Commission Opinions and Adjudicatory Orders
The Commission recently amended its Rules of Practice to include new electronic filing requirements.
The list below provides links to opinions and orders issued by the Commission adjudicating either appeals from initial ALJ decisions or disciplinary or adverse action taken by self-regulatory organizations (such as FINRA) or motions in connection with these proceedings.
| Date Sort ascending | Respondents |
|---|---|
|
Release No.
34-96594
File Number:
3-20985
|
|
|
Release No.
34-96593
File Number:
3-20362
|
|
|
Release No.
34-96589
File Number:
3-20980
|
|
|
Release No.
34-96582
File Number:
3-20210
|
|
|
Release No.
IA-6207
File Number:
3-21098
|
|
|
Release No.
IA-6208
File Number:
3-21097
|
|
|
Release No.
34-96580
File Number:
3-18567
|
|
|
Release No.
34-96581
File Number:
3-19012, 3-19007
|
|
|
Release No.
34-96569
File Number:
3-21011
|
|
|
Release No.
34-96562
File Number:
3-21222
|
|
|
Release No.
34-96554
File Number:
3-20983
|
|
|
Release No.
34-96536
File Number:
3-21092
|
|
|
Release No.
34-96528
File Number:
3-19145, 3-20387
|
|
|
Release No.
34-96539
File Number:
3-19185
|
|
|
Release No.
33-11141, 34-96531, IA-6205
File Number:
3-19145
|
|
|
Release No.
IA-6206
File Number:
3-21120
|
|
|
Release No.
34-96537
File Number:
3-21246
|
|
|
Release No.
34-96538
File Number:
3-21015
|
|
|
Release No.
34-96498
File Number:
3-20650
|
|
|
Release No.
34-96515
File Number:
3-18989
|
|
|
Release No.
34-96497
File Number:
3-18616, 3-18617, 3-18877, 3-18879, 3-18883, 3-18910, 3-18919, 3-18934, 3-18988, 3-19013, 3-19016, 3-19017, 3-19219, 3-19405, 3-19573, 3-19574, 3-19611, 3-20160, 3-20205, 3-20499, 3-20620, 3-20621
|
|
|
Release No.
34-96491
File Number:
3-20260
|
|
|
Release No.
34-96478
File Number:
3-15755
|
|
|
Release No.
34-96479
File Number:
3-18999
|
|
|
Release No.
34-96483
File Number:
3-19896
|
|
|
Release No.
34-96484
File Number:
3-20199
|
|
|
Release No.
IA-6202
File Number:
3-20086
|
|
|
Release No.
34-96470
File Number:
3-20987
|
|
|
Release No.
34-96463
File Number:
3-21228
|
|
|
Release No.
34-96464
File Number:
3-18989r, 3-18989
|
|
|
Release No.
34-96462, IA-6201
File Number:
3-20849
|
|
|
Release No.
34-96451
File Number:
3-21091
|
|
|
Release No.
34-96455
File Number:
3-21127
|
|
|
Release No.
34-96449
File Number:
3-21233
|
|
|
Release No.
IA-6200
File Number:
3-21143
|
|
|
Release No.
34-96445, IA-6198
File Number:
3-20111
|
|
|
Release No.
34-96446
File Number:
3-17990
|
|
|
Release No.
34-96440
File Number:
3-19195
|
|
|
Release No.
34-96441
File Number:
3-20653
|
|
|
Release No.
34-96442
File Number:
3-21214
|
|
|
Release No.
34-96417
File Number:
3-20987
|
|
Gary Edward Haynes (Order Regarding Service of Amended Order Instituting Administrative Proceedings)
Release No.
34-96424
File Number:
3-20086
|
|
|
Release No.
34-96418
File Number:
3-21011
|
|
|
Release No.
34-96420, IA-6196
File Number:
3-21030
|
|
|
Release No.
34-96421
File Number:
3-20817
|
|
|
Release No.
IA-6197
File Number:
3-21122, 3-21122
|
|
|
Release No.
