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. 34-40768
File Number: 3-9394
Date: Respondents:
Release No. 34-40738
File Number: 3-9575
Date: Respondents:
Release No. 34-40727
File Number: 3-8511
Date: Respondents:
Release No. 34-40726
File Number: 3-8510
Date: Respondents:
Release No. 34-40719
File Number: 3-8508
Date: Respondents:
Release No. 34-40690
File Number: 3-9510
Date: Respondents:
Release No. IA-1774
File Number: 3-8854
Date: Respondents:
Release No. 34-40673
File Number: 3-9554
Date: Respondents:
Release No. 34-40672
File Number: 3-9481
Date: Respondents:
Release No. 34-40671
File Number: 3-9324
Date: Respondents:
Release No. 34-40663
File Number: 3-9389
Date: Respondents:
Release No. 34-40654
File Number: 3-9549
Date: Respondents:
Release No. 34-40648
File Number: 3-9494
Date: Respondents:
Release No. 34-40647
File Number: 3-9555
Date: Respondents:
Release No. 34-40646
File Number: 3-9212
Date: Respondents:
Release No. 34-40639
File Number: 3-9519
Date: Respondents:
Release No. 34-40630
File Number: 3-9529
Date: Respondents:
Release No. 34-40629
File Number: 3-9378
Date: Respondents:
Release No. 34-40600
File Number: 3-9195
Date: Respondents:
Release No. 34-40474
File Number: 3-9428
Date: Respondents:
Release No. IA-1752
File Number: 3-9105
Date: Respondents:
Release No. 34-40438
File Number: 3-9392
Date: Respondents:
Release No. 34-40436
File Number: 3-9298
Date: Respondents:
Release No. 34-40392
File Number: 3-8304
Date: Respondents:
Release No. 34-40387
File Number: 3-8642
Date: Respondents:
Release No. 34-40335
File Number: 3-9346
Date: Respondents:
Release No. 34-40297
File Number: 3-9308
Date: Respondents:
Release No. 34-40244
File Number: 3-9332
Date: Respondents:
Release No. 34-40243
File Number: 3-9259
Date: Respondents:
Release No. 34-40238
File Number: 3-9480
Date: Respondents:
Release No. 34-40237
File Number: 3-9501
Date: Respondents:
Release No. 34-40055
File Number: 3-8798
Date: Respondents:
Release No. 34-40046
File Number: 3-8533
Date: Respondents:
Release No. 34-40013
File Number: 3-9241
Date: Respondents:
Release No. 34-40010
File Number: 3-8394
Date: Respondents:
Release No. 34-40000
File Number: 3-9339
Date: Respondents:
Release No. 34-39999
File Number: 3-9188
Date: Respondents:
Release No. 34-40028
File Number: 3-8925
Date: Respondents:
Release No. 34-39800
File Number: 3-9313
Date: Respondents:
Release No. 34-39796
File Number: 3-9206
Date: Respondents:
Release No. 34-39765
File Number: 3-9237
Date: Respondents:
Release No. 34-39645
File Number: 3-8327
Date: Respondents:
Release No. 34-39565
File Number: 3-8992
Date: Respondents:
Release No. IA-1696
File Number: 3-8899
Date: Respondents:
Release No. 34-39544
File Number: 3-9274
Date: Respondents:
Release No. 34-39543
File Number: 3-9190
Date: Respondents:
Release No. 34-39523
File Number: 3-9188
Date: Respondents:
Release No. 34-39520
File Number: 3-9192
Date: Respondents:
Release No. 34-39518
File Number: 3-8527
Date: Respondents:
Release No. 34-39517
File Number: 3-8543