Administrative Proceedings
The list below provides links to opinions and orders concerning both litigated and settled administrative proceedings instituted by the Commission.
The links below direct you to the docket pages for adjudicatory proceedings – meaning administrative proceedings adjudicated by the Commission including by its consideration of initial decisions of ALJ and appeals from SRO or PCAOB action – as well as to docket pages for respondents’ requests to vacate bars under Koch v. SEC or Bartko v. SEC. The docket pages contain the Commission opinions and orders as well as significant pleadings for such matters.
| Date Sort ascending | Respondents |
|---|---|
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Release No.
34-38176
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Release No.
34-38171
File Number:
3-9220
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Release No.
33-7381
File Number:
3-9221
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Release No.
34-38174
File Number:
3-9223
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Release No.
34-38173
File Number:
3-9222
|
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Release No.
33-7379
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Release No.
C-22461
File Number:
3-9219
|
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Release No.
34-38150
File Number:
3-9217
|
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Release No.
33-7378
File Number:
3-9110
|
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Release No.
34-38136
File Number:
3-9178
|
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Release No.
34-38137
File Number:
3-9112
|
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Release No.
34-38135
File Number:
3-9216
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Release No.
34-38121
File Number:
3-9213
|
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Release No.
34-38122
File Number:
3-9214
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