Commission Opinions and Adjudicatory Orders
This page features opinions and orders issued by the Commission in connection with its adjudication of administrative proceedings, appeals from initial decisions of ALJs, and appeals from SRO or PCAOB action.
The links below direct you to the docket pages for such adjudicatory proceedings 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.
Commission Opinions and Adjudicatory Orders Table
Respondents
|
|
---|---|
Date: |
Respondents:
Release No.
34-99118
File Number:
3-19185
|
Date: |
Respondents:
Release No.
34-99110
File Number:
3-21231
|
Date: |
Respondents:
Release No.
34-99105
File Number:
3-21235
|
Date: |
Respondents:
Release No.
IA-6499
File Number:
3-21097
|
Date: |
Respondents:
Release No.
IA-6498
File Number:
3-21098
|
Date: |
Respondents:
Release No.
34-99101
File Number:
3-21160
|
Date: |
Respondents:
Release No.
34-99107
File Number:
3-20839
|
Date: |
Respondents:
Release No.
34-99099
File Number:
3-19666
|
Date: |
Respondents:
Release No.
IA-6497
File Number:
3-19510
|
Date: |
Respondents:
Release No.
34-99094
File Number:
3-20653
|
Date: |
Respondents:
Release No.
34-99085, IA-6496
File Number:
3-20159
|
Date: |
Respondents:
Release No.
IA-6495
File Number:
3-21125
|
Date: |
Respondents:
Release No.
34-99084
File Number:
3-19740
|
Date: |
Respondents:
Release No.
IA-6494
File Number:
3-21064
|
Date: |
Respondents:
Release No.
34-99074, AAER-4477
File Number:
3-21214
|
Date: |
Respondents:
Release No.
34-99073
File Number:
3-21684
|
Date: |
Respondents:
Release No.
34-99072
File Number:
3-21686
|
Date: |
Respondents:
Release No.
34-99071
File Number:
3-21685
|
Date: |
Respondents:
Release No.
IA-6492
File Number:
3-19617
|
Date: |
Respondents:
Release No.
34-99067
File Number:
3-21714
|
Date: |
Respondents:
Release No.
34-99066
File Number:
3-21653
|
Date: |
Respondents:
Release No.
34-99064
File Number:
3-21713
|
Date: |
Respondents:
Release No.
34-99063
File Number:
3-21715
|
Date: |
Respondents:
Release No.
34-99061
File Number:
3-21665
|
Date: |
Respondents:
Release No.
34-99059
File Number:
3-21661
|
Date: |
Respondents:
Release No.
34-99052
File Number:
3-21740
|
Date: |
Respondents:
Release No.
34-99051
File Number:
3-21664
|
Date: |
Respondents:
Release No.
34-99053
File Number:
3-21718
|
Date: |
Respondents:
Release No.
34-99050
File Number:
3-21739
|
Date: |
Respondents:
Release No.
34-99043
File Number:
3-21663
|
Date: |
Respondents:
Release No.
34-99048
File Number:
3-21671
|
Date: |
Respondents:
Release No.
34-99032
File Number:
3-21516
|
Date: |
Respondents:
Release No.
34-99020
File Number:
3-20380
|
Date: |
Respondents:
Release No.
34-99018
File Number:
3-19608
|
Date: |
Respondents:
Release No.
IA-6490
File Number:
3-21364
|
Date: |
Respondents:
Release No.
34-99015
File Number:
3-21726
|
Date: |
Respondents:
Release No.
34-99014
File Number:
3-21292
|
Date: |
Respondents:
Release No.
34-99013
File Number:
3-20893
|
Date: |
Respondents:
Release No.
34-99005
File Number:
3-21604
|
Date: |
Respondents:
Release No.
34-99003
File Number:
3-21611
|
Date: |
Respondents:
Release No.
34-99002
File Number:
3-21676
|
Date: |
Respondents:
Release No.
34-99000
File Number:
3-21679
|
Date: |
Respondents:
Release No.
34-98999
File Number:
3-21596
|
Date: |
Respondents:
Release No.
34-98998
File Number:
3-21280
|
Date: |
Respondents:
Release No.
34-98996
File Number:
3-19185
|
Date: |
Respondents:
Release No.
34-98995
File Number:
3-20647
|
Date: |
Respondents:
Release No.
34-98993
File Number:
3-20705
|
Date: |
Respondents:
Release No.
