ALJ Orders
During enforcement proceedings assigned to one of the SEC's administrative law judges (ALJs), a judge may issue orders to schedule hearings, rule on motions or the admissibility of evidence, or otherwise communicate information to the parties involved.
View orders arranged by date below.
Related Resources
| Date Sort ascending | Respondents |
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Release No.
AP-5011
File Number:
3-17902
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Release No.
AP-5007
File Number:
3-18082
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Release No.
AP-5008
File Number:
3-18141
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Release No.
AP-5004
File Number:
3-16554
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Release No.
AP-5003
File Number:
3-18104
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Release No.
AP-5002
File Number:
3-17699
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Release No.
AP-4999
File Number:
3-18014
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Release No.
AP-5000
File Number:
3-18098
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Release No.
AP-5001
File Number:
3-18096
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Release No.
AP-4997
File Number:
3-18070
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Release No.
AP-4998
File Number:
3-18097
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Release No.
AP-4995
File Number:
3-18119
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Release No.
AP-4991
File Number:
3-18127
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Release No.
AP-4996
File Number:
3-18130
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Release No.
AP-4992
File Number:
3-18129
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Release No.
AP-4993
File Number:
3-18126
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Release No.
AP-4994
File Number:
3-18107
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Release No.
AP-4990
File Number:
3-18061
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Release No.
AP-4989
File Number:
3-17902
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Release No.
AP-4987
File Number:
3-18119
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Release No.
AP-4988
File Number:
3-18100
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Release No.
AP-4986
File Number:
3-17740
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Release No.
AP-4983
File Number:
3-18095
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Release No.
AP-4984
File Number:
3-18092
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Release No.
AP-4985
File Number:
3-17950
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Release No.
AP-4980
File Number:
3-18091
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Release No.
AP-4981
File Number:
3-18104
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Release No.
AP-4982
File Number:
3-16554
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Release No.
AP-4978
File Number:
3-18096
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Release No.
AP-4974
File Number:
3-18105
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Release No.
AP-4979
File Number:
3-18097
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Release No.
AP-4975
File Number:
3-17387
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Release No.
AP-4976
File Number:
3-17342
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Release No.
AP-4977
File Number:
3-18079
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Release No.
AP-4973
File Number:
3-17699
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Release No.
AP-4972
File Number:
3-18061
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Release No.
AP-4971
File Number:
3-18081
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Release No.
AP-4968
File Number:
3-18078
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Release No.
AP-4969
File Number:
3-18107
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Release No.
AP-4970
File Number:
3-18099
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Release No.
AP-4965
File Number:
3-17990
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Release No.
AP-4966
File Number:
3-18023
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Release No.
AP-4967
File Number:
3-17740
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Release No.
AP-4963
File Number:
3-18106
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Release No.
AP-4964
File Number:
3-18070
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Release No.
AP-4962
File Number:
3-18103
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Release No.
AP-4960
File Number:
3-18082
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Release No.
AP-4961
File Number:
3-18104
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Release No.
AP-4958
File Number:
3-18105
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Release No.
AP-4959
File Number:
3-18077
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Release No.
AP-4955
File Number:
3-18082
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Release No.
AP-4956
File Number:
3-18081
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Release No.
AP-4957
File Number:
3-18100
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Release No.
AP-4953
File Number:
3-18099
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Release No.
AP-4954
File Number:
3-18077
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Release No.
AP-4945
File Number:
3-18096
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Release No.
AP-4945
File Number:
3-18096
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Release No.
AP-4946
File Number:
3-18097
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Angel Oak Capital Partners, LLC Peraza Capital and Investment, LLC Prabhu, Sreeniwas Wells, David W.
Release No.
AP-4947
File Number:
3-17849
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Release No.
AP-4944
File Number:
3-18095
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Release No.
AP-4952
File Number:
3-18083
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Release No.
AP-4948
File Number:
3-18038
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Release No.
AP-4949
File Number:
3-18098
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Release No.
AP-4950
File Number:
3-18014
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Release No.
AP-4951
File Number:
3-18037
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Release No.
AP-4942
File Number:
3-16554
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Release No.
AP-4943
File Number:
3-17990
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Release No.
AP-4940
File Number:
3-16554
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Release No.
AP-4941
File Number:
3-18092
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Release No.
AP-4939
File Number:
3-18091
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Release No.
AP-4937
File Number:
3-17950
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Release No.
AP-4938
File Number:
3-18023
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Release No.
AP-4936
File Number:
3-18083
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Release No.
AP-4932
File Number:
3-18079
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Release No.
AP-4933
File Number:
3-18081
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Release No.
AP-4934
File Number:
3-18082
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Release No.
AP-4935
File Number:
3-17740
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Release No.
AP-4929
File Number:
3-18061
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Release No.
AP-4930
File Number:
3-18077
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Release No.
AP-4931
File Number:
3-18078
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Release No.
AP-4925
File Number:
3-18007
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Release No.
AP-4926
File Number:
3-17884
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Release No.
AP-4927
File Number:
3-16554
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Release No.
AP-4928
File Number:
3-17031
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Release No.
AP-4924
File Number:
3-18070
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Release No.
AP-4921
File Number:
3-18038
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Release No.
AP-4922
File Number:
3-18037
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Release No.
AP-4923
File Number:
3-18047
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Release No.
AP-4920
File Number:
3-18038
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Release No.
AP-4918
File Number:
3-18023
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Release No.
AP-4919
File Number:
3-16604
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Release No.
AP-4917
File Number:
3-18047
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Release No.
AP-4916
File Number:
3-17883
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Release No.
AP-4914
File Number:
3-18011
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Release No.
AP-4915
File Number:
3-17681
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Release No.
AP-4913
File Number:
3-16554
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Release No.
AP-4912
File Number:
3-18004
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Release No.
AP-4911
File Number:
3-17959
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Release No.
AP-4909
File Number:
3-18038
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Release No.
AP-4910
File Number:
3-18061
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