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. 34-84947
File Number: 3-18769
Date: Respondents:
Release No. 34-84942
File Number: 3-18849
Date: Respondents:
Release No. 34-84917
File Number: 3-18045
Date: Respondents:
Release No. 34-84906
File Number: 3-18744
Date: Respondents:
Release No. 34-84905
File Number: 3-18741
Date: Respondents:
Release No. 34-84904
File Number: 3-18743
Date: Respondents:
Release No. 34-84903
File Number: 3-18742
Date: Respondents:
Release No. 34-84886
File Number: 3-18894
Date: Respondents:
Release No. 34-84884
File Number: 3-18881
Date: Respondents:
Release No. 34-84848
File Number: 3-18737
Date: Respondents:
Release No. 34-84840
File Number: 3-18736
Date: Respondents:
Release No. 34-84839
File Number: 3-18735
Date: Respondents:
Release No. 34-84827
File Number: 3-15351, 3-15364, 3-15394, 3-15600, 3-15773, 3-15774, 3-16006, 3-16188, 3-16204, 3-16220, 3-16320, 3-16330, 3-16356, 3-16423, 3-16490, 3-16526, 3-16574, 3-16685, 3-16724, 3-16793, 3-16834, 3-16918, 3-16960, 3-17000, 3-17040, 3-17066, 3-17105, 3-17138, 3-17176, 3-17208, 3-17244, 3-17331, 3-17663, 3-17702, 3-17738, 3-17787, 3-17877, 3-18002, 3-18010, 3-18057, 3-18094, 3-18144, 3-18145, 3-18248, 3-18286, 3-18310, 3-18313, 3-18315, 3-18345, 3-18362, 3-18365, 3-18383, 3-18441, 3-18525, 3-18572, 3-18680
Date: Respondents:
Release No. 34-84808
File Number: 3-18553
Date: Respondents:
Release No. 34-84800
File Number: 3-18734
Date: Respondents:
Release No. 34-84799
File Number: 3-18733
Date: Respondents:
Release No. 34-84797
File Number: 3-18731
Date: Respondents:
Release No. 34-84796
File Number: 3-18732
Date: Respondents:
Release No. 34-84795
File Number: 3-18895
Date: Respondents:
Release No. 34-84793
File Number: 3-17342
Date: Respondents:
Release No. 34-84792
File Number: 3-18883
Date: Respondents:
Release No. 34-84774
File Number: 3-18882
Date: Respondents:
Release No. 33-10583, 34-84776, IC-33319
File Number: 3-16318
Date: Respondents:
Release No. 34-84757
File Number: 3-18725
Date: Respondents:
Release No. 34-84756
File Number: 3-18727
Date: Respondents:
Release No. 34-84744
File Number: 3-18722
Date: Respondents:
Release No. 34-84743
File Number: 3-18721
Date: Respondents:
Release No. 34-84740
File Number: 3-18881
Date: Respondents:
Release No. 34-84736
File Number: 3-18720
Date: Respondents:
Release No. 34-84726
File Number: 3-17560r, 3-17560
Date: Respondents:
Release No. 34-84722
File Number: 3-18879
Date: Respondents:
Release No. 34-84721
File Number: 3-18702
Date: Respondents:
Release No. 34-84720
File Number: 3-18701
Date: Respondents:
Release No. 34-84717
File Number: 3-18699
Date: Respondents:
Release No. 34-84716
File Number: 3-18700
Date: Respondents:
Release No. 34-84711
File Number: 3-18769
Date: Respondents:
Release No. 34-84708
File Number: 3-18691
Date: Respondents:
Release No. 34-84706
File Number: 3-18690
Date: Respondents:
Release No. 34-84705
File Number: 3-18695
Date: Respondents:
Release No. 34-84704
File Number: 3-18697
Date: Respondents:
Release No. 34-84703
File Number: 3-18686
Date: Respondents:
Release No. 34-84702
File Number: 3-18687
Date: Respondents:
Release No. 34-84701
File Number: 3-18694
Date: Respondents:
Release No. 34-84700
File Number: 3-18692
Date: Respondents:
Release No. 34-84694
File Number: 3-18877
Date: Respondents:
