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. 34-79700
File Number: 3-17262
Date: Respondents:
Release No. 34-79482, IA-4583
File Number: 3-17210
Date: Respondents:
Release No. 34-79459
File Number: 3-16383
Date: Respondents:
Release No. 33-10260, 34-79413
File Number: 3-16509
Date: Respondents:
Release No. 34-79380
File Number: 3-17293
Date: Respondents:
Release No. IA-4566
File Number: 3-16047
Date: Respondents:
Release No. 34-79250
File Number: 3-17668
Date: Respondents:
Release No. 33-10244, 34-79217, IA-4563, IC-32352
File Number: 3-15617
Date: Respondents:
Release No. 33-10240, IC-32341, 34-79177
File Number: 3-16227
Date: Respondents:
Release No. IA-4559
File Number: 3-16937
Date: Respondents:
Release No. 34-79138
File Number: 3-16430
Date: Respondents:
Release No. 34-79128, IA-4558
File Number: 3-17115
Date: Respondents:
Release No. 34-79099
File Number: 3-17560
Date: Respondents:
Release No. 33-10235
File Number: 3-17551
Date: Respondents:
Release No. 34-79018
File Number: 3-15601r
Date: Respondents:
Release No. 34-79016
File Number: 3-17404
Date: Respondents:
Release No. 34-79010
File Number: 3-16913r
Date: Respondents:
Release No. 34-79008
File Number: 3-17226
Date: Respondents:
Release No. 34-79007
File Number: 3-17076
Date: Respondents:
Release No. 33-10227, 34-79009, IA-4543, IC-32298
File Number: 3-15617
Date: Respondents:
Release No. 33-10225, 34-78990, IA-4541, IC-32294
File Number: 3-15737
Date: Respondents:
Release No. 34-78969
File Number: 3-17035
Date: Respondents:
Release No. 34-78902
File Number: 3-17406
Date: Respondents:
Release No. 34-78901
File Number: 3-17402
Date: Respondents:
Release No. 34-78900
File Number: 3-17512
Date: Respondents:
Release No. 34-78899
File Number: 3-17344
Date: Respondents:
Release No. 33-10219, 34-78898, IC-32279
File Number: 3-16498
Date: Respondents:
Release No. 34-78843
File Number: 3-17254
Date: Respondents:
Release No. 34-78833
File Number: 3-17406
Date: Respondents:
Release No. 33-10207, 34-78822, IA-4528, IC-32258
File Number: 3-15918
Date: Respondents:
Release No. 33-10206, 34-78821
File Number: 3-14848
Date: Respondents:
Release No. 33-10205, 34-78797
File Number: 3-15790
Date: Respondents:
Release No. 34-78773
File Number: 3-15350
Date: Respondents:
Release No. IA-4520
File Number: 3-16946
Date: Respondents:
Release No. 34-78764
File Number: 3-16430
Date: Respondents:
Release No. 33-10202, 34-78739, IA-4516, IC-32250
File Number: 3-15918
Date: Respondents:
Release No. IA-4495, IC-32236, AAER-3796
File Number: 3-16462
Date: Respondents:
Release No. 34-78669
File Number: 3-17128
Date: Respondents:
Release No. IA-4492, IC-32223
File Number: 3-15519
Date: Respondents:
Release No. 34-78638
File Number: 3-17202
Date: Respondents:
Release No. 33-10126, 34-78637, IA-4491, IC-32222
File Number: 3-16801
Date: Respondents:
Release No. 33-10125, 34-78621
File Number: 3-14848
Date: Respondents:
Release No. 34-78595
File Number: 3-15350
Date: Respondents:
Release No. 33-10124, 34-78596
File Number: 3-17013
Date: Respondents:
Release No. 33-10123
File Number: 3-16594
Date: Respondents:
Release No. 33-10121, 34-78575, IA-4486, IC-32216
File Number: 3-15446
Date: Respondents:
Release No. IA-4482, IC-32211
File Number: 3-16590
Date: Respondents:
Release No. 34-78568
File Number: 3-16329
Date: Respondents:
Release No. 33-10119, 34-78532, IA-4476, IC-32210
File Number: 3-15737
Date: Respondents:
