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-5608
File Number:
3-18175, 3-18236
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Release No.
AP-5604
File Number:
3-18078
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Release No.
AP-5609
File Number:
3-15514
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Release No.
AP-5605
File Number:
3-18207
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Release No.
AP-5601
File Number:
3-17387
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Release No.
AP-5610
File Number:
3-18175, 3-18236
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Release No.
AP-5606
File Number:
3-17674
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Release No.
AP-5602
File Number:
3-17828
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Release No.
AP-5588
File Number:
3-17558
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Release No.
AP-5589
File Number:
3-18170
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Release No.
AP-5600
File Number:
3-17595
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Release No.
AP-5596
File Number:
3-18127
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Release No.
AP-5592
File Number:
3-18252
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Angel Oak Capital Partners, LLC Peraza Capital and Investment, LLC Prabhu, Sreeniwas Wells, David W.
Release No.
AP-5597
File Number:
3-17849
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Release No.
AP-5593
File Number:
3-17253
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Release No.
AP-5598
File Number:
3-17716
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Release No.
AP-5594
File Number:
3-17990
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Release No.
AP-5590
File Number:
3-18221
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Release No.
AP-5599
File Number:
3-17950
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Release No.
AP-5595
File Number:
3-17674
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Release No.
AP-5591
File Number:
3-17104
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Release No.
AP-5586
File Number:
3-18151
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Release No.
AP-5587
File Number:
3-17674
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Release No.
AP-5583
File Number:
3-18191
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Release No.
AP-5584
File Number:
3-17699
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Release No.
AP-5585
File Number:
3-18096
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Release No.
AP-5580
File Number:
3-18229
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Release No.
AP-5582
File Number:
3-18106
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Release No.
AP-5581
File Number:
3-18098
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Release No.
AP-5579
File Number:
3-18327
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Release No.
AP-5578
File Number:
3-18361
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Release No.
AP-5575
File Number:
3-18339
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Release No.
AP-5576
File Number:
3-18360
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Release No.
AP-5577
File Number:
3-18070
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Release No.
AP-5574
File Number:
3-18326
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Release No.
AP-5570
File Number:
3-17883
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Release No.
AP-5571
File Number:
3-18333
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Release No.
AP-5572
File Number:
3-17387
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Release No.
AP-5573
File Number:
3-18346
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Release No.
AP-5569
File Number:
3-18271
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Release No.
AP-5568
File Number:
3-18336
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Release No.
AP-5564
File Number:
3-16795
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Release No.
AP-5565
File Number:
3-18204
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Release No.
AP-5566
File Number:
3-18353
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Release No.
AP-5567
File Number:
3-17959
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Release No.
AP-5561
File Number:
3-17883
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Release No.
AP-5562
File Number:
3-18105
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Release No.
AP-5563
File Number:
3-18127
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Release No.
AP-5560
File Number:
3-18189
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Release No.
AP-5556
File Number:
3-18185
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Release No.
AP-5557
File Number:
3-18179
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Release No.
AP-5558
File Number:
3-18346
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Release No.
AP-5559
File Number:
3-18325
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Release No.
AP-5555
File Number:
3-18339
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Release No.
AP-5552
File Number:
3-18177
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Release No.
AP-5553
File Number:
3-18037
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Release No.
AP-5554
File Number:
3-18157
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Release No.
AP-5548
File Number:
3-17874, 3-17875
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Release No.
AP-5549
File Number:
3-17645
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Release No.
AP-5545
File Number:
3-18017
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Release No.
AP-5546
File Number:
3-18346
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Release No.
AP-5547
File Number:
3-18146
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Release No.
AP-5550
File Number:
3-18202
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Release No.
AP-5551
File Number:
3-18141
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Release No.
AP-5542
File Number:
3-18210
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Release No.
AP-5538
File Number:
3-16339
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Release No.
AP-5534
File Number:
3-15974
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Release No.
AP-5543
File Number:
3-17990
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Release No.
AP-5539
File Number:
3-16182
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Release No.
AP-5535
File Number:
3-18099
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Release No.
AP-5544
File Number:
3-17228
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Release No.
AP-5540
File Number:
3-18252
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Release No.
AP-5536
File Number:
3-18091
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Release No.
AP-5541
File Number:
3-18199
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Release No.
AP-5537
File Number:
3-17828
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Release No.
AP-5527
File Number:
3-17935
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Release No.
AP-5528
File Number:
3-18190
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Release No.
AP-5529
File Number:
3-18180
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Release No.
AP-5530
File Number:
3-17352
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Release No.
AP-5526
File Number:
3-17950
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Release No.
AP-5531
File Number:
3-18082
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Release No.
AP-5532
File Number:
3-17674
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Release No.
AP-5533
File Number:
3-17387
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Release No.
AP-5524
File Number:
3-18155
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Release No.
AP-5520
File Number:
3-18156
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Release No.
AP-5525
File Number:
3-18152
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Anton & Chia, LLP Wahl, Gregory A., CPA Deutchman, Michael, CPA Chung, Georgia, CPA Shek, Tommy, CPA
Release No.
AP-5521
File Number:
3-18292
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Release No.
AP-5522
File Number:
3-18038
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Release No.
AP-5523
File Number:
3-18271
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Release No.
AP-5518
File Number:
3-17984, 3-17989
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Release No.
AP-5515
File Number:
3-18174
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Release No.
AP-5511
File Number:
3-18346
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Release No.
AP-5516
File Number:
3-18107
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Release No.
AP-5512
File Number:
3-17888
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Release No.
AP-5517
File Number:
3-18219
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Release No.
AP-5513
File Number:
3-17621
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Release No.
AP-5509
File Number:
3-18333
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Release No.
AP-5514
File Number:
3-18149
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Release No.
AP-5510
File Number:
3-18347
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Release No.
AP-5519
File Number:
3-18326
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