER-3913
File Number: 3-18294
Date: Respondents:
Release No. 34-82195
File Number: 3-17673
Date: Respondents:
Release No. 34-82200
File Number: 3-17900, 3-17899
Date: Respondents:
Release No. 34-82183
File Number: 3-15134
Date: Respondents:
Release No. 34-82184
File Number: 3-16877, 3-16878
Date: Respondents:
Release No. 34-82185
File Number: 3-17582, 3-17628
Date: Respondents:
Release No. 34-82188
File Number: 3-18291
Date: Respondents:
Release No. 34-82186
File Number: 3-17300
Date: Respondents:
Release No. 34-82187
File Number: 3-17212
Date: Respondents:
Release No. 33-10441, 34-82179, AAER-3910
File Number: 3-18290
Date: Respondents:
Release No. 34-82177
File Number: 3-18119
Date: Respondents:
Release No. 34-82154, AAER-3909
File Number: 3-18289
Date: Respondents:
Release No. 34-82157
File Number: 3-16751
Date: Respondents:
Release No. 33-10438, 34-82151, IA-4813, IC-32906
File Number: 3-12476
Date: Respondents:
Release No. IA-4812, IC-32905
File Number: 3-16554
Date: Respondents:
Release No. 34-82117
File Number: 3-18287
Date: Respondents:
Release No. 34-82118
File Number: 3-11578
Date: Respondents:
Release No. IA-4811
File Number: 3-18288
Date: Respondents:
Release No. 34-82121
File Number: 3-17582
Date: Respondents:
Release No. 34-82124
File Number: 3-16776
Date: Respondents:
Release No. 34-82133
File Number: 3-11818
Date: Respondents:
Release No. 34-82106
File Number: 3-18284
Date: Respondents:
Release No. 34-82110, AAER-3907
File Number: 3-18285
Date: Respondents:
Release No. 34-82096
File Number: 3-16909
Date: Respondents:
Release No. 34-82104
File Number: 3-18011
Date: Respondents:
Release No. 34-82089
File Number: 3-18173
Date: Respondents:
Release No. 34-82093
File Number: 3-18170
Date: Respondents:
Release No. 34-82070
File Number: 3-18280
Date: Respondents:
Release No. 33-10436, 34-82069
File Number: 3-18061
Date: Respondents:
Release No. 33-10437, 34-82073, AAER-3906
File Number: 3-18281
Date: Respondents:
Release No. 34-82079
File Number: 3-18203
Date: Respondents:
Release No. 34-82054
File Number: 3-18279
Date: Respondents:
Release No. 34-82046
File Number: 3-12116
Date: Respondents:
Release No. 34-82047
File Number: 3-16757
Date: Respondents:
Release No. 34-82030, IA-4809
File Number: 3-18276
Date: Respondents:
Release No. 34-82033
File Number: 3-18277
Date: Respondents:
Release No. 34-82039
File Number: 3-18278
Date: Respondents:
Release No. 34-82015, IA-4807
File Number: 3-18275
Date: Respondents:
Release No. 34-82023
File Number: 3-18206
Date: Respondents:
Release No. 34-82010, IA-4806
File Number: 3-18274
Date: Respondents:
Release No. IA-4805
File Number: 3-18273
Date: Respondents:
Release No. 34-82011
File Number: 3-18156
Date: Respondents:
Release No. 34-82000
File Number: 3-11793
Date: Respondents:
Release No. 34-82001
File Number: 3-15400
Date: Respondents:
Release No. 34-82002
Comments Due: 30 days from date of this Notice
File Number: 3-16852
Date: Respondents:
Release No. 34-81983
File Number: 3-18271
Date: Respondents:
Release No. 34-81989
File Number: 3-18272
Date: Respondents:
Release No. 33-10433, 34-81974, IA-4803
File Number: 3-18270
Date: Respondents:
Release No. IA-4800, IC-32883, AAER-3904
File Number: 3-17740
Date: Respondents:
Release No. 34-81954, AAER-3903
File Number: 3-18264
Date: Respondents:
Release No. 34-81959, IA-4801
File Number: 3-18269
Date: Respondents:
Release No. 34-81960
File Number: 3-18234
Date: Respondents:
Release No. 34-81961
File Number: 3-11814
Date: Respondents:
Release No. 33-10429
File Number: 3-18263
Date: Respondents:
Release No. 33-10430, 34-81964, IA-4802
File Number: 3-18266
Date: Respondents:
Release No. 33-10431, 34-81965
File Number: 3-18267
Date: Respondents:
Release No. 33-10432, 34-81966
File Number: 3-18268
Date: Respondents:
Release No. 34-81939
File Number: 3-18231
Date: Respondents:
Release No. IA-4798
File Number: 3-18260