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. 34-38076
File Number: 3-8889
Date: Respondents:
Release No. 34-38029
File Number: 3-8936
Date: Respondents:
Release No. 34-37991
File Number: 3-8639
Date: Respondents:
Release No. 34-37990
File Number: 3-8395
Date: Respondents:
Release No. 34-37955
File Number: 3-8990
Date: Respondents:
Release No. 34-37954
File Number: 3-8893
Date: Respondents:
Release No. 34-37953
File Number: 3-8971
Date: Respondents:
Release No. 34-37952
File Number: 3-8962
Date: Respondents:
Release No. 34-37919A
File Number: 3-8868
Date: Respondents:
Release No. 34-37910
File Number: 3-8925
Date: Respondents:
Release No. 34-37895
File Number: 3-8982
Date: Respondents:
Release No. 34-37867
File Number: 3-8958
Date: Respondents:
Release No. 34-37866
File Number: 3-8926
Date: Respondents:
Release No. 34-37865
File Number: 3-8870
Date: Respondents:
Release No. 34-37849
File Number: 3-8438
Date: Respondents:
Release No. 34-37835
File Number: 3-8761
Date: Respondents:
Release No. 34-37613
File Number: 3-8912
Date: Respondents:
Release No. 34-37611
File Number: 3-8871
Date: Respondents:
Release No. 34-37601
File Number: 3-8650
Date: Respondents:
Release No. 34-37600
File Number: 3-8519
Date: Respondents:
Release No. 34-37572
File Number: 3-8013
Date: Respondents:
Release No. 34-37559
File Number: 3-8702
Date: Respondents:
Release No. 34-37503
File Number: 3-8927
Date: Respondents:
Release No. 34-37463
File Number: 3-8894
Date: Respondents:
Release No. 34-37409
File Number: 3-8725
Date: Respondents:
Release No. 34-37351
File Number: 3-8521
Date: Respondents:
Release No. 34-37305
File Number: 3-8722
Date: Respondents:
Release No. 3437259
File Number: 3-8699
Date: Respondents:
Release No. 34-37218
File Number: 3-8706
Date: Respondents:
Release No. 34-37217
File Number: 3-8807
Date: Respondents:
Release No. 34-37170
File Number: 3-8888
Date: Respondents:
Release No. 34-37156
File Number: 3-8257
Date: Respondents:
Release No. 34-37092
File Number: 3-8743
Date: Respondents:
Release No. 34-37091
File Number: 3-8721
Date: Respondents:
Release No. 34-37075
File Number: 3-8654
Date: Respondents:
Release No. 34-37074
File Number: 3-8697
Date: Respondents:
Release No. 34-37073
File Number: 3-8792
Date: Respondents:
Release No. 34-37072
File Number: 3-8768
Date: Respondents:
Release No. 34-37071
File Number: 3-8775
Date: Respondents:
Release No. 34-37070
File Number: 3-8751
Date: Respondents:
Release No. 34-37069
File Number: 3-8676