Release No. 34-84692
File Number: 3-18674
Date: Respondents:
Release No. 34-84691
File Number: 3-18672
Date: Respondents:
Release No. 34-84690
File Number: 3-18677
Date: Respondents:
Release No. 34-84688
File Number: 3-18676
Date: Respondents:
Release No. 34-84687
File Number: 3-18675
Date: Respondents:
Release No. 34-84686
File Number: 3-18678
Date: Respondents:
Release No. 34-84681
File Number: 3-18679
Date: Respondents:
Release No. 34-84678
File Number: 3-18671
Date: Respondents:
Release No. 34-84677
File Number: 3-18670
Date: Respondents:
Release No. 34-84666
File Number: 3-18668
Date: Respondents:
Release No. 34-84664
Date: Respondents:
Release No. 34-84657
File Number: 3-18667
Date: Respondents:
Release No. 34-84656
File Number: 3-18664
Date: Respondents:
Release No. 34-84655
File Number: 3-18666
Date: Respondents:
Release No. 34-84627
File Number: 3-18790
Date: Respondents:
Release No. 34-84615
File Number: 3-17758
Date: Respondents:
Release No. 34-84597
File Number: 3-18869
Date: Respondents:
Release No. 34-84552
File Number: 3-18733
Date: Respondents:
Release No. 34-84551
File Number: 3-18784
Date: Respondents:
Release No. 34-84550
File Number: 3-18776
Date: Respondents:
Release No. 34-84530
File Number: 3-18580
Date: Respondents:
Release No. 34-84529
File Number: 3-18045
Date: Respondents:
Release No. 34-84513
File Number: 3-18262
Date: Respondents:
Release No. 34-84500
File Number: 3-17909
Date: Respondents:
Release No. 34-84499
File Number: 3-18150
Date: Respondents:
Release No. 34-84469
File Number: 3-18792
Date: Respondents:
Release No. 34-84455
File Number: 3-18612
Date: Respondents:
Release No. 34-84447
File Number: 3-18832
Date: Respondents:
Release No. 34-84433
Date: Respondents:
Release No. 34-84432
File Number: 3-15350
Date: Respondents:
Release No. 34-84335
File Number: 3-18262
Date: Respondents:
Release No. 34-84334
File Number: 3-18256
Date: Respondents:
Release No. 34-84324
File Number: 3-17963
Date: Respondents:
Release No. 34-84322
File Number: 3-17909
Date: Respondents:
Release No. 34-84321
File Number: 3-18432
Date: Respondents:
Release No. 34-84254
File Number: 3-18612
Date: Respondents:
Release No. IA-5030
File Number: 3-15054
Date: Respondents:
Release No. IA-5029
File Number: 3-14542
Date: Respondents:
Release No. IA-5027
File Number: 3-16641
Date: Respondents:
Release No. IA-5026
File Number: 3-14889
Date: Respondents:
Release No. IA-5025, IC-33234
File Number: 3-14899
Date: Respondents:
Release No. IA-5021
File Number: 3-15424
Date: Respondents:
Release No. IA-5020
File Number: 3-15052
Date: Respondents:
Release No. 34-84165
File Number: 3-18637
Date: Respondents:
Release No. 34-84159
File Number: 3-15554
Date: Respondents:
Release No. 34-84157, IA-5028
File Number: 3-16691
Date: Respondents:
Release No. 34-84156
File Number: 3-15121
Date: Respondents:
Release No. 34-84155
File Number: 3-14980
Date: Respondents:
Release No. 34-84154
File Number: 3-14949
Date: Respondents:
Release No. 34-84153
File Number: 3-14698
Date: Respondents:
Release No. 34-84152
File Number: 3-14248
Date: Respondents:
Release No. 34-84151
File Number: 3-15765
Date: Respondents:
Release No. 34-84150
File Number: 3-15895
Date: Respondents:
Release No. 34-84149, IA-5024
File Number: 3-15376
Date: Respondents:
Release No. 34-84148
File Number: 3-15043