ALJ Initial Decisions: Administrative Law Judges
Administrative Law Judges issued the following Initial Decisions pursuant to 5 U.S.C § 557 and 17 C.F.R. § 201.360(a).
ALJ Initial Decisions: Administrative Law Judges Table
Respondents
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Date: |
Respondents:
Release No.
1313
See Also:
Order Instituting Proceedings, Release No. 34-81685
,
Finality Order, Release No. 34-85580
File Number:
3-18199
|
Date: |
Respondents:
Release No.
1314
See Also:
Order Instituting Proceedings, Release No. 34-81663
,
Finality Order, Release No. 34-85595
File Number:
3-18191
|
Date: |
Respondents:
Release No.
1315
See Also:
Order Instituting Proceedings, Release No. 34-81298
,
Finality Order, Release No. 34-85594
File Number:
3-18096
|
Date: |
Respondents:
Release No.
1316
See Also:
Order Instituting Proceedings, Release No. 34-81217
,
Finality Order, Release No. 34-85598
File Number:
3-18078
|
Date: |
Respondents:
Release No.
1308
See Also:
Order Instituting Proceedings, Release No. 34-83470
,
Finality Order, Release No. 34-85548
File Number:
3-18550
|
Date: |
Respondents:
Release No.
1309
See Also:
Order Instituting Proceedings, Release No. 34-80892
,
Finality Order, Release No. 34-85550
File Number:
3-18017
|
Date: |
Respondents:
Release No.
1310
See Also:
Order Instituting Proceedings, Release No. 34-80943
,
Finality Order, Release No. 34-85549
File Number:
3-18023
|
Date: |
Respondents:
Release No.
1311
See Also:
Order Instituting Proceedings, Release No. 34-83487
,
Finality Order, Release No. 34-85562
File Number:
3-18551
|
Date: |
Respondents:
Release No.
1305
See Also:
Order Instituting Proceedings, Release No. 34-81577
,
Finality Order, Release No. 34-85416
File Number:
3-18170
|
Date: |
Respondents:
Release No.
1306
See Also:
Order Instituting Proceedings, Release No. 34-81216
,
Finality Order, Release No. 34-85421
File Number:
3-18077
|
Date: |
Respondents:
Release No.
1307
See Also:
Order Instituting Proceedings, Release No. 34-83245
,
Finality Order, Release No. 34-85427
File Number:
3-18484
|
Date: |
Respondents:
Release No.
1304
See Also:
Order Instituting Proceedings, Release No. 34-81525
,
Finality Order, Release No. 34-85428
File Number:
3-18149
|
Date: |
Respondents:
Release No.
1303
See Also:
Order Instituting Proceedings, Release No. 34-81666
,
Finality Order, Release No. 34-85410
File Number:
3-18193
|
Date: |
Respondents:
Release No.
1302
See Also:
Order Instituting Proceedings, Release No. 34-83488
,
Finality Order, Release No. 34-85409
File Number:
3-18552
|
Date: |
Respondents:
Release No.
1301
See Also:
Order Instituting Proceedings, Release No. 34-83314
,
Corrected Finality Order, Release No. 34-85405
File Number:
3-18501
|
Date: |
Respondents:
Release No.
1300
See Also:
Order Instituting Proceedings, Release No. 34-81331
,
Finality Order, Release No. 34-85404
File Number:
3-18103
|
Date: |
Respondents:
Release No.
1291
See Also:
Order Instituting Proceedings, Release No. 34-81335
,
Finality Order, Release No. 34-85358
File Number:
3-18105
|
Date: |
Respondents:
Release No.
1292
See Also:
Order Instituting Proceedings, Release No. 34-81704
,
Finality Order, Release No. 34-85359
File Number:
3-18206
|
Date: |
Respondents:
Release No.
1293
See Also:
Order Instituting Proceedings, Release No. 34-83329
,
Finality Order, Release No. 34-85360
File Number:
3-18507
|
Date: |
Respondents:
Release No.
1294
See Also:
Order Instituting Proceedings, Release No. 34-81283
,
Finality Order, Release No. 34-85361
File Number:
3-18092
|
Date: |
Respondents:
Release No.
1295
See Also:
Order Instituting Proceedings, Release No. 34-79656
,
Finality Order, Release No. 34-85378
File Number:
3-17743
|
Date: |
Respondents:
Release No.
1296
See Also:
Order Instituting Proceedings, Release No. 34-80984
,
Finality Order, Release No. 34-85377
File Number:
3-18038
|
Date: |
Respondents:
Release No.
1297
See Also:
Order Instituting Proceedings, Release No. 34-83189
,
Finality Order, Release No. 34-85380
File Number:
3-18475
|
Date: |
Respondents:
Release No.
1298
File Number:
3-17751
|
Date: |
Respondents:
Release No.
1299
See Also:
Order Instituting Proceedings, Release No. 34-81609
,
Finality Order, Release No. 34-85369
File Number:
3-18177
|
Date: |
Respondents:
Release No.
1286
See Also:
Order Instituting Proceedings, Release No. 34-81281
,
Finality Order, Release No. 34-85289
File Number:
3-18091
|
Date: |
Respondents:
Release No.
1287
See Also:
Order Instituting Proceedings, Release No. 34-81731
,
Finality Order, Release No. 34-85286
File Number:
3-18221
|
Date: |
Respondents:
Release No.
1288
See Also:
Order Instituting Proceedings, Release No. 34-81535
,
Finality Order, Release No. 34-85285
File Number:
3-18156
|
Date: |
Respondents:
Release No.