Release No. 34-78490
File Number: 3-15168
Date: Respondents:
Release No. 34-78486
File Number: 3-17344
Date: Respondents:
Release No. IA-4471
File Number: 3-15263
Date: Respondents:
Release No. IA-4470
File Number: 3-14552
Date: Respondents:
Release No. IA-4469, IC-32203
File Number: 3-15157
Date: Respondents:
Release No. 34-78470
File Number: 3-15266
Date: Respondents:
Release No. 34-78469
File Number: 3-15035
Date: Respondents:
Release No. 34-78468, IC-32205
File Number: 3-14324
Date: Respondents:
Release No. 34-78467
File Number: 3-14139
Date: Respondents:
Release No. 34-78466
File Number: 3-15624
Date: Respondents:
Release No. 34-78465
File Number: 3-16818
Date: Respondents:
Release No. 34-78464
File Number: 3-15819
Date: Respondents:
Release No. 34-78463
File Number: 3-16151
Date: Respondents:
Release No. 34-78458
File Number: 3-17249
Date: Respondents:
Release No. 33-10116, 34-78440, IA-4466, IC-32199
File Number: 3-15003
Date: Respondents:
Release No. 33-10115, 34-78429, IA-4463, IC-32194
File Number: 3-15918
Date: Respondents:
Release No. IA-4461
File Number: 3-16946
Date: Respondents:
Release No. 33-10112, 34-78364, IA-4458, IC-32178
File Number: 3-12116
Date: Respondents:
Release No. 34-78352
File Number: 3-17076
Date: Respondents:
Release No. 34-78340
File Number: 3-17189
Date: Respondents:
Release No. IA-4454, IC-32177
File Number: 3-16037
Date: Respondents:
Release No. 34-78272, IA-4446, IC-32174
File Number: 3-15141
Date: Respondents:
Release No. 34-78271
File Number: 3-17294
Date: Respondents:
Release No. 34-78252, IA-4445, IC-32172
See Also: Amended Opinion
File Number: 3-15141
Date: Respondents:
Release No. 33-10109, 34-78253, IC-32173
File Number: 3-16498
Date: Respondents:
Release No. IA-4443, IC-32169
File Number: 3-15519
Date: Respondents:
Release No. 34-78209
File Number: 3-16795
Date: Respondents:
Release No. 34-78184
File Number: 3-17262
Date: Respondents:
Release No. 34-78183
File Number: 3-17254
Date: Respondents:
Release No. 34-78134
File Number: 3-17211
Date: Respondents:
Release No. 33-10100, 34-78098, IA-4431, IC-32152
File Number: 3-15446
Date: Respondents:
Release No. 34-78093
File Number: 3-16285
Date: Respondents:
Release No. 34-78066
File Number: 3-15764
Date: Respondents:
Release No. 34-78058
File Number: 3-16913r
Date: Respondents:
Release No. 34-78049, IA-4420, IC-32146
File Number: 3-15141
Date: Respondents:
Release No. IA-4417
File Number: 3-15263
Date: Respondents:
Release No. IA-4416, IC-32143
File Number: 3-16037
Date: Respondents:
Release No. 34-78019
File Number: 3-17226
Date: Respondents:
Release No. 34-78018
File Number: 3-17250
Date: Respondents:
Release No. 34-77994
File Number: 3-17254
Date: Respondents:
Release No. 34-77993
File Number: 3-16050
Date: Respondents:
Release No. 34-77984
File Number: 3-16912
Date: Respondents:
Release No. 34-77966
File Number: 3-14069
Date: Respondents:
Release No. 34-77965
File Number: 3-14698
Date: Respondents:
Release No. 33-10084, 34-77964, IA-4412, IC-32137
File Number: 3-14404
Date: Respondents:
Release No. IA-4410
File Number: 3-15055
Date: Respondents:
Release No. IA-4409
File Number: 3-15054
Date: Respondents:
Release No. 34-77955, IA-4408
File Number: 3-14963
Date: Respondents:
Release No. 34-77954, IA-4407
File Number: 3-14951
Date: Respondents:
Release No. IA-4405
File Number: 3-15285
Date: Respondents:
Release No. IA-4404
File Number: 3-16642