34-98990
File Number:
3-20147
|
Date: |
Respondents:
Release No.
34-98989
File Number:
3-21032
|
Date: |
Respondents:
Release No.
34-98986, IA-6485
File Number:
3-21030
|
Date: |
Respondents:
Release No.
34-98961
File Number:
3-21458
|
Date: |
Respondents:
Release No.
IA-6484
File Number:
3-20134
|
Date: |
Respondents:
Release No.
34-98978
File Number:
3-21246
|
Date: |
Respondents:
Release No.
34-98969
File Number:
3-19734
|
Date: |
Respondents:
Release No.
34-98968
File Number:
3-21469
|
Date: |
Respondents:
Release No.
34-98960
File Number:
3-21463
|
Date: |
Respondents:
Release No.
34-98949
File Number:
3-21456
|
Date: |
Respondents:
Release No.
34-98946
File Number:
3-21449
|
Date: |
Respondents:
Release No.
34-98943
File Number:
3-21681
|
Date: |
Respondents:
Release No.
34-98942
File Number:
3-21683
|
Date: |
Respondents:
Release No.
34-98929
File Number:
3-21448
|
Date: |
Respondents:
Release No.
34-98927
File Number:
3-21447
|
Date: |
Respondents:
Release No.
IA-6482
File Number:
3-21122
|
Date: |
Respondents:
Release No.
34-98931
File Number:
3-21620
|
Date: |
Respondents:
Release No.
34-98926
File Number:
3-21625
|
Date: |
Respondents:
Release No.
34-98909
File Number:
3-21413
|
Date: |
Respondents:
Release No.
34-98907
File Number:
3-21441
|
Date: |
Respondents:
Release No.
34-98904
File Number:
3-21444
|
Date: |
Respondents:
Release No.
34-98911
File Number:
3-21702
|
Date: |
Respondents:
Release No.
34-98903
File Number:
3-21253
|
Date: |
Respondents:
Release No.
34-98897
File Number:
3-21391
|
Date: |
Respondents:
Release No.
34-98896
File Number:
3-21392
|
Date: |
Respondents:
Release No.
34-98895
File Number:
3-21395
|
Date: |
Respondents:
Release No.
34-98900
File Number:
3-19652
|
Date: |
Respondents:
Release No.
34-98885
File Number:
3-21386
|
Date: |
Respondents:
Release No.
34-98889
File Number:
3-21389
|
Date: |
Respondents:
Release No.
34-98887
File Number:
3-21687
|
Date: |
Respondents:
Release No.
34-98884
File Number:
3-21689
|
Date: |
Respondents:
Release No.
34-98883, IA-6479
File Number:
3-21280
|
Date: |
Respondents:
Release No.
34-98872
File Number:
3-21694
|
Date: |
Respondents:
Release No.
34-98868
File Number:
3-18979
|
Date: |
Respondents:
Release No.
34-98867
File Number:
3-20238
|
Date: |
Respondents:
Release No.
34-98864
File Number:
3-19666
|
Date: |
Respondents:
Release No.
34-98862
File Number:
3-21626
|
Date: |
Respondents:
Release No.
34-98861
File Number:
3-21011
|
Date: |
Respondents:
Release No.
IA-6477
File Number:
3-19796
|
Date: |
Respondents:
Release No.
34-98854
File Number:
3-21680
|
Date: |
Respondents:
Release No.
IA-6476
File Number:
3-20928
|
Date: |
Respondents:
Release No.
IA-6475
File Number:
3-19795
|
Date: |
Respondents:
Release No.
34-98852
File Number:
3-21695
|
Date: |
Respondents:
Release No.
34-98847
File Number:
3-21594
|
Date: |
Respondents:
Release No.
34-98842
File Number:
3-21603
|
Date: |
Respondents:
Release No.
34-98841
File Number:
3-21688
|
Date: |
Respondents:
Release No.
34-98839
File Number:
3-21618
|
Date: |
Respondents:
Release No.
34-98838
File Number:
3-21617
|
Date: |
Respondents:
Release No.
34-98832, IA-6473
File Number:
3-21578
|
Date: |
Respondents:
Release No.
34-98831
File Number:
3-21593
|
Date: |
Respondents:
Release No.
34-98829
File Number:
3-21592
|
Date: |
Respondents:
Release No.
34-98828
File Number:
3-21595
|
Date: |
Respondents:
Release No.
34-98822
File Number:
3-21677
|