Commission Opinions and Adjudicatory Orders
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
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|
---|---|
Date: |
Respondents:
Release No.
34-97441
File Number:
3-21390
|
Date: |
Respondents:
Release No.
34-97428
File Number:
3-21375
|
Date: |
Respondents:
Release No.
34-97425, IA-6298
File Number:
3-21030
|
Date: |
Respondents:
Release No.
34-97415
File Number:
3-21382
|
Date: |
Respondents:
Release No.
IA-6295
File Number:
3-20531
|
Date: |
Respondents:
Release No.
34-97414:, AAER-4405
File Number:
3-21314
|
Date: |
Respondents:
Release No.
34-97413, AAER-4404
File Number:
3-18292
|
Date: |
Respondents:
Release No.
34-97412
File Number:
3-19228
|
Date: |
Respondents:
Release No.
34-97411
File Number:
3-18994
|
Date: |
Respondents:
Release No.
34-97410
File Number:
3-19588
|
Date: |
Respondents:
Release No.
33-11181, 34-97409, IA-6294, IC-34904
File Number:
3-17253
|
Date: |
Respondents:
Release No.
34-97402
File Number:
3-18979
|
Date: |
Respondents:
Release No.
34-97391
File Number:
3-19606
|
Date: |
Respondents:
Release No.
34-97390
File Number:
3-21206
|
Date: |
Respondents:
Release No.
IA-6293
File Number:
3-20950
|
Date: |
Respondents:
Release No.
34-97382
File Number:
3-21084
|
Date: |
Respondents:
Release No.
IA-6292
File Number:
3-20928
|
Date: |
Respondents:
Release No.
34-97380
File Number:
3-21098
|
Date: |
Respondents:
Release No.
34-97379
File Number:
3-21097
|
Date: |
Respondents:
Release No.
34-97377
File Number:
3-20817
|
Date: |
Respondents:
Release No.
34-97376
File Number:
3-19814
|
Date: |
Respondents:
Release No.
34-97359
File Number:
3-21225
|
Date: |
Respondents:
Release No.
34-97357
File Number:
3-19892
|
Date: |
Respondents:
Release No.
34-97356
File Number:
3-20633
|
Date: |
Respondents:
Release No.
34-97355
File Number:
3-20636
|
Date: |
Respondents:
Release No.
34-97347
File Number:
3-20818
|
Date: |
Respondents:
Release No.
34-97336, IA-6290
File Number:
3-20796
|
Date: |
Respondents:
Release No.
34-97325
File Number:
3-19007, 3-19012
|
Date: |
Respondents:
Release No.
34-97324
File Number:
3-20819
|
Date: |
Respondents:
Release No.
34-97323
File Number:
3-20905
|
Date: |
Respondents:
Release No.
34-97322
File Number:
3-20631
|
Date: |
Respondents:
Release No.
IA-6289
File Number:
3-19733
|
Date: |
Respondents:
Release No.
34-97321
File Number:
3-19185
|
Date: |
Respondents:
Release No.
34-97320
File Number:
3-20724
|
Date: |
Respondents:
Release No.
IA-6287
File Number:
3-20134
|
Date: |
Respondents:
Release No.
34-97316
File Number:
3-20703
|
Date: |
Respondents:
Release No.
34-97315
File Number:
3-16293
|
Date: |
Respondents:
Release No.
34-97314
File Number:
3-20646
|
Date: |
Respondents:
Release No.
34-97313
File Number:
3-19594
|
Date: |
Respondents:
Release No.
34-97310
File Number:
3-21291
|
Date: |
Respondents:
Release No.
34-97282
File Number:
3-21266
|
Date: |
Respondents:
Release No.
IA-6278
File Number:
3-19510
|
Date: |
Respondents:
Release No.
34-97281
File Number:
3-21039
|
Date: |
Respondents:
Release No.
IA-6277
File Number:
3-17352
|
Date: |
Respondents:
Release No.
34-97279
File Number:
3-21264
|
Date: |
Respondents:
Release No.
34-97278
File Number:
3-19652
|
Date: |
Respondents:
Release No.
34-97277
File Number:
3-19406
|
Date: |
Respondents:
Release No.
34-97275
File Number:
3-20127
|
Date: |
Respondents:
Release No.
34-97276
File Number:
3-19407
|
Date: |
Respondents:
Release No.
34-97274
File Number:
3-20209
|
Date: |
Respondents:
Release No.
33-11177, 34-97273
File Number:
3-16386
|
Date: |
Respondents:
Release No.
34-97272
File Number:
3-20651
|
Date: |
Respondents:
Release No.
