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. 34-93889
File Number: 3-19206
Date: Respondents:
Release No. 34-93870
File Number: 3-18567
Date: Respondents:
Release No. 34-93869
File Number: 3-17930r, 3-17930
Date: Respondents:
Release No. 34-93866
File Number: 3-20665
Date: Respondents:
Release No. 34-93863
File Number: 3-20646
Date: Respondents:
Release No. 34-93855
File Number: 3-20551
Date: Respondents:
Release No. 34-93847
File Number: 3-19662
Date: Respondents:
Release No. 34-93846
File Number: 3-19659
Date: Respondents:
Release No. 34-93844
File Number: 3-19663
Date: Respondents:
Release No. 34-93843
File Number: 3-20578
Date: Respondents:
Release No. 34-93842
File Number: 3-20509
Date: Respondents:
Release No. 34-93837
File Number: 3-20665
Date: Respondents:
Release No. 33-11017, 34-93836, IA-5933
File Number: 3-19145
Date: Respondents:
Release No. 34-93824
File Number: 3-20535
Date: Respondents:
Release No. 34-93821
File Number: 3-20619
Date: Respondents:
Release No. 34-93820, IA-5929
File Number: 3-15672
Date: Respondents:
Release No. 34-93806
File Number: 3-20650
Date: Respondents:
Release No. 34-93796
File Number: 3-20647
Date: Respondents:
Release No. 34-93793
File Number: 3-20346
Date: Respondents:
Release No. 34-93792
File Number: 3-18616, 3-18617, 3-18877, 3-18879, 3-18883, 3-18910, 3-18919, 3-18934, 3-18988, 3-19013, 3-19016, 3-19017, 3-19219, 3-19405, 3-19573, 3-19574, 3-19611, 3-20160, 3-20205, 3-20499, 3-20620, 3-20621
Date: Respondents:
Release No. 34-93791
File Number: 3-19896
Date: Respondents:
Release No. IA-5925
File Number: 3-20531
Date: Respondents:
Release No. IA-5923
File Number: 3-19849
Date: Respondents:
Release No. 34-93765
File Number: 3-20090
Date: Respondents:
Release No. 34-93763
File Number: 3-20091
Date: Respondents:
Release No. 34-93762
File Number: 3-19631
Date: Respondents:
Release No. 34-93761
File Number: 3-15755
Date: Respondents:
Release No. 34-93760
File Number: 3-20192
Date: Respondents:
Release No. 34-93759
File Number: 3-18999
Date: Respondents:
Release No. 34-93757
File Number: 3-19870
Date: Respondents:
Release No. 34-93756, IA-5922, AAER-4276
File Number: 3-20395
Date: Respondents:
Release No. 34-93755
File Number: 3-20636
Date: Respondents:
Release No. 34-93747
File Number: 3-17990
Date: Respondents:
Release No. 34-93746, IA-5919
File Number: 3-19696
Date: Respondents:
Release No. 34-93742
File Number: 3-20346
Date: Respondents:
Release No. 34-93740
File Number: 3-20387
Date: Respondents:
Release No. 34-93738
File Number: 3-20646
Date: Respondents:
Release No. 34-93737
File Number: 3-20353
Date: Respondents:
Release No. 34-93735
File Number: 3-20352
Date: Respondents:
Release No. 34-93732
File Number: 3-20347
Date: Respondents:
Release No. 34-93730
File Number: 3-20647
Date: Respondents:
Release No. 34-93724
File Number: 3-20550
Date: Respondents:
Release No. 34-93723
File Number: 3-19994
Date: Respondents:
Release No. 34-93719
File Number: 3-19651
Date: Respondents:
Release No. 34-93716
File Number: 3-19649
Date: Respondents:
Release No. 34-93715
File Number: 3-20476
Date: Respondents:
Release No. 34-93697
File Number: 3-20639
Date: Respondents:
Release No. 34-93695
File Number: 3-20636
Date: Respondents:
Release No. 34-93693
File Number: 3-19206
Date: Respondents:
Release No. 34-93692
File Number: 3-20574
Date: Respondents:
Release No. 34-93691
File Number: 3-20572
Date: Respondents:
Release No. 34-93684, IA-5916