34-96405
File Number:
3-21131
|
|
|
Release No.
IA-6194
File Number:
3-20134
|
|
|
Release No.
34-96406
File Number:
3-19006
|
|
|
Release No.
34-96407, IA-6193
File Number:
3-18960
|
|
|
Release No.
34-96409, IA-6195
File Number:
3-18845
|
|
|
Release No.
34-96401
File Number:
3-20058
|
|
|
Release No.
34-96398
File Number:
3-21130
|
|
|
Release No.
IA-6191
File Number:
3-20950, 3-20950
|
|
|
Release No.
34-96397
File Number:
3-18791
|
|
|
Release No.
34-96400
File Number:
3-21084
|
|
|
Release No.
34-96402
File Number:
3-19608
|
|
|
Release No.
34-96404, IA-6192
File Number:
3-20796
|
|
|
Release No.
34-96387
File Number:
3-18979
|
|
|
Release No.
34-96388
File Number:
3-20126
|
|
|
Release No.
34-96390
File Number:
3-21222
|
|
|
Release No.
34-96391
File Number:
3-21222
|
|
|
Release No.
34-96389
File Number:
3-20380
|
|
|
Release No.
34-96385
File Number:
3-19012, 3-19007
|
|
|
Release No.
34-96371
File Number:
3-20979
|
|
|
Release No.
33-11135, 34-96365
File Number:
3-16509
|
|
|
Release No.
34-96369
File Number:
3-20154
|
|
|
Release No.
34-96370
File Number:
3-18894
|
|
|
Release No.
34-96372
File Number:
3-19775
|
|
|
Release No.
34-96350
File Number:
3-21092
|
|
|
Release No.
34-96358
File Number:
3-21019
|
|
|
Release No.
IA-6187
File Number:
3-21202
|
|
|
Release No.
34-96339
File Number:
3-19185
|
|
|
Release No.
34-96325, AAER-4365
File Number:
3-21139
|
|
|
Release No.
34-96326
File Number:
3-19814
|
|
|
Release No.
34-96328
File Number:
3-19815
|
|
|
Release No.
34-96316
File Number:
3-21138
|
|
|
Release No.
34-96317
File Number:
3-21068
|
|
|
Release No.
34-96318
File Number:
3-21117
|
|
|
Release No.
34-96319
File Number:
3-21109
|
|
|
Release No.
34-96314
File Number:
3-21127
|
|
|
Release No.
34-96323
File Number:
3-20529
|
|
|
Release No.
34-96303
File Number:
3-16047
|
|
|
Release No.
34-96304
File Number:
3-21073
|
|
|
Release No.
34-96300
File Number:
3-18616, 3-18617, 3-18877, 3-18879, 3-18883, 3-18910, 3-18919, 3-18934, 3-18988, 3-19013, 3-19016, 3-19017, 3-19219, 3-19405, 3-19573, 3-19574, 3-19611, 3-20160, 3-20205, 3-20467, 3-20499, 3-20620, 3-20621
|
|
|
Release No.
34-96301
File Number:
3-21137
|
|
|
Release No.
34-96302, IA-6186, IC-34750
File Number:
3-17184
|
|
|
Release No.
34-96284
File Number:
3-21116
|
|
|
Release No.
34-96287
File Number:
3-21124
|
|
|
Release No.
34-96288
File Number:
3-21076
|
|
|
Release No.
34-96280
File Number:
3-20980
|
|
|
Release No.
34-96283
File Number:
3-21066
|
|
|
Release No.
34-96293
File Number:
3-20238
|
|
|
Release No.
34-96256
File Number:
3-21041
|
|
|
Release No.
34-96269
File Number:
3-21085
|
|
|
Release No.
34-96271
File Number:
3-20977
|
|
|
Release No.
34-96265
File Number:
3-20976
|
|
|
Release No.
34-96273
File Number:
3-21077
|
|
|
Release No.
34-96266
File Number:
3-21146
|
|
|
Release No.
34-96267
File Number:
3-20964
|