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. 34-99763
File Number: 3-21211
Date: Respondents:
Release No. IA-6575
File Number: 3-21064
Date: Respondents:
Release No. 34-99755
File Number: 3-21788
Date: Respondents:
Release No. 34-99754
File Number: 3-20811
Date: Respondents:
Release No. 34-99753
File Number: 3-20387
Date: Respondents:
Release No. 34-99738
File Number: 3-21302
Date: Respondents:
Release No. IA-6572
File Number: 3-20531
Date: Respondents:
Release No. 34-99732
File Number: 3-21011
Date: Respondents:
Release No. 34-99730
File Number: 3-21871
Date: Respondents:
Release No. 34-99717
File Number: 3-19406
Date: Respondents:
Release No. 34-99714
File Number: 3-21841
Date: Respondents:
Release No. 33-11276, 34-99716, AAER-4492
File Number: 3-21831
Date: Respondents:
Release No. 34-99707
File Number: 3-20922
Date: Respondents:
Release No. 34-99706
File Number: 3-19896
Date: Respondents:
Release No. 34-99705
File Number: 3-18999
Date: Respondents:
Release No. 34-99703
File Number: 3-20808
Date: Respondents:
Release No. IA-6571
File Number: 3-19733
Date: Respondents:
Release No. 34-99702
File Number: 3-20659
Date: Respondents:
Release No. IA-6570
File Number: 3-20928
Date: Respondents:
Release No. 34-99694, IA-6569
File Number: 3-20823
Date: Respondents:
Release No. 34-99662
File Number: 3-20362
Date: Respondents:
Release No. IA-6566
File Number: 3-21125
Date: Respondents:
Release No. 34-99636
File Number: 3-21702
Date: Respondents:
Release No. IA-6564
File Number: 3-21364
Date: Respondents:
Release No. 34-99625
File Number: 3-18989
Date: Respondents:
Release No. 34-99619
File Number: 3-21796
Date: Respondents:
Release No. 34-99613 , IA-6563
File Number: 3-19951
Date: Respondents:
Release No. 34-99600
File Number: 3-21681
Date: Respondents:
Release No. 34-99602
File Number: 3-20380
Date: Respondents:
Release No. 34-99601
File Number: 3-21162
Date: Respondents:
Release No. 34-99596
File Number: 3-20646
Date: Respondents:
Release No. 34-99595
File Number: 3-21671
Date: Respondents:
Release No. 34-99585
File Number: 3-21529
Date: Respondents:
Release No. 34-99584
File Number: 3-21220
Date: Respondents:
Release No. 34-99576
File Number: 3-21670
Date: Respondents:
Release No. 34-99575
File Number: 3-21624
Date: Respondents:
Release No. 34-99574
File Number: 3-21634
Date: Respondents:
Release No. 34-99573
File Number: 3-21645
Date: Respondents:
Release No. 34-99565
File Number: 3-21623
Date: Respondents:
Release No. 34-99564
File Number: 3-20647
Date: Respondents:
Release No. 34-99562
File Number: 3-20905
Date: Respondents:
Release No. 34-99561
File Number: 3-20705
Date: Respondents:
Release No. 34-99558
File Number: 3-18567
Date: Respondents:
Release No. 33-11272
File Number: 3-21032
Date: Respondents:
Release No. 34-99563
File Number: 3-21302
Date: Respondents:
Release No. 34-99542
File Number: 3-21618
Date: Respondents:
Release No. 34-99543
File Number: 3-21617
Date: Respondents:
Release No. 34-99544
File Number: 3-21619
Date: Respondents:
Release No. 34-99547
File Number: 3-21246
Date: Respondents:
Release No. 34-99546
File Number: 3-20646
Date: Respondents:
Release No. 34-99536
File Number: 3-21603
Date: Respondents:
Release No. 34-99539, IA-6557
File Number: 3-19435
Date: Respondents:
Release No. IA-6556
File Number: 3-19635
Date: Respondents:
Release No. IA-6555
File Number: 3-21364
Date: Respondents:
Release No. 34-99525
File Number: 3-21596
Date: Respondents:
Release No. IA-6554
File Number: 3-16706-rtv
Date: Respondents:
Release No. 34-99514
File Number: 3-21592
Date: Respondents:
Release No. 34-99515
File Number: 3-21593
Date: Respondents:
Release No. 34-99518, AAER-4489
File Number: 3-21298
Date: Respondents:
Release No. 34-99509, IC-6553
File Number: 3-15046-rtv
Date: Respondents:
Release No. 34-99506
File Number: 3-21001
Date: Respondents:
Release No. 34-99493
File Number: 3-19798
Date: Respondents:
Release No. 34-99486
File Number: 3-21595
Date: Respondents:
Release No. IA-6544
File Number: 3-21525
Date: Respondents:
Release No. 34-99485
File Number: 3-21030
Date: Respondents:
Release No. IA-6542
File Number: 3-19733
Date: Respondents:
Release No. 34-99463
File Number: 3-21818
Date: Respondents:
Release No. 33-11268, 34-99461, AAER-4486
File Number: 3-21831
Date: Respondents:
Release No. 34-99453
File Number: 3-21387
Date: Respondents:
Release No. 34-99448, AAER-4484
File Number: 3-21298
Date: Respondents:
Release No. 34-99443
File Number: 3-21529
Date: Respondents:
Release No. 34-99442, IA-6538
File Number: 3-21152
Date: Respondents:
Release No. 34-99439
File Number: 3-19788
Date: Respondents:
Release No. 34-99438
File Number: 3-21805
Date: Respondents:
Release No. 34-99435
File Number: 3-18989
Date: Respondents:
Release No. 34-99434
File Number: 3-21790
Date: Respondents:
Release No. 34-99429
File Number: 3-18567
Date: Respondents:
Release No. 34-99422
File Number: 3-21002
Date: Respondents:
Release No. 34-99421
File Number: 3-21808
Date: Respondents:
Release No. 34-99420 , IA-6534
File Number: 3-20823
Date: Respondents:
Release No. 34-99399
File Number: 3-21779
Date: Respondents:
Release No. 34-99352
File Number: 3-19734
Date: Respondents:
Release No. 34-99349
File Number: 3-21620
Date: Respondents:
Release No. 34-99347
File Number: 3-20646
Date: Respondents:
Release No. 34-99346
File Number: 3-20703
Date: Respondents:
Release No. 34-99324
File Number: 3-20682
Date: Respondents:
Release No. 33-11264, 34-99322, IA-6528, IC-35088
File Number: 3-14680
Date: Respondents:
Release No. 34-99319
File Number: 3-21035
Date: Respondents:
Release No. 34-99317
File Number: 3-21656
Date: Respondents:
Release No. 34-99316
File Number: 3-21658
Date: Respondents:
Release No. 34-99315
File Number: 3-21654
Date: Respondents:
Release No. 34-99314
File Number: 3-21805
Date: Respondents:
Release No. 34-99309
File Number: 3-21222
Date: Respondents:
Release No. 34-99305
File Number: 3-19406
Date: Respondents:
Release No. IA-6527
File Number: 3-21097
Date: Respondents:
Release No. IA-6526
File Number: 3-21098
Date: Respondents:
Release No. 34-99293
File Number: 3-20209
Date: Respondents:
Release No. IA-6525
File Number: 3-21125
Date: Respondents:
Release No. IA-6524
File Number: 3-21333
Date: Respondents:
Release No. 34-99285
File Number: 3-20127