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-6103
File Number:
3-18176
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Release No.
AP-6112
File Number:
3-18405
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Release No.
AP-6113
File Number:
3-18210
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Release No.
AP-6109
File Number:
3-18187
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Release No.
AP-6114
File Number:
3-18219
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Release No.
AP-6110
File Number:
3-17991
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Release No.
AP-6115
File Number:
3-18481
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Release No.
AP-6111
File Number:
3-18378
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Release No.
AP-6091
File Number:
3-18229
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Release No.
AP-6087
File Number:
3-18500
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Release No.
AP-6083
File Number:
3-18201
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Release No.
AP-6092
File Number:
3-16353
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Release No.
AP-6088
File Number:
3-17650
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Release No.
AP-6084
File Number:
3-18490
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Release No.
AP-6093
File Number:
3-15255
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Release No.
AP-6089
File Number:
3-18038
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Release No.
AP-6085
File Number:
3-18484
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Release No.
AP-6090
File Number:
3-18130
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Release No.
AP-6086
File Number:
3-15168
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Release No.
AP-6099
File Number:
3-17115
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Release No.
AP-6095
File Number:
3-18489
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Release No.
AP-6100
File Number:
3-18156
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Release No.
AP-6096
File Number:
3-17751
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Release No.
AP-6097
File Number:
3-18534
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Release No.
AP-6098
File Number:
3-18104
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Release No.
AP-6094
File Number:
3-18501
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Release No.
AP-6081
File Number:
3-18480
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Release No.
AP-6077
File Number:
3-18155
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Release No.
AP-6082
File Number:
3-17990
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Release No.
AP-6078
File Number:
3-17366
|
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Release No.
AP-6079
File Number:
3-18170, 3-15446
|
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Release No.
AP-6075
File Number:
3-18151
|
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Release No.
AP-6080
File Number:
3-15446
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Release No.
AP-6076
File Number:
3-18004
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Release No.
AP-6070
File Number:
3-18126
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Release No.
AP-6071
File Number:
3-17595
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Release No.
AP-6068
File Number:
3-18497
|
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Release No.
AP-6069
File Number:
3-18535
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Release No.
AP-6074
File Number:
3-18190
|
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Release No.
AP-6072
File Number:
3-18191
|
|
Release No.
AP-6073
File Number:
3-18199
|
|
Release No.
AP-6061
File Number:
3-17184
|
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Release No.
AP-6057
File Number:
3-18207
|
|
Release No.
AP-6053
File Number:
3-17029
|
|
Release No.
AP-6062
File Number:
3-17253, 3-17342
|
|
Release No.
AP-6058
File Number:
3-18492
|
|
Release No.
AP-6054
File Number:
3-18157
|
|
Angel Oak Capital Partners, LLC Peraza Capital and Investment, LLC Prabhu, Sreeniwas Wells, David W.
Release No.
AP-6050
File Number:
3-17849
|
|
Release No.
AP-6063
File Number:
3-18149
|
|
Release No.
AP-6059
File Number:
3-18496
|
|
Release No.
AP-6055
File Number:
3-18179
|
|
Release No.
AP-6051
File Number:
3-18141
|
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Release No.
AP-6064
File Number:
3-16339
|
|
Release No.
AP-6060
File Number:
3-18023
|
|
Release No.
AP-6056
File Number:
3-18204
|
|
Release No.
AP-6052
File Number:
3-17935
|
|
Release No.
AP-6065
File Number:
3-15783
|
|
Release No.
AP-6066
File Number:
3-17716
|
|
Release No.
AP-6067
File Number:
3-17716
|
|
Release No.
AP-6046
File Number:
3-17352
|
|
Release No.
AP-6042
File Number:
3-18097
|
|
Release No.
AP-6038
File Number:
3-17907
|
|
Release No.
AP-6034
File Number:
3-17645
|
|
Release No.
AP-6043
File Number:
3-18047
|
|
Release No.
AP-6039
File Number:
3-18077
|
|
Release No.
AP-6035
File Number:
3-18081
|
|
Release No.
AP-6044
File Number:
3-18014
|
|
Release No.
AP-6040
File Number:
3-18099
|
|
Release No.
AP-6036
File Number:
3-17818, 3-17819
|
|
Release No.
AP-6045
File Number:
3-17743
|
|
Release No.
AP-6041
File Number:
3-18223
|
|
Release No.
AP-6037
File Number:
3-18095
|
|
Release No.
AP-6033
File Number:
3-18252
|
|
Release No.
AP-6047
File Number:
3-17828
|
|
Release No.
AP-6048
File Number:
3-17999
|
|
Release No.
AP-6049
File Number:
3-18107
|
|
Release No.
AP-6029
File Number:
3-18203
|
|
Release No.
AP-6025
File Number:
3-17856
|
|
Release No.
AP-6030
File Number:
3-18217
|
|
Release No.
AP-6026
File Number:
3-17848
|
|
Release No.
AP-6031
File Number:
3-16182
|
|
Release No.
AP-6027
File Number:
3-18422
|
|
Release No.
AP-6032
File Number:
3-17886
|
|
Release No.
AP-6028
File Number:
3-18106
|
|
Release No.
AP-5993
File Number:
3-16604
|
|
Release No.
AP-5989
File Number:
3-16339
|
|
Release No.
AP-5994
File Number:
3-18017
|
|
Release No.
AP-5990
File Number:
3-18545
|
|
Release No.
AP-5995
File Number:
3-17984, 3-17985, 3-17986, 3-17987, 3-17988, 3-17989
|
|
Release No.
AP-5991
File Number:
3-18288
|
|
Release No.
AP-5992
File Number:
3-17621
|
|
Release No.
AP-6013
File Number:
3-17828
|
|
Release No.
AP-6009
File Number:
3-18450
|
|
Release No.
AP-6005
File Number:
3-18103
|
|
Release No.
AP-6001
File Number:
3-18129
|
|
Release No.
AP-5997
File Number:
3-18189
|
|
Release No.
AP-6010
File Number:
3-18550
|
|
Release No.
AP-6006
File Number:
3-18148
|
|
Release No.
AP-6002
File Number:
3-17693
|
|
Release No.
AP-5998
File Number:
3-18037
|