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-5709
File Number:
3-18405
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Release No.
AP-5707
File Number:
3-18460
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Release No.
AP-5706
File Number:
3-18414
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Release No.
AP-5704
File Number:
3-18458
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Release No.
AP-5705
File Number:
3-18417
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Release No.
AP-5699
File Number:
3-18411
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Release No.
AP-5698
File Number:
3-18450
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Release No.
AP-5703
File Number:
3-18017
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Release No.
AP-5700
File Number:
3-17398
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Release No.
AP-5701
File Number:
3-18454
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Release No.
AP-5702
File Number:
3-18404
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Release No.
AP-5697
File Number:
3-18187
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Release No.
AP-5696
File Number:
3-17950
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Release No.
AP-5694
File Number:
3-18445
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Release No.
AP-5695
File Number:
3-18417
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Release No.
AP-5692
File Number:
3-17990
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Release No.
AP-5693
File Number:
3-18422
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Release No.
AP-5689
File Number:
3-18417
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Release No.
AP-5690
File Number:
3-18421
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Release No.
AP-5691
File Number:
3-16318
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Release No.
AP-5688
File Number:
3-17342
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Release No.
AP-5687
File Number:
3-18414
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Release No.
AP-5686
File Number:
3-18405
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Release No.
AP-5685
File Number:
3-18438
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Release No.
AP-5684
File Number:
3-17950
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Release No.
AP-5683
File Number:
3-17950
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Release No.
AP-5682
File Number:
3-18417
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Release No.
AP-5679
File Number:
3-18378
|
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Release No.
AP-5680
File Number:
3-18404
|
|
Release No.
AP-5681
File Number:
3-18325
|
|
Anton & Chia, LLP Wahl, Gregory A., CPA Deutchman, Michael, CPA Chung, Georgia, CPA Shek, Tommy, CPA
Release No.
AP-5677
File Number:
3-18292
|
|
Release No.
AP-5678
File Number:
3-18099
|
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Release No.
AP-5675
File Number:
3-17674
|
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Release No.
AP-5676
File Number:
3-18127
|
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Release No.
AP-5673
File Number:
3-18422
|
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Release No.
AP-5674
File Number:
3-17950
|
|
Release No.
AP-5671
File Number:
3-17950
|
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Release No.
AP-5672
File Number:
3-18421
|
|
Release No.
AP-5669
File Number:
3-18405
|
|
Angel Oak Capital Partners, LLC Peraza Capital and Investment, LLC Prabhu, Sreeniwas Wells, David W.
Release No.
AP-5670
File Number:
3-17849
|
|
Release No.
AP-5667
File Number:
3-18405
|
|
Release No.
AP-5668
File Number:
3-18411
|
|
Release No.
AP-5666
File Number:
3-18404
|
|
Release No.
AP-5665
File Number:
3-15514
|
|
Release No.
AP-5664
File Number:
3-18417
|
|
Release No.
AP-5662
File Number:
3-18127
|
|
Release No.
AP-5663
File Number:
3-18414
|
|
Release No.
AP-5661
File Number:
3-17950
|
|
Release No.
AP-5659
File Number:
3-18336
|
|
Release No.
AP-5660
File Number:
3-18411
|
|
Release No.
AP-5658
File Number:
3-17645
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Release No.
AP-5657
File Number:
3-17716
|
|
Release No.
AP-5656
File Number:
3-18405
|
|
Release No.
AP-5654
File Number:
3-18127
|
|
Angel Oak Capital Partners, LLC Peraza Capital and Investment, LLC Prabhu, Sreeniwas Wells, David W.
Release No.
AP-5655
File Number:
3-17849
|
|
Release No.
AP-5653
File Number:
3-18405
|
|
Release No.
AP-5650
File Number:
3-17828
|
|
Release No.
AP-5651
File Number:
3-18378
|
|
Release No.
AP-5652
File Number:
3-18404
|
|
Release No.
AP-5649
File Number:
3-17387
|
|
Release No.
AP-5647
File Number:
3-15255
|
|
Release No.
AP-5648
File Number:
3-17184
|
|
Release No.
AP-5645
File Number:
3-18378
|
|
Release No.
AP-5646
File Number:
3-16509
|
|
Release No.
AP-5644
File Number:
3-18361
|
|
Release No.
AP-5642
File Number:
3-17387
|
|
Release No.
AP-5643
File Number:
3-17316
|
|
Release No.
AP-5641
File Number:
3-16318
|
|
Release No.
AP-5639
File Number:
3-17645
|
|
Release No.
AP-5640
File Number:
3-18353
|
|
Release No.
AP-5638
File Number:
3-17387
|
|
Release No.
AP-5637
File Number:
3-17950
|
|
Release No.
AP-5635
File Number:
3-18127
|
|
Angel Oak Capital Partners, LLC Peraza Capital and Investment, LLC Prabhu, Sreeniwas Wells, David W.
Release No.
AP-5636
File Number:
3-17849
|
|
Release No.
AP-5633
File Number:
3-16509
|
|
Anton & Chia, LLP Wahl, Gregory A., CPA Deutchman, Michael, CPA Chung, Georgia, CPA Shek, Tommy, CPA
Release No.
AP-5634
File Number:
3-18292
|
|
Release No.
AP-5631
File Number:
3-18175, 3-18236
|
|
Release No.
AP-5632
File Number:
3-18271
|
|
Release No.
AP-5628
File Number:
3-17316
|
|
Release No.
AP-5629
File Number:
3-17387
|
|
Release No.
AP-5630
File Number:
3-16353
|
|
Anton & Chia, LLP Wahl, Gregory A., CPA Deutchman, Michael, CPA Chung, Georgia, CPA Shek, Tommy, CPA
Release No.
AP-5626
File Number:
3-18292
|
|
Release No.
AP-5627
File Number:
3-18378
|
|
Release No.
AP-5625
File Number:
3-17342
|
|
Release No.
AP-5624
File Number:
3-18333
|
|
Release No.
AP-5622
File Number:
3-18360
|
|
Release No.
AP-5623
File Number:
3-18361
|
|
Release No.
AP-5621
File Number:
3-18353
|
|
Release No.
AP-5619
File Number:
3-16509
|
|
Release No.
AP-5620
File Number:
3-17674
|
|
Release No.
AP-5611
File Number:
3-18353
|
|
Release No.
AP-5612
File Number:
3-17316
|
|
Release No.
AP-5613
File Number:
3-18152
|
|
Release No.
AP-5614
File Number:
3-17316
|
|
Release No.
AP-5615
File Number:
3-16293
|
|
Release No.
AP-5616
File Number:
3-17990
|
|
Release No.
AP-5617
File Number:
3-16318
|
|
Release No.
AP-5618
File Number:
3-17342
|
|
Release No.
AP-5609
File Number:
3-15514
|
|
Release No.
AP-5605
File Number:
3-18207
|