File Number: 3-15672
Date: Respondents:
Release No. 34-93681, IA-5915
File Number: 3-19323
Date: Respondents:
Release No. 34-93680
File Number: 3-20643
Date: Respondents:
Release No. 34-93679
File Number: 3-18979
Date: Respondents:
Release No. 34-93673
File Number: 3-20633
Date: Respondents:
Release No. 34-93672
File Number: 3-20634
Date: Respondents:
Release No. 34-93660
File Number: 3-20154
Date: Respondents:
Release No. 34-93657
File Number: 3-18894
Date: Respondents:
Release No. 34-93656
File Number: 3-19185
Date: Respondents:
Release No. 34-93653
File Number: 3-20643
Date: Respondents:
Release No. 34-93652
File Number: 3-20646
Date: Respondents:
Release No. 33-11009, 34-93654
File Number: 3-16509
Date: Respondents:
Release No. 34-93626
File Number: 3-20239, 3-20242
Date: Respondents:
Release No. 34-93623
File Number: 3-18616, 3-18617, 3-18877, 3-18879, 3-18883, 3-18910, 3-18919, 3-18934, 3-18988, 3-19013, 3-19016, 3-19017, 3-19219, 3-19405, 3-19573, 3-19574, 3-19611, 3-20160, 3-20205, 3-20499, 3-20620, 3-20621
Date: Respondents:
Release No. IA-5910
File Number: 3-20616
Date: Respondents:
Release No. 34-93611
File Number: 3-20485
Date: Respondents:
Release No. 34-93609
File Number: 3-20615
Date: Respondents:
Release No. 34-93606
File Number: 3-20647
Date: Respondents:
Release No. 34-93600
File Number: 3-20650
Date: Respondents:
Release No. IA-5908
File Number: 3-16047
Date: Respondents:
Release No. 34-93578
File Number: 3-20485
Date: Respondents:
Release No. 34-93572, IA-5907, IC-34417
File Number: 3-17184
Date: Respondents:
Release No. 34-93566
File Number: 3-20639
Date: Respondents:
Release No. 34-93543
File Number: 3-19771
Date: Respondents:
Release No. 34-93542
File Number: 3-20546
Date: Respondents:
Release No. 34-93541
File Number: 3-20566
Date: Respondents:
Release No. 34-93540
File Number: 3-20621
Date: Respondents:
Release No. 34-93539
File Number: 3-19666
Date: Respondents:
Release No. 34-93538
File Number: 3-20552
Date: Respondents:
Release No. 34-93537
File Number: 3-18616, 3-18617, 3-18877, 3-18879, 3-18883, 3-18910, 3-18919, 3-18934, 3-18988, 3-19013, 3-19016, 3-19017, 3-19219, 3-19405, 3-19573, 3-19574, 3-19611, 3-20160, 3-20205, 3-20499, 3-20620
Date: Respondents:
Release No. 34-93536
File Number: 3-20510
Date: Respondents:
Release No. IA-5906
File Number: 3-19245
Date: Respondents:
Release No. 34-93531
File Number: 3-20592
Date: Respondents:
Release No. 34-93530, IA-5905
File Number: 3-20460, 3- 20460
Date: Respondents:
Release No. 34-93521
File Number: 3-20502
Date: Respondents:
Release No. IA-5902
File Number: 3-20586, 3-20586
Date: Respondents:
Release No. 34-93517
File Number: 3-20346
Date: Respondents:
Release No. 34-93516
File Number: 3-19649
Date: Respondents:
Release No. 34-93515
File Number: 3-19649
Date: Respondents:
Release No. 34-93499
File Number: 3-19206
Date: Respondents:
Release No. 34-93498
File Number: 3-18994
Date: Respondents:
Release No. 34-93495
File Number: 3-20509
Date: Respondents:
Release No. 34-93493
File Number: 3-20557
Date: Respondents:
Release No. 34-93492
File Number: 3-19651
Date: Respondents:
Release No. 34-93491
File Number: 3-20547
Date: Respondents:
Release No. 34-93490
File Number: 3-20615
Date: Respondents:
Release No. 33-11003, 34-93497, IA-5901, IC-34413
File Number: 3-17253
Date: Respondents:
Release No. 34-93482
File Number: 3-20510
Date: Respondents:
Release No. 34-93481, IA-5899
File Number: 3-19720