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. 34-50917
See Also: PDF version
File Number: 3-11511
Date: Respondents:
Release No. 34-50889
File Number: 3-10884
Date: Respondents:
Release No. IA-2334
See Also: PDF version
File Number: 3-11259
Date: Respondents:
Release No. 34-50786
See Also: PDF version
File Number: 3-11426
Date: Respondents:
Release No. 34-50543A
See Also: PDF version
File Number: 3-11426
Date: Respondents:
Release No. 34-50737
File Number: 3-11470
Date: Respondents:
Release No. 34-50730
See Also: PDF version
File Number: 3-4393
Date: Respondents:
Release No. 34-50729, AAER-2149 PDF version
See Also: PDF version
File Number: 3-11675
Date: Respondents:
Release No. 34-50695
See Also: et al. PDF version
File Number: 3-11626
Date: Respondents:
Release No. 34-50691
See Also: Jr. PDF version
File Number: 3-11376
Date: Respondents:
Release No. 34-50633
File Number: 3-8873
Date: Respondents:
Release No. 34-50570
See Also: PDF version
File Number: 3-11414
Date: Respondents:
Release No. 34-50543
See Also: PDF version
File Number: 3-11426
Date: Respondents:
Release No. 34-50514
See Also: Inc. PDF version
File Number: 3-10977
Date: Respondents:
Release No. 34-50513
See Also: Inc. PDF version
File Number: 3-11405
Date: Respondents:
Release No. 34-50480
See Also: PDF version
File Number: 3-9862
Date: Respondents:
Release No. 33-8498
See Also: PDF version
File Number: 3-11012
Date: Respondents:
Release No. 34-50411
File Number: 3-11229
Date: Respondents:
Release No. 34-50393
See Also: PDF version
File Number: 3-11402
Date: Respondents:
Release No. 34-50343
See Also: Inc. PDF version
File Number: 3-11380, 3-11381
Date: Respondents:
Release No. 34-50324
See Also: PDF version
File Number: 3-11383
Date: Respondents:
Release No. 34-50219
See Also: Jr. PDF version
File Number: 3-11376
Date: Respondents:
Release No. 34-50168
See Also: PDF version
File Number: 3-9309
Date: Respondents:
Release No. 34-50031
See Also: PDF version
File Number: 3-11369
Date: Respondents:
Release No. 34-50030
See Also: Inc. PDF version
File Number: 3-10977
Date: Respondents:
Release No. 34-50008, 33-8252
File Number: 3-11179
Date: Respondents:
Release No. 33-8441
File Number: 3-11310
Date: Respondents:
Release No. 33-8437
See Also: Inc. PDF version
File Number: 3-9784-EAJA
Date: Respondents:
Release No. 33-8436
See Also: PDF version
File Number: 3-10765
Date: Respondents:
Release No. IA-2253
See Also: PDF version
File Number: 3-10007
Date: Respondents:
Release No. 34-49894
See Also: PDF version
File Number: 3-9803
Date: Respondents:
Release No. 34-49819
See Also: LP PDF version
File Number: 3-11277
Date: Respondents:
Release No. 34-49788
File Number: 3-9615
Date: Respondents:
Release No. 34-49727
See Also: PDF version
File Number: 3-11358
Date: Respondents:
Release No. 34-49666
See Also: PDF version
File Number: 3-11329
Date: Respondents:
Release No. 33-8417
See Also: PDF version
File Number: 3-9954
Date: Respondents:
Release No. 34-49542
See Also: PDF version
File Number: 3-11250
Date: Respondents:
Release No. 34-49389
See Also: Inc. PDF version
File Number: 3-11145
Date: Respondents:
Release No. 34-49375
File Number: 3-11004
Date: Respondents:
Release No. 33-8395, 34-49366 PDF version
See Also: PDF version
File Number: 3-8919
Date: Respondents:
Release No. 33-8391
File Number: 3-9933
Date: Respondents:
Release No. 34-49255
See Also: PDF version
File Number: 3-11191
Date: Respondents:
Release No. 34-49248
See Also: PDF version
File Number: 3-11164
Date: Respondents:
Release No. 34-49216
See Also: PDF version
File Number: 3-11156
Date: Respondents:
Release No. 34-49182, AAER-1952 PDF version
File Number: 3-10509
Date: Respondents:
Release No. 34-49076
See Also: PDF version
File Number: 3-11129
Date: Respondents:
Release No. 34-49052
See Also: Inc. PDF version
File Number: 3-11101