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. 34-66064
File Number: 3-14640
Date: Respondents:
Release No. 34-66014
File Number: 3-14175
Date: Respondents:
Release No. 34-65904
File Number: 3-14609
Date: Respondents:
Release No. 34-65863
File Number: 3-14252
Date: Respondents:
Release No. IA-3311
File Number: 3-14536
Date: Respondents:
Release No. IA-3307, IC-29841
File Number: 3-14194
Date: Respondents:
Release No. 34-65598
File Number: 3-14252
Date: Respondents:
Release No. 34-65581
File Number: 3-14370
Date: Respondents:
Release No. 34-65570
File Number: 3-14104
Date: Respondents:
Release No. 34-65569
File Number: 3-14396
Date: Respondents:
Release No. 33-9267, 34-65571
File Number: 3-13871
Date: Respondents:
Release No. 34-65347
File Number: 3-14054
Date: Respondents:
Release No. 34-65345
File Number: 3-14442
Date: Respondents:
Release No. 34-65267
File Number: 3-14015
Date: Respondents:
Release No. 34-65261
File Number: 3-4393
Date: Respondents:
Release No. 34-65235
Date: Respondents:
Release No. 34-65207, IA-3264
File Number: 3-13532
Date: Respondents:
Release No. 34-65204, IA-3262
File Number: 3-13986
Date: Respondents:
Release No. 34-65118
File Number: 3-13998
Date: Respondents:
Release No. 34-65117
File Number: 3-14317
Date: Respondents:
Release No. IA-3260, IC-29746
File Number: 3-12978
Date: Respondents:
Release No. 34-64897
File Number: 3-13881
Date: Respondents:
Release No. 33-9239
File Number: 3-14081
Date: Respondents:
Release No. 34-64852
File Number: 3-14015
Date: Respondents:
Release No. IC-29718
File Number: 3-14055
Date: Respondents:
Release No. 34-64813
File Number: 3-13998
Date: Respondents:
Release No. 34-64747
File Number: 3-13055
Date: Respondents:
Release No. IA-3217
File Number: 3-13908
Date: Respondents:
Release No. 34-64637
File Number: 3-14256
Date: Respondents:
Release No. 34-64565
Date: Respondents:
Release No. 34-64557
File Number: 3-14307, 3-14308
Date: Respondents:
Release No. 34-64489
File Number: 3-13979
Date: Respondents:
Release No. 34-64486
File Number: 3-14016
Date: Respondents:
Release No. 34-64481
File Number: 3-14093
Date: Respondents:
Release No. 34-64391
File Number: 3-14206
Date: Respondents:
Release No. 34-64145
File Number: 3-14174
Date: Respondents:
Release No. 33-9197, 34-64106
File Number: 3-13871
Date: Respondents:
Release No. 34-64079, IA-3174, IC-29599
File Number: 3-12978
Date: Respondents:
Release No. 34-64138, IA-3181
File Number: 3-14069
Date: Respondents:
Release No. 34-63941, IA-3165, IC-29578
File Number: 3-13887
Date: Respondents:
Release No. 33-9189
File Number: 3-14237
Date: Respondents:
Release No. 34-63894
File Number: 3-14174
Date: Respondents:
Release No. 34-63744
File Number: 3-13304
Date: Respondents:
Release No. 34-63720, IA-3139
File Number: 3-13280
Date: Respondents:
Release No. 34-63691
File Number: 3-14136
Date: Respondents:
Release No. 34-63665
File Number: 3-12944