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. IA-4298
File Number: 3-16335
Date: Respondents:
Release No. IA-4297
File Number: 3-16336
Date: Respondents:
Release No. 34-76721
File Number: 3-16933
Date: Respondents:
Release No. 34-76702, IA-4296
File Number: 3-16294
Date: Respondents:
Release No. IA-4294
File Number: 3-15263
Date: Respondents:
Release No. 34-76698
File Number: 3-16678
Date: Respondents:
Release No. 33-9985, 34-76614
File Number: 3-16178
Date: Respondents:
Release No. 34-76592
File Number: 3-16293
Date: Respondents:
Release No. 34-76559
File Number: 3-16948
Date: Respondents:
Release No. 34-76558
File Number: 3-16461
Date: Respondents:
Release No. IA-4286
File Number: 3-15263
Date: Respondents:
Release No. IA-4281
File Number: 3-15925
Date: Respondents:
Release No. 34-76517
File Number: 3-16933
Date: Respondents:
Release No. 34-76516
File Number: 3-16912
Date: Respondents:
Release No. 33-9979, 34-76502, IA-4275, IC-31908
File Number: 3-15842
Date: Respondents:
Release No. 34-76481
File Number: 3-16900
Date: Respondents:
Release No. 34-76461
File Number: 3-16900
Date: Respondents:
Release No. 34-76460
File Number: 3-16913
Date: Respondents:
Release No. 34-76440
File Number: 3-16933
Date: Respondents:
Release No. 34-76376
File Number: 3-16264
Date: Respondents:
Release No. 33-9977
File Number: 3-16339
Date: Respondents:
Release No. IA-4249
File Number: 3-15263
Date: Respondents:
Release No. 33-9975, 34-76325, IA-4250, IC-31888
File Number: 3-15446
Date: Respondents:
Release No. 34-76307
File Number: 3-16262
Date: Respondents:
Release No. 33-9972, 34-76308
File Number: 3-15124
Date: Respondents:
Release No. 34-76266
File Number: 3-16518
Date: Respondents:
Release No. 33-9966, 34-76271
File Number: 3-15974
Date: Respondents:
Release No. 34-76241, IA-4239, IC-31880
File Number: 3-15006
Date: Respondents:
Release No. IA-4222
File Number: 3-16182
Date: Respondents:
Release No. 34-76119
File Number: 3-16223
Date: Respondents:
Release No. 34-76118
File Number: 3-13678r
Date: Respondents:
Release No. 34-76097
File Number: 3-15168
Date: Respondents:
Release No. 33-9958, 34-76067, IA-4214, IC-31857
File Number: 3-16311
Date: Respondents:
Release No. 34-76060
File Number: 3-16545
Date: Respondents:
Release No. 34-76011
File Number: 3-15978
Date: Respondents:
Release No. IA-4211
File Number: 3-16182
Date: Respondents:
Release No. 34-76001, IC-31852
File Number: 3-16175
Date: Respondents:
Release No. 34-75982
File Number: 3-16155
Date: Respondents:
Release No. 34-75981
File Number: 3-16022
Date: Respondents:
Release No. 34-75965
File Number: 3-16756
Date: Respondents:
Release No. 34-75964
File Number: 3-16768
Date: Respondents:
Release No. 33-9923, 34-75960, IA-4205, IC-31836
File Number: 3-15514
Date: Respondents:
Release No. 34-75956, IA-4202
File Number: 3-16374
Date: Respondents:
Release No. IA-4197, IC-31830
File Number: 3-15519
Date: Respondents:
Release No. IA-4195, IC-31825
File Number: 3-15519
Date: Respondents:
Release No. 33-9912, 34-75922, IA-4194, IC-31824
File Number: 3-15790
Date: Respondents:
Release No. 34-75894, IC-31818
File Number: 3-15874
Date: Respondents:
Release No. 34-75893, IA-4193
File Number: 3-15850
Date: Respondents:
Release No. 34-75868
File Number: 3-16209
Date: Respondents:
Release No. 34-75844, AAER-3682
File Number: 3-15659
Date: Respondents:
Release No. 34-75840
