Administrative Proceedings
The list below provides links to opinions and orders concerning both litigated and settled administrative proceedings instituted by the Commission.
The links below direct you to the docket pages for adjudicatory proceedings – meaning administrative proceedings adjudicated by the Commission including by its consideration of initial decisions of ALJ and appeals from SRO or PCAOB action – 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.
Administrative Proceedings Table
Respondents
|
|
---|---|
Date: |
Respondents:
Release No.
4-40313
File Number:
3-9670
|
Date: |
Respondents:
Release No.
4-40309
File Number:
4-40309
|
Date: |
Respondents:
Release No.
33-7561, 34-40307
File Number:
3-9668
|
Date: |
Respondents:
Release No.
34-40305
File Number:
3-9666
|
Date: |
Respondents:
Release No.
34-40290
File Number:
3-9663
|
Date: |
Respondents:
Release No.
34-40291
File Number:
3-9568
|
Date: |
Respondents:
Release No.
33-7560, 34-40292, IA-1739, IC-23368
File Number:
3-9664
|
Date: |
Respondents:
Release No.
34-40279
File Number:
3-9659
|
Date: |
Respondents:
Release No.
34-40280
File Number:
3-9660
|
Date: |
Respondents:
Release No.
34-40281
File Number:
3-9661
|
Date: |
Respondents:
Release No.
33-7559, 34-40282
File Number:
3-9662
|
Date: |
Respondents:
Release No.
33-7557, 34-40267, IA-1737, IC-23333
File Number:
3-9657
|
Date: |
Respondents:
Release No.
34-40269
File Number:
3-9658
|
Date: |
Respondents:
Release No.
34-40265
File Number:
3-9656
|
Date: |
Respondents:
Release No.
34-40256
File Number:
3-9654
|
Date: |
Respondents:
Release No.
34-40259
File Number:
3-9655
|
Date: |
Respondents:
Release No.
34-40234, IA-1734
File Number:
3-9652
|
Date: |
Respondents:
Release No.
33-7554, 34-40194
File Number:
3-9650
|
Date: |
Respondents:
Release No.
33-7553, 34-40184
|
Date: |
Respondents:
Release No.
34-40183
File Number:
3-9647
|
Date: |
Respondents:
Release No.
34-40181
File Number:
3-9646
|
Date: |
Respondents:
Release No.
33-7552, 34-40175, IA-1729, IC-23304
File Number:
3-9461
|
Date: |
Respondents:
Release No.
34-40173
File Number:
3-9644
|
Date: |
Respondents:
Release No.
34-40174
File Number:
3-9645
|
Date: |
Respondents:
Release No.
34-40168
File Number:
3-9640
|
Date: |
Respondents:
Release No.
34-40169
File Number:
3-9641
|
Date: |
Respondents:
Release No.
34-40170
File Number:
3-9642
|
Date: |
Respondents:
Release No.
34-40171
File Number:
3-9643
|
Date: |
Respondents:
Release No.
34-40142
File Number:
3-9638
|
Date: |
Respondents:
Release No.
33-7551,34-40134
File Number:
3-9636
|
Date: |
Respondents:
Release No.
34-40125
File Number:
3-9631
|
Date: |
Respondents:
Release No.
34-40127
File Number:
3-9632
|
Date: |
Respondents:
Release No.
34-40128
File Number:
3-9633
|
Date: |
Respondents:
Release No.
34-40130
File Number:
3-9634
|
Date: |
Respondents:
Release No.
34-40131
File Number:
3-9635
|
Date: |
Respondents:
Release No.
33-7547, 34-40115
File Number:
3-9629
|
Date: |
Respondents:
Release No.
34-40116
File Number:
3-9630
|
Date: |
Respondents:
Release No.
34-40106
File Number:
3-9628
|
Date: |
Respondents:
Release No.
34-40100
File Number:
3-9444
|
Date: |
Respondents:
Release No.
34-40101
File Number:
3-9444
|
Date: |
Respondents:
Release No.
34-40098
File Number:
3-9627
|
Date: |
Respondents:
Release No.
34-40093
File Number:
3-9626
|
Date: |
Respondents:
Release No.
34-40084, IA-1725
File Number:
3-9625
|
Date: |
Respondents:
Release No.
34-40078
File Number:
3-9622
|
Date: |
Respondents:
Release No.
34-40076
File Number:
3-9621
|
Date: |
Respondents:
Release No.
34-40067
File Number:
3-9619
|
Date: |
Respondents:
Release No.
