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. 34-63456
File Number: 3-13655
Date: Respondents:
Release No. 34-63453
File Number: 3-13841
Date: Respondents:
Release No. 34-63312
Date: Respondents:
Release No. 34-63306
File Number: 3-12944
Date: Respondents:
Release No. 34-63167, AAER-3200
File Number: 3-13535
Date: Respondents:
Release No. 34-62968
File Number: 3-13860
Date: Respondents:
Release No. 34-62937, IA-3085, 34-68462
File Number: 3-13481
Date: Respondents:
Release No. 34-62898
File Number: 3-13701
Date: Respondents:
Release No. 34-62894
File Number: 3-13782
Date: Respondents:
Release No. 34-62891
File Number: 3-13727
Date: Respondents:
Release No. 34-62656
File Number: 3-13535
Date: Respondents:
Release No. 34-62649
File Number: 3-13888
Date: Respondents:
Release No. 34-62645
File Number: 3-13733
Date: Respondents:
Release No. 34-62630, 34-66259
File Number: 3-13655
Date: Respondents:
Release No. IA-3057
File Number: 3-13579
Date: Respondents:
Release No. 34-62448
File Number: 3-12918
Date: Respondents:
Release No. 34-62427
File Number: 3-13304
Date: Respondents:
Release No. 34-62374
File Number: 3-12988r
Date: Respondents:
Release No. IA-3040
File Number: 3-9599
Date: Respondents:
Release No. 34-62324
File Number: 3-12659r
Date: Respondents:
Release No. 34-62315
File Number: 3-13733
Date: Respondents:
Release No. 34-62257
File Number: 3-13817
Date: Respondents:
Release No. 34-62178
Date: Respondents:
Release No. 34-62055
File Number: 3-13810
Date: Respondents:
Release No. 34-61967
File Number: 3-13623
Date: Respondents:
Release No. 33-9118, 34-61966, 33-8888
File Number: 3-11626r
Date: Respondents:
Release No. 34-61928, IA-3016, IC-29207
File Number: 3-13337
Date: Respondents:
Release No. IA-3015
File Number: 3-9599
Date: Respondents:
Release No. 34-61791
File Number: 3-13610
Date: Respondents:
Release No. 34-61790
File Number: 3-13482
Date: Respondents:
Release No. 34-61561
File Number: 3-13628
Date: Respondents:
Release No. 34-61541
Date: Respondents:
Release No. 34-61506, IA-2984
File Number: 3-13280
Date: Respondents:
Release No. 34-61449
File Number: 3-13279