File Number: 3-15993
Date: Respondents:
Release No. 34-75839
File Number: 3-16230
Date: Respondents:
Release No. 34-75838
File Number: 3-15916
Date: Respondents:
Release No. 34-75837, IA-4190, IC-31806
File Number: 3-15006
Date: Respondents:
Release No. 34-75822
File Number: 3-16285
Date: Respondents:
Release No. 34-75820, IA-4187, IC-31804
File Number: 3-15215
Date: Respondents:
Release No. 34-75818
File Number: 3-16502
Date: Respondents:
Release No. 34-75791
File Number: 3-16317
Date: Respondents:
Release No. 34-75790
File Number: 3-16321
Date: Respondents:
Release No. 34-75775
File Number: 3-16292
Date: Respondents:
Release No. 34-75774
File Number: 3-16555
Date: Respondents:
Release No. IA-4183, IC-31787
File Number: 3-15519
Date: Respondents:
Release No. 34-75765
File Number: 3-16525
Date: Respondents:
Release No. IA-4180, IA-3960
File Number: 3-16223
Date: Respondents:
Release No. 34-75705
File Number: 3-16434
Date: Respondents:
Release No. 34-75686, IA-4168, IC-31750
File Number: 3-16047
Date: Respondents:
Release No. IA-4166, IC-31749
File Number: 3-15519
Date: Respondents:
Release No. 33-9883, 34-75651
File Number: 3-15124
Date: Respondents:
Release No. IA-4157, IC-31739
File Number: 3-16037
Date: Respondents:
Release No. 34-75617
File Number: 3-13678r
Date: Respondents:
Release No. 34-75615
File Number: 3-16551
Date: Respondents:
Release No. 33-9875, 34-75590, IA-4153, IC-31736
File Number: 3-15255
Date: Respondents:
Release No. 33-9873, 34-75579, IC-31731
File Number: 3-14848
Date: Respondents:
Release No. 34-75571
File Number: 3-16658
Date: Respondents:
Release No. 34-75531
File Number: 3-15964
Date: Respondents:
Release No. 34-75502
File Number: 3-16502
Date: Respondents:
Release No. 34-75405
File Number: 3-16577
Date: Respondents:
Release No. 34-75351
File Number: 3-16551
Date: Respondents:
Release No. 34-75269
File Number: 3-16362
Date: Respondents:
Release No. 34-75262, IA-4125, IC-31685
File Number: 3-15006
Date: Respondents:
Release No. IA-4117, IC-31671
File Number: 3-15006
Date: Respondents:
Release No. 34-75168
File Number: 3-15432
Date: Respondents:
Release No. 34-75162, 34-70620, 34-70706
File Number: 3-15432
Date: Respondents:
Release No. 34-75161, 34-74933
File Number: 3-16472
Date: Respondents:
Release No. 34-75135
File Number: 3-16497
Date: Respondents:
Release No. 34-75134
File Number: 3-16424
Date: Respondents:
Release No. 34-75117
File Number: 3-16378
Date: Respondents:
Release No. 33-9805, 34-75114, IA-4104, IC-31662
File Number: 3-15514
Date: Respondents:
Release No. IA-4103, IC-31660
File Number: 3-15519
Date: Respondents:
Release No. 34-75101
File Number: 3-16518
Date: Respondents:
Release No. 33-9803, 34-75103
File Number: 3-15211
Date: Respondents:
Release No. 34-75075
File Number: 3-16430
Date: Respondents:
Release No. 33-9798, 34-75076, IC-31657
File Number: 3-15015
Date: Respondents:
Release No. 33-9797, 34-75074, IC-31656
File Number: 3-15874
Date: Respondents:
Release No. IA-4096, IC-31652
File Number: 3-15519
Date: Respondents:
Release No. 34-75054
File Number: 3-15601
Date: Respondents:
Release No. 33-9790, 34-75027, IC-31644
File Number: 3-15514
Date: Respondents:
Release No. 33-9775, 34-74991, IA-4088, IC-31605
File Number: 3-15918
Date: Respondents:
Release No. IA-4085
File Number: 3-15580
Date: Respondents:
Release No. IA-4084
File Number: 3-15581