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.
34-99763
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
|