34-40068
File Number:
3-9620
|
Date: |
Respondents:
Release No.
34-40060
File Number:
3-9617
|
Date: |
Respondents:
Release No.
34-40061
File Number:
3-9618
|
Date: |
Respondents:
Release No.
34-40049, IC-23229
|
Date: |
Respondents:
Release No.
33-7543, 34-40027
File Number:
3-9391
|
Date: |
Respondents:
Release No.
33-7542, 34-40023
File Number:
3-9544
|
Date: |
Respondents:
Release No.
34-40011
File Number:
3-8206
|
Date: |
Respondents:
Release No.
33-7540, 34-40012
File Number:
3-9523
|
Date: |
Respondents:
Release No.
34-40002
File Number:
3-9607
|
Date: |
Respondents:
Release No.
34-39993
File Number:
3-9605
|
Date: |
Respondents:
Release No.
34-39994
File Number:
3-8330
|
Date: |
Respondents:
Release No.
34-39984
File Number:
3-9603
|
Date: |
Respondents:
Release No.
33-7538, 34-39971
|
Date: |
Respondents:
Release No.
34-39968
|
Date: |
Respondents:
Release No.
34-39961
File Number:
3-9600
|
Date: |
Respondents:
Release No.
33-7533, 34-39949
File Number:
3-9597
|
Date: |
Respondents:
Release No.
34-39950
File Number:
3-9598
|
Date: |
Respondents:
Release No.
33-7537
File Number:
3-9542
|
Date: |
Respondents:
Release No.
33-7536
File Number:
3-9542
|
Date: |
Respondents:
Release No.
33-7535
File Number:
3-9542
|
Date: |
Respondents:
Release No.
33-7532
|
Date: |
Respondents:
Release No.
IA-1720
File Number:
3-9599
|
Date: |
Respondents:
Release No.
34-39943
File Number:
3-9357
|
Date: |
Respondents:
Release No.
34-39931
File Number:
3-9594
|
Date: |
Respondents:
Release No.
33-7531, 34-39932
File Number:
3-9595
|
Date: |
Respondents:
Release No.
33-7530, 34-39929
File Number:
3-9591
|
Date: |
Respondents:
Release No.
34-39930
File Number:
3-9592
|
Date: |
Respondents:
Release No.
34-39926
File Number:
3-9590
|
Date: |
Respondents:
Release No.
33-7528
File Number:
3-9586
|
Date: |
Respondents:
Release No.
33-7529
File Number:
3-9587
|
Date: |
Respondents:
Release No.
34-39917
File Number:
3-9497
|
Date: |
Respondents:
Release No.
34-39919
File Number:
3-9588
|
Date: |
Respondents:
Release No.
34-39921
File Number:
3-9589
|
Date: |
Respondents:
Release No.
33-7527
File Number:
3-9585
|
Date: |
Respondents:
Release No.
IA-1717
File Number:
3-9584
|
Date: |
Respondents:
Release No.
33-7525
File Number:
3-9582
|
Date: |
Respondents:
Release No.
33-7526
File Number:
3-9583
|
Date: |
Respondents:
Release No.
34-39901
File Number:
3-9580
|
Date: |
Respondents:
Release No.
34-39902
|
Date: |
Respondents:
Release No.
IA-1714
File Number:
3-9577
|
Date: |
Respondents:
Release No.
IA-1715
File Number:
3-9578
|
Date: |
Respondents:
Release No.
34-39848
File Number:
3-9576
|
Date: |
Respondents:
Release No.
34-39843
File Number:
3-9573
|
Date: |
Respondents:
Release No.
34-39844
File Number:
3-9574
|
Date: |
Respondents:
Release No.
33-7522
File Number:
3-9364
|
Date: |
Respondents:
Release No.
33-7521, 34-39817, IA-1712, IC-23090
File Number:
3-9383
|
Date: |
Respondents:
Release No.
34-39812
|
Date: |
Respondents:
Release No.
33-7520
File Number:
3-9571
|
Date: |
Respondents:
Release No.
34-39807
File Number:
3-9569
|
Date: |
Respondents:
Release No.
33-7518
File Number:
3-9563
|
Date: |
Respondents:
Release No.
34-39792
File Number:
3-9564
|
Date: |
Respondents:
Release No.
34-39793
File Number:
3-9565
|
Date: |
Respondents:
Release No.
34-39795
File Number:
3-9566
|
Date: |
Respondents:
Release No.
33-7519
File Number:
3-9567
|