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. 34-87872, IA-5423
File Number: 3-19632
Date: Respondents:
Release No. 34-87840, IA-5421
File Number: 3-19630
Date: Respondents:
Release No. 34-87851
File Number: 3-19541
Date: Respondents:
Release No. 34-87854
Comments Due: 30 days from date of this Notice
Submit Comments on: 3-19227
File Number: 3-19227
Date: Respondents:
Release No. 34-87812, AAER-4110
File Number: 3-19626
Date: Respondents:
Release No. 34-87815
File Number: 3-19500
Date: Respondents:
Release No. 34-87816
File Number: 3-18738
Date: Respondents:
Release No. 34-87825
File Number: 3-19627
Date: Respondents:
Release No. 34-87827
File Number: 3-19628
Date: Respondents:
Release No. 34-87836
File Number: 3-19289
Date: Respondents:
Release No. 34-87802
File Number: 3-19232
Date: Respondents:
Release No. 34-87805
File Number: 3-19625
Date: Respondents:
Release No. 33-10736
See Also: Waiver Order
File Number: 3-19621
Date: Respondents:
Release No. 34-87786
File Number: 3-19622
Date: Respondents:
Release No. 34-87787
File Number: 3-19623
Date: Respondents:
Release No. 34-87793
File Number: 3-19624
Date: Respondents:
Release No. 33-10733, 34-87770, IC-33718
File Number: 3-17260
Date: Respondents:
Release No. 34-87772
File Number: 3-18776
Date: Respondents:
Release No. 34-87750, IA-5418, IC-33715, AAER-4108
File Number: 3-19619
Date: Respondents:
Release No. 34-87751
File Number: 3-19620
Date: Respondents:
Release No. 34-87764
File Number: 3-19618
Date: Respondents:
Release No. IA-5417
File Number: 3-19617
Date: Respondents:
Release No. 34-87732, AAER-4107
File Number: 3-19616
Date: Respondents:
Release No. IA-5416
File Number: 3-19615
Date: Respondents:
Release No. 34-87710
File Number: 3-19465
Date: Respondents:
Release No. 34-87680
File Number: 3-19614
Date: Respondents:
Release No. 33-10730, 34-87661, AAER-4105
File Number: 3-19612
Date: Respondents:
Release No. 33-10731, 34-87670, AAER-4106
File Number: 3-19613
Date: Respondents:
Release No. 34-87657, AAER-4104
File Number: 3-16783
Date: Respondents:
Release No. 34-87644
File Number: 3-19597
Date: Respondents:
Release No. 34-87642, AAER-4103
File Number: 3-18346
Date: Respondents:
Release No. 34-87640, IA-5415
File Number: 3-19610
Date: Respondents:
Release No. 34-87627
File Number: 3-19523
Date: Respondents:
Release No. IA-5414
File Number: 3-19609
Date: Respondents:
Release No. 34-87611, AAER-4102
File Number: 3-19607
Date: Respondents:
Release No. 34-87616
File Number: 3-19608
Date: Respondents:
Release No. 34-87626
File Number: 3-19339
Date: Respondents:
Release No. 34-87591
File Number: 3-19604
Date: Respondents:
Release No. 34-87604
File Number: 3-19606
Date: Respondents:
Release No. IA-5412
File Number: 3-19605
Date: Respondents:
Release No. 33-10728, 34-87605
File Number: 3-15124
Date: Respondents:
Release No. 34-87582
File Number: 3-19602
Date: Respondents:
Release No. 34-87584
File Number: 3-19231
Date: Respondents:
Release No. 34-87586
File Number: 3-14863
Date: Respondents:
Release No. 34-87567
File Number: 3-19601
Date: Respondents:
Release No. 34-87553
File Number: 3-19465
Date: Respondents:
Release No. 34-87523
File Number: 3-11578
Date: Respondents:
Release No. 34-87504
File Number: 3-19600
Date: Respondents:
