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. 34-61234
File Number: 3-12653
Date: Respondents:
Release No. 33-9088A, 34-61167A
File Number: 3-12559
Date: Respondents:
Release No. 34-61162, AAER-3080
File Number: 3-12208
Date: Respondents:
Release No. 33-9085, 34-61153
File Number: 3-12829
Date: Respondents:
Release No. 34-61135
File Number: 3-13422
Date: Respondents:
Release No. 34-61134
File Number: 3-12668
Date: Respondents:
Release No. 34-61120
File Number: 3-13335
Date: Respondents:
Release No. 34-61039A
File Number: 3-12753
Date: Respondents:
Release No. 34-60937
Date: Respondents:
Release No. 33-9076
File Number: 3-12943
Date: Respondents:
Release No. 34-60772
Date: Respondents:
Release No. 33-9068, 34-60736
File Number: 3-12626
Date: Respondents:
Release No. IA-2926
File Number: 3-13121
Date: Respondents:
Release No. 34-60506
File Number: 3-13243
Date: Respondents:
Release No. 34-60505
File Number: 3-13324
Date: Respondents:
Release No. 34-60361
File Number: 3-13344
Date: Respondents:
Release No. 34-60346, AAER-3017
File Number: 3-12208
Date: Respondents:
Release No. 34-60328
File Number: 3-13334
Date: Respondents:
Release No. IA-2901, IA-2875
File Number: 3-13008
Date: Respondents:
Release No. 34-60180
File Number: 3-13096
Date: Respondents:
Release No. 34-60000, IA-2886
File Number: 3-12747
Date: Respondents:
Release No. IA-2875
File Number: 3-13008
Date: Respondents:
Release No. 34-59927
File Number: 3-13088
Date: Respondents:
Release No. 34-59874
File Number: 3-13412
Date: Respondents:
Release No. 34-59729, IA-2684
Date: Respondents:
Release No. 34-59577
Date: Respondents:
Release No. 34-59550, IC-28644
Date: Respondents:
Release No. 34-59476
Date: Respondents:
Release No. 34-59404
Date: Respondents:
Release No. 34-59403, IA-2840
Date: Respondents:
Release No. 34-59328
Date: Respondents:
Release No. 34-59326
Date: Respondents:
Release No. 34-59325
Date: Respondents:
Release No. 34-59268
Date: Respondents:
Release No. 34-59223