34-97271
File Number:
3-20120
|
Date: |
Respondents:
Release No.
IA-6276
File Number:
3-21121
|
Date: |
Respondents:
Release No.
34-97265
File Number:
3-19666
|
Date: |
Respondents:
Release No.
34-97264
File Number:
3-21015
|
Date: |
Respondents:
Release No.
34-97256
File Number:
3-15332
|
Date: |
Respondents: Jeffrey Yokuty (ORDER VACATING BROKER, DEALER, MUNICIPAL SECURITIES DEALER, AND
TRANSFER AGENT BARS)
Release No.
IA-6275
File Number:
3-14484
|
Date: |
Respondents:
Release No.
IA-6274
File Number:
3-16722
|
Date: |
Respondents:
Release No.
34-97254
File Number:
3-20818
|
Date: |
Respondents:
Release No.
34-97253
File Number:
3-21001
|
Date: |
Respondents:
Release No.
34-97248
File Number:
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, 3-20467, 3-20499, 3-20620, 3-20621, 3-18616
|
Date: |
Respondents:
Release No.
34-97246, AAER-4395
File Number:
3-21241
|
Date: |
Respondents:
Release No.
34-97238
File Number:
3-21214
|
Date: |
Respondents:
Release No.
IA-6268
File Number:
3-21143
|
Date: |
Respondents:
Release No.
34-97233
File Number:
3-21015
|
Date: |
Respondents:
Release No.
IA-6269
File Number:
3-21333, 3-21333
|
Date: |
Respondents:
Release No.
IA-6267
File Number:
3-20208
|
Date: |
Respondents:
Release No.
34-97209, AAER-4393
File Number:
3-21314
|
Date: |
Respondents:
Release No.
34-97215
File Number:
3-20362
|
Date: |
Respondents:
Release No.
34-97217
File Number:
3-18979
|
Date: |
Respondents:
Release No.
34-97204
File Number:
3-20210
|
Date: |
Respondents:
Release No.
34-97207
File Number:
3-18567
|
Date: |
Respondents:
Release No.
34-97200
File Number:
3-21035
|
Date: |
Respondents:
Release No.
34-97198
File Number:
3-19007, 3-19012
|
Date: |
Respondents:
Release No.
34-97199
File Number:
3-21264
|
Date: |
Respondents:
Release No.
34-97201
File Number:
3-21221
|
Date: |
Respondents:
Release No.
34-97192
File Number:
3-21270
|
Date: |
Respondents:
Release No.
34-97185
File Number:
3-20816
|
Date: |
Respondents:
Release No.
34-97177
File Number:
3-21225
|
Date: |
Respondents:
Release No.
34-97179
File Number:
3-20154
|
Date: |
Respondents:
Release No.
34-97180
File Number:
3-19897
|
Date: |
Respondents:
Release No.
34-97162
File Number:
3-19185
|
Date: |
Respondents:
Release No.
33-11169, 34-97163, IA-6264
File Number:
3-19145
|
Date: |
Respondents:
Release No.
34-97164
File Number:
3-20811
|
Date: |
Respondents:
Release No.
34-97165
File Number:
3-20387
|
Date: |
Respondents:
Release No.
34-97157
File Number:
3-20817
|
Date: |
Respondents:
Release No.
34-97132
File Number:
3-18616, 3-18617, 3-18877, 3-18879, 3-18883, 3-18910, 3-18988, 3-19013, 3-19016, 3-19017, 3-19219, 3-19405, 3-19573, 3-19574, 3-19611, 3-20160, 3-20205, 3-20467, 3-20499, 3-20620, 3-20621, 3-18919, 3-18934
|
Date: |
Respondents:
Release No.
34-97135
File Number:
3-21221
|
Date: |
Respondents:
Release No.
34-97116
File Number:
3-19896
|
Date: |
Respondents:
Release No.
34-97121
File Number:
3-21292
|
Date: |
Respondents:
Release No.
34-97115
File Number:
3-18999
|
Date: |
Respondents:
Release No.
34-97118
File Number:
3-15755
|
Date: |
Respondents:
Release No.
34-97119
File Number:
3-20260
|
Date: |
Respondents:
Release No.
34-97120
File Number:
3-20199
|
Date: |
Respondents:
Release No.
34-97113, AAER-4389
File Number:
3-21314
|
Date: |
Respondents:
Release No.
34-97101
File Number:
3-21146
|
Date: |
Respondents:
Release No.
34-97103
File Number:
3-21109
|
Date: |
Respondents:
Release No.
34-97105
File Number:
3-21091
|
Date: |
Respondents:
Release No.
34-97107
File Number:
3-21147
|