About
Administrative law judges (ALJs) serve as independent adjudicators who determine whether allegations against respondents in SEC enforcement proceedings are true. The judges conduct public hearings, issue subpoenas, hold conferences with parties, rule on motions, and rule on the admissibility of evidence.
ALJs prepare an initial decision that sets forth factual findings and legal conclusions while determining whether sanctions are warranted.
Dean Metry
Contact the Office
202-551-6030ALJ Orders
ALJs issue orders to schedule hearings, rule on motions, or otherwise communicate to parties involved in an administrative proceeding.
ALJ Initial Decisions
ALJs issue rulings interpreting and applying the law in contested administrative proceedings that the Commission has discretion to review.
Documents in Administrative Proceedings
The public has access to documents containing the principal pleadings, orders, and decisions in present or past SEC administrative proceedings.
Resources for Parties in Administrative Proceedings
Parties in SEC administrative proceedings can access these instructions and the eFAP system for electronic filings as well as these additional forms and resources: