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-5323
File Number:
3-17157
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Release No.
AP-5319
File Number:
3-17558
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Release No.
AP-5332
File Number:
3-18151
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Release No.
AP-5328
File Number:
3-18014
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Release No.
AP-5324
File Number:
3-17856
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Release No.
AP-5320
File Number:
3-18170
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Release No.
AP-5335
File Number:
3-18078
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Release No.
AP-5289
File Number:
3-17674
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Release No.
AP-5285
File Number:
3-17228
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Release No.
AP-5281
File Number:
3-17342
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Release No.
AP-5277
File Number:
3-17716
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Release No.
AP-5290
File Number:
3-18180
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Release No.
AP-5286
File Number:
3-18038
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Release No.
AP-5282
File Number:
3-18252
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Release No.
AP-5278
File Number:
3-17398
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Release No.
AP-5291
File Number:
3-17818, 3-17819
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Release No.
AP-5287
File Number:
3-18156
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Release No.
AP-5283
File Number:
3-17990
|
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Release No.
AP-5279
File Number:
3-18271
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Release No.
AP-5288
File Number:
3-18004
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|
Release No.
AP-5284
File Number:
3-17699
|
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Release No.
AP-5280
File Number:
3-16182
|
|
Release No.
AP-5276
File Number:
3-18152
|
|
Angel Oak Capital Partners, LLC Peraza Capital and Investment, LLC Prabhu, Sreeniwas Wells, David W.
Release No.
AP-5297
File Number:
3-17849
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Release No.
AP-5293
File Number:
3-16339
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Release No.
AP-5298
File Number:
3-16293
|
|
Release No.
AP-5294
File Number:
3-18107
|
|
Release No.
AP-5299
File Number:
3-16182
|
|
Release No.
AP-5295
File Number:
3-18047
|
|
Release No.
AP-5300
File Number:
3-16318
|
|
Release No.
AP-5296
File Number:
3-17104
|
|
Release No.
AP-5292
File Number:
3-18202
|
|
Release No.
AP-5264
File Number:
3-16795
|
|
Release No.
AP-5260
File Number:
3-16965
|
|
Release No.
AP-5256
File Number:
3-18176
|
|
Release No.
AP-5261
File Number:
3-17945
|
|
Release No.
AP-5257
File Number:
3-17352
|
|
Release No.
AP-5262
File Number:
3-18104
|
|
Release No.
AP-5258
File Number:
3-18099
|
|
Release No.
AP-5263
File Number:
3-18201
|
|
Release No.
AP-5259
File Number:
3-18276
|
|
Release No.
AP-5272
File Number:
3-18105
|
|
Release No.
AP-5268
File Number:
3-18219
|
|
Release No.
AP-5273
File Number:
3-18179
|
|
Release No.
AP-5269
File Number:
3-18017
|
|
Release No.
AP-5265
File Number:
3-17253
|
|
Release No.
AP-5274
File Number:
3-18185
|
|
Release No.
AP-5270
File Number:
3-18288
|
|
Release No.
AP-5266
File Number:
3-18127
|
|
Release No.
AP-5275
File Number:
3-17848
|
|
Release No.
AP-5271
File Number:
3-18007
|
|
Release No.
AP-5267
File Number:
3-17886
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|
Release No.
AP-5251
File Number:
3-17950
|
|
Release No.
AP-5247
See Also:
Exhibit A
,
and Exhibit B
File Number:
3-15255
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Release No.
AP-5252
File Number:
3-18077
|
|
Release No.
AP-5248
File Number:
3-17874, 3-17875
|
|
Release No.
AP-5249
File Number:
3-17959
|
|
Release No.
AP-5250
File Number:
3-16463
|
|
Release No.
AP-5255
File Number:
3-17907
|
|
Release No.
AP-5253
File Number:
3-18149
|
|
Release No.
AP-5254
File Number:
3-18155
|
|
Release No.
AP-5245
File Number:
3-18126
|
|
Release No.
AP-5246
File Number:
3-18099
|
|
Release No.
AP-5243
File Number:
3-18127
|
|
Release No.
AP-5244
File Number:
3-18209
|
|
Release No.
AP-5242
File Number:
3-17902
|
|
Release No.
AP-5240
File Number:
3-18126
|
|
Release No.
AP-5241
File Number:
3-18165
|
|
Release No.
AP-5239
File Number:
3-17828
|
|
Release No.
AP-5237
File Number:
3-18288
|
|
Release No.
AP-5238
File Number:
3-18219
|
|
Release No.
AP-5234
File Number:
3-18271
|
|
Release No.
AP-5235
File Number:
3-18276
|
|
Release No.
AP-5236
File Number:
3-17621
|
|
Release No.
AP-5232
File Number:
3-18119
|
|
Release No.
AP-5233
File Number:
3-18127
|
|
Release No.
AP-5231
File Number:
3-18099
|
|
Release No.
AP-5229
File Number:
3-17950
|
|
Release No.
AP-5230
File Number:
3-17950
|
|
Release No.
AP-5227
File Number:
3-18219
|
|
Release No.
AP-5228
File Number:
3-17157
|
|
Release No.
AP-5226
File Number:
3-18152
|
|
Release No.
AP-5225
File Number:
3-17621
|
|
Release No.
AP-5223
File Number:
3-18276
|
|
Release No.
AP-5224
File Number:
3-17157
|
|
Release No.
AP-5222
File Number:
3-18209
|
|
Release No.
AP-5221
File Number:
3-18250
|
|
Release No.
AP-5220
File Number:
3-18126
|
|
Release No.
AP-5218
File Number:
3-17950
|
|
Release No.
AP-5219
File Number:
3-17950
|
|
Release No.
AP-5216
File Number:
3-18252
|
|
Release No.
AP-5217
File Number:
3-18173
|
|
Release No.
AP-5214
File Number:
3-18271
|
|
Release No.
AP-5215
File Number:
3-18209
|
|
Release No.
AP-5211
File Number:
3-17902
|
|
Release No.
AP-5213
File Number:
3-17828
|
|
Release No.
AP-5212
File Number:
3-18038
|
|
Release No.
AP-5209
File Number:
3-17508
|
|
Release No.
AP-5210
File Number:
3-17621
|
|
Release No.
AP-5206
File Number:
3-18250
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