Release No. 34-87494
File Number: 3-19517
Date: Respondents:
Release No. 34-87484, AAER-4101
File Number: 3-17950
Date: Respondents:
Release No. 33-10726, 34-87483, IA-5408
File Number: 3-19599
Date: Respondents:
Release No. 34-87477
File Number: 3-19309
Date: Respondents:
Release No. 34-87459
File Number: 3-19598
Date: Respondents:
Release No. 34-87465
File Number: 3-19429
Date: Respondents:
Release No. 33-10725
File Number: 3-19597
Date: Respondents:
Release No. 34-87452
File Number: 3-19389
Date: Respondents:
Release No. 34-87453
File Number: 3-19486
Date: Respondents:
Release No. 34-87454
File Number: 3-19348
Date: Respondents:
Release No. 34-87438
File Number: 3-19519
Date: Respondents:
Release No. 34-87439
File Number: 3-19525
Date: Respondents:
Release No. 34-87446
File Number: 3-19595
Date: Respondents:
Release No. 34-87447, IA-5406
File Number: 3-19596
Date: Respondents:
Release No. 34-87426, IA-5405
File Number: 3-19591
Date: Respondents:
Release No. 33-10723, 34-87428
File Number: 3-19592
Date: Respondents:
Release No. 34-87429
File Number: 3-19593
Date: Respondents:
Release No. 34-87430
File Number: 3-19382
Date: Respondents:
Release No. 34-87417
File Number: 3-19344
Date: Respondents:
Release No. 34-87418
File Number: 3-19383
Date: Respondents:
Release No. 34-87416
File Number: 3-19308
Date: Respondents:
Release No. 34-87396
File Number: 3-19334
Date: Respondents:
Release No. 34-87397
File Number: 3-19415
Date: Respondents:
Release No. IA-5404
File Number: 3-19590
Date: Respondents:
Release No. 34-87326
File Number: 3-19585
Date: Respondents:
Release No. 34-87334
File Number: 3-19587
Date: Respondents:
Release No. 34-87332
File Number: 3-19437
Date: Respondents:
Release No. 34-87333
File Number: 3-19442
Date: Respondents:
Release No. 34-87323
File Number: 3-19459
Date: Respondents:
Release No. 34-87324
File Number: 3-19506
Date: Respondents:
Release No. 34-87302
File Number: 3-19586
Date: Respondents:
Release No. 34-87307
File Number: 3-19409
Date: Respondents:
Release No. 33-10718, AAER-4100
File Number: 3-19583
Date: Respondents:
Release No. 33-10719, 34-87289
File Number: 3-19584
Date: Respondents:
Release No. 34-87269
File Number: 3-19220
Date: Respondents:
Release No. 34-87268
File Number: 3-19581
Date: Respondents:
Release No. 34-87281, AAER-4099
File Number: 3-19582
Date: Respondents:
Release No. 34-87283
File Number: 3-18171
Date: Respondents:
Release No. 34-87284
File Number: 3-16554
Date: Respondents:
Release No. 34-87285
File Number: 3-19382
Date: Respondents:
Release No. 34-87259
File Number: 3-19580
Date: Respondents:
Release No. 34-87263
File Number: 3-19433
Date: Respondents:
Release No. 34-87245, IA-5401
File Number: 3-19579
Date: Respondents:
Release No. 34-87252
File Number: 3-19409
Date: Respondents:
Release No. 34-87253
File Number: 3-19342
Date: Respondents:
Release No. 34-87238
File Number: 3-19576
Date: Respondents:
Release No. 34-87239
File Number: 3-19577
Date: Respondents:
Release No. 34-87240
File Number: 3-19578
Date: Respondents:
Release No. 34-87241
File Number: 3-19456
Date: Respondents:
Release No. 34-87242
File Number: 3-19437
Date: Respondents:
Release No. 34-87217
File Number: 3-19338
Date: Respondents:
Release No. 34-87218
File Number: 3-19227