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.
34-95818, IA-6134
File Number:
3-21102
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Release No.
34-95830
File Number:
3-21108
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Release No.
34-95821
File Number:
3-21104
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Release No.
34-95801
File Number:
3-20855
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Release No.
34-95815
File Number:
3-21100
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Release No.
IA-6130
File Number:
3-21097
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Release No.
34-95803
File Number:
3-21095
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Release No.
IA-6131
File Number:
3-21098
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Release No.
34-95804
File Number:
3-21096
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Release No.
IA-6133
File Number:
3-21099
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Release No.
34-95805
File Number:
3-20932
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Release No.
34-95784
File Number:
3-21084
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Release No.
34-95777
File Number:
3-21076
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Release No.
34-95778
File Number:
3-21077
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Release No.
34-95779, IA-6125
File Number:
3-21078
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Release No.
34-95794
File Number:
3-21092
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Release No.
IA-6129
See Also:
Administrative Summary
File Number:
3-21082
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Release No.
34-95788
File Number:
3-21087
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Release No.
34-95796
File Number:
3-21090
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Release No.
34-95790
File Number:
3-21088
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Release No.
IA-6126
See Also:
Administrative Summary
File Number:
3-21079
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Release No.
34-95785
File Number:
3-21083
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Release No.
34-95797
File Number:
3-21093
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Release No.
34-95792
File Number:
3-21091
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Release No.
IA-6127
See Also:
Administrative Summary
File Number:
3-21080
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Release No.
34-95786
File Number:
3-21085
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Release No.
34-95800
See Also:
Administrative Summary
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Release No.
34-95793
File Number:
3-21089
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Release No.
IA-6128
See Also:
Administrative Summary
File Number:
3-21081
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Release No.
34-95787
File Number:
3-21086
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Release No.
34-95767, AAER-4334
File Number:
3-17746
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Release No.
34-95764
File Number:
3-21075
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Release No.
34-95765
File Number:
3-20968
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Release No.
34-95766
File Number:
3-20060
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Release No.
34-95747, IA-6124
File Number:
3-21069
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Release No.
34-95749
File Number:
3-21070
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Release No.
34-95750
File Number:
3-21071
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Release No.
34-95751
File Number:
3-21072
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Release No.
IA-6122
File Number:
3-21064
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Release No.
IA-6120
File Number:
3-21062
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Release No.
33-11099, 34-95744, AAER-4333
File Number:
3-21065
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Release No.
34-95732
File Number:
3-20537
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Release No.
IA-6121
See Also:
Administrative Summary
File Number:
3-21063
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Release No.
34-95733
File Number:
3-19704
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Release No.
IA-6123
File Number:
3-21067
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Release No.
34-95745
File Number:
3-21066
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Release No.
34-95746
File Number:
3-21068
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Release No.
IA-6113
File Number:
3-21050
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Release No.
IA-6114
File Number:
3-21051
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Release No.
IA-6115
File Number:
3-21052
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Release No.
IA-6111
File Number:
3-21048
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Release No.
IA-6112
File Number:
3-21049
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Release No.
34-95720
File Number:
3-21058
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Release No.
IA-6117
File Number:
3-21054
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Release No.
34-95726
See Also:
Administrative Summary
File Number:
3-21059
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Release No.
IA-6118
File Number:
3-21055
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Release No.
34-95727
File Number:
3-21060
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Release No.
IA-6119
File Number:
3-21056
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Release No.
34-95728
File Number:
3-21061
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Release No.
34-95719
File Number:
3-21057
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Release No.
IA-6116
File Number:
3-21053
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Release No.
34-95705
File Number:
3-21044
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Release No.
34-95703, IA-6108
File Number:
3-21043
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Release No.
34-95706
File Number:
3-21046
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Release No.
IA-6107, AAER-4332
See Also:
Administrative Summary
File Number:
3-21042
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Release No.
IA-6109
File Number:
3-21045
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Release No.
IA-6110
See Also:
Administrative Summary
File Number:
3-21047
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Release No.
34-95702
File Number:
3-20523
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Release No.
34-95681
File Number:
3-21036
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Release No.
34-95686
File Number:
3-21037
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Release No.
34-95689
File Number:
3-21038
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Release No.
34-95680
File Number:
3-21035
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Release No.
34-95692
File Number:
3-21040
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Release No.
34-95693
File Number:
3-21041
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Release No.
34-95701
File Number:
3-20989
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Release No.
34-95690
File Number:
3-21039
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Release No.
34-95673, IA-6106
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Release No.
34-95677
File Number:
3-21033
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Release No.
34-95678
File Number:
3-21034
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Release No.
IA-6103
See Also:
Administrative Summary
File Number:
3-21026
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Release No.
33-11097
File Number:
3-21032
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Release No.
IA-6104
File Number:
3-21029
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Release No.
34-95665
File Number:
3-21023
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Release No.
34-95671, IA-6105
File Number:
3-21030
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Release No.
34-95666
File Number:
3-21025
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Release No.
34-95667
File Number:
3-21027
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Release No.
34-95668
File Number:
3-21028
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Release No.
34-95663, AAER-4330
See Also:
Administrative Summary
File Number:
3-21022
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Release No.
34-95653
File Number:
3-20393
|
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Release No.
34-95648
File Number:
3-21020
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Release No.
34-95640
File Number:
3-21019
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Release No.
34-95649
File Number:
3-21021
|
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Release No.
34-95641
File Number:
3-19494
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Release No.
34-95642
File Number:
3-16729
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Release No.
34-95643
File Number:
3-12540
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Release No.
34-95626
File Number:
3-21015
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Release No.
34-95627
File Number:
3-21016
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Release No.
34-95628
File Number:
3-21017
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Release No.
34-95630, IA-6099
File Number:
3-21018
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Release No.
34-95625
File Number:
3-21014
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