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-5918
File Number:
3-17950
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Release No.
AP-5914
File Number:
3-17886
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Release No.
AP-5910
File Number:
3-18497
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Release No.
AP-5892
File Number:
3-18490
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Release No.
AP-5888
File Number:
3-18507
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Release No.
AP-5889
File Number:
3-18346
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Release No.
AP-5885
File Number:
3-18070
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Release No.
AP-5890
File Number:
3-18347
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Release No.
AP-5886
File Number:
3-18422
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Release No.
AP-5891
File Number:
3-18460
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Release No.
AP-5887
File Number:
3-18485
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Release No.
AP-5904
File Number:
3-18500
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Release No.
AP-5900
File Number:
3-17029
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Release No.
AP-5896
File Number:
3-18405
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Release No.
AP-5905
File Number:
3-18176
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Release No.
AP-5901
File Number:
3-18017
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Release No.
AP-5897
File Number:
3-18489
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Release No.
AP-5893
File Number:
3-18378
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Release No.
AP-5902
File Number:
3-18141
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Release No.
AP-5898
File Number:
3-18501
|
|
Anton & Chia, LLP Wahl, Gregory A., CPA Deutchman, Michael, CPA Chung, Georgia, CPA Shek, Tommy, CPA
Release No.
AP-5894
File Number:
3-18292
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Release No.
AP-5903
File Number:
3-18099
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Release No.
AP-5899
File Number:
3-15783
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Release No.
AP-5895
File Number:
3-18187
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Release No.
AP-5882
File Number:
3-18485
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Release No.
AP-5883
File Number:
3-18552
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Release No.
AP-5884
File Number:
3-18492
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Release No.
AP-5880
File Number:
3-18535
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|
Release No.
AP-5881
File Number:
3-18422
|
|
Release No.
AP-5877
File Number:
3-15255
|
|
Release No.
AP-5878
File Number:
3-17132
|
|
Release No.
AP-5879
File Number:
3-17031
|
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Release No.
AP-5875
File Number:
3-18414
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Release No.
AP-5876
File Number:
3-16353
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Release No.
AP-5873
File Number:
3-18070
|
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Release No.
AP-5874
File Number:
3-18483
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Release No.
AP-5872
File Number:
3-18141
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Release No.
AP-5868
File Number:
3-15783
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|
Release No.
AP-5864
File Number:
3-17547
|
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Release No.
AP-5869
File Number:
3-17253
|
|
Release No.
AP-5865
File Number:
3-17548
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Release No.
AP-5870
File Number:
3-17029
|
|
Release No.
AP-5866
File Number:
3-17549
|
|
Release No.
AP-5862
File Number:
3-17545
|
|
Release No.
AP-5871
File Number:
3-18017
|
|
Release No.
AP-5867
File Number:
3-16965
|
|
Release No.
AP-5863
File Number:
3-17546
|
|
Release No.
AP-5858
File Number:
3-18479
|
|
Release No.
AP-5861
File Number:
3-17595
|
|
Release No.
AP-5859
File Number:
3-18481
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Release No.
AP-5860
File Number:
3-18411
|
|
Release No.
AP-5845
File Number:
3-17716
|
|
Release No.
AP-5841
File Number:
3-18534
|
|
Release No.
AP-5837
File Number:
3-18490
|
|
Release No.
AP-5846
File Number:
3-17398
|
|
Release No.
AP-5842
File Number:
3-17950
|
|
Release No.
AP-5838
File Number:
3-18099
|
|
Release No.
AP-5834
File Number:
3-18346
|
|
Release No.
AP-5847
File Number:
3-17387
|
|
Release No.
AP-5843
File Number:
3-17886
|
|
Release No.
AP-5839
File Number:
3-18500
|
|
Release No.
AP-5835
File Number:
3-18347
|
|
Release No.
AP-5844
File Number:
3-18489
|
|
Release No.
AP-5840
File Number:
3-18404
|
|
Release No.
AP-5836
File Number:
3-18460
|
|
Release No.
AP-5857
File Number:
3-18501
|
|
Release No.
AP-5853
File Number:
3-18405
|
|
Release No.
AP-5849
File Number:
3-18508
|
|
Release No.
AP-5854
File Number:
3-18187
|
|
Release No.
AP-5850
File Number:
3-18438
|
|
Anton & Chia, LLP Wahl, Gregory A., CPA Deutchman, Michael, CPA Chung, Georgia, CPA Shek, Tommy, CPA
Release No.
AP-5855
File Number:
3-18292
|
|
Release No.
AP-5851
File Number:
3-18497
|
|
Release No.
AP-5856
File Number:
3-18378
|
|
Release No.
AP-5852
File Number:
3-18098
|
|
Release No.
AP-5848
File Number:
3-18176
|
|
Release No.
AP-5823
File Number:
3-18188
|
|
Release No.
AP-5819
File Number:
3-18545
|
|
Release No.
AP-5824
File Number:
3-18454
|
|
Release No.
AP-5820
File Number:
3-18550
|
|
Release No.
AP-5816
File Number:
3-18551
|
|
Release No.
AP-5821
File Number:
3-18461
|
|
Release No.
AP-5817
File Number:
3-18493
|
|
Release No.
AP-5822
File Number:
3-17366
|
|
Release No.
AP-5818
File Number:
3-18506
|
|
Angel Oak Capital Partners, LLC Peraza Capital and Investment, LLC Prabhu, Sreeniwas Wells, David W.
Release No.
AP-5831
File Number:
3-17849
|
|
Release No.
AP-5827
File Number:
3-18496
|
|
Release No.
AP-5832
File Number:
3-18507
|
|
Release No.
AP-5828
File Number:
3-17342
|
|
Release No.
AP-5833
File Number:
3-18530
|
|
Release No.
AP-5829
File Number:
3-17990
|
|
Release No.
AP-5825
File Number:
3-18450
|
|
Release No.
AP-5830
File Number:
3-18325
|
|
Release No.
AP-5826
File Number:
3-18480
|
|
Release No.
AP-5814
File Number:
3-18411
|
|
Release No.
AP-5815
File Number:
3-18552
|
|
Release No.
AP-5813
File Number:
3-17342
|
|
Release No.
AP-5811
File Number:
3-18507
|
|
Release No.
AP-5812
File Number:
3-18550
|
|
Release No.
AP-5809
File Number:
3-18501
|
|
Release No.
AP-5810
File Number:
3-18479
|