1289
See Also:
Order Instituting Proceedings, Release No. 34-83262
,
Finality Order, Release No. 34-85337
File Number:
3-18489
|
Date: |
Respondents:
Release No.
1290
See Also:
Order Instituting Proceedings, Release No. 34-81728
,
Finality Order, Release No. 34-85338
File Number:
3-18220
|
Date: |
Respondents:
Release No.
1281
See Also:
Order Instituting Proceedings, Release No. 34-81333
,
Finality Order, Release No. 34-85280
File Number:
3-18104
|
Date: |
Respondents:
Release No.
1282
See Also:
Order Instituting Proceedings, Release No. 34-83184
,
Finality Order, Release No. 34-85275
File Number:
3-18472
|
Date: |
Respondents:
Release No.
1283
See Also:
Order Instituting Proceedings, Release No. 34-81707
,
Finality Order, Release No. 34-85279
File Number:
3-18208
|
Date: |
Respondents:
Release No.
1284
File Number:
3-18004
|
Date: |
Respondents:
Release No.
1285
See Also:
Order Instituting Proceedings, Release No. 34-83249
,
Finality Order, Release No. 34-85276
File Number:
3-18485
|
Date: |
Respondents:
Release No.
1279
See Also:
Order Instituting Proceedings, Release No. 34-80984
,
Finality Order, Release No. 34-85242
File Number:
3-18038
|
Date: |
Respondents:
Release No.
1280
See Also:
Order Instituting Proceedings, Release No. 34-81688
,
Finality Order, Release No. 34-85241
File Number:
3-18201
|
Date: |
Respondents:
Release No.
1277
See Also:
Order Instituting Proceedings, Release No. 34-81551
,
Finality Order, Release No. 34-85239
File Number:
3-18162
|
Date: |
Respondents:
Release No.
1278
See Also:
Order Instituting Proceedings, Release No. 34-81522
,
Finality Order, Release No. 34-85240
File Number:
3-18146
|
Date: |
Respondents:
Release No.
1274
See Also:
Order Instituting Proceedings, Release No. 34-83327
,
Finality Order, Release No. 34-85215
File Number:
3-18506
|
Date: |
Respondents:
Release No.
1275
See Also:
Order Instituting Proceedings, Release No. 34-83285
,
Finality Order, Release No. 34-85217
File Number:
3-18493
|
Date: |
Respondents:
Release No.
1276
See Also:
Order Instituting Proceedings, Release No. 34-83087
,
Finality Order, Release No. 34-85204
File Number:
3-18445
|
Date: |
Respondents:
Release No.
1270
See Also:
Order Instituting Proceedings, Release No. 34-83299
,
Finality Order, Release No. 34-91616
File Number:
3-18497
|
Date: |
Respondents:
Release No.
1271
See Also:
Order Instituting Proceedings, Release No. 34-82762
,
Finality Order, Release No. 34-85076
File Number:
3-18378
|
Date: |
Respondents:
Release No.
1272
File Number:
3-17991
|
Date: |
Respondents:
Release No.
1273
See Also:
Order Instituting Proceedings, Release No. 34-81587
,
Finality Order, Release No. 34-85075
File Number:
3-18173
|
Date: |
Respondents:
Release No.
1267
See Also:
Order Instituting Proceedings, Release No. 34-81219
,
Finality Order, Release No. 34-84908
File Number:
3-18079
|
Date: |
Respondents:
Release No.
1268
See Also:
Order Instituting Proceedings, Release No. 34-81492
,
Finality Order, Release No. 34-84907
File Number:
3-18142
|
Date: |
Respondents:
Release No.
1269
See Also:
Order Instituting Proceedings, Release No. 34-81575
,
Finality Order, Release No. 34-84909
File Number:
3-18169
|
Date: |
Respondents:
Release No.
1262
File Number:
3-17999
|
Date: |
Respondents:
Release No.
1263
See Also:
Order Instituting Proceedings, Release No. 34-81235
,
Finality Order, Release No. 34-84801
File Number:
3-18081
|
Date: |
Respondents:
Release No.
1264
See Also:
Order Instituting Proceedings, Release No. 34-81735
,
Finality Order, Release No. 34-84802
File Number:
3-18223
|
Date: |
Respondents:
Release No.
1265
File Number:
3-18014
|
Date: |
Respondents:
Release No.
1266
See Also:
Order Instituting Proceedings, Release No. 34-81295
,
Finality Order, Release No. 34-84803
File Number:
3-18095
|
Date: |
Respondents:
Release No.
1260
See Also:
Order Instituting Proceedings, Release No. 33-10111
,
Finality Order, Release No. 34-84793
,
Appedix A
File Number:
3-17342
|
Date: |
Respondents:
Release No.
1261
File Number:
3-17253
|
Date: |
Respondents:
Release No.
1259
File Number:
3-17387
|
Date: |
Respondents:
Release No.
1258
File Number:
3-18288
|
Date: |
Respondents:
Release No.
1255
File Number:
3-18484
|
Date: |
Respondents:
Release No.
1256
File Number:
3-18271
|
Date: |
Respondents:
Release No.
1257
File Number:
3-18475
|
Date: |
Respondents:
Release No.
1254
File Number:
3-18472
|
Date: |
Respondents:
Release No.
1253
File Number:
3-18250
|
Date: |
Respondents:
Release No.
1252
File Number:
3-18445
|
Date: |
Respondents:
Release No.
1251
File Number:
3-17645
|
Date: |
Respondents:
Release No.
1250
File Number:
3-18061
|
Date: |
Respondents:
Release No.
1249
File Number:
3-17828
|
Date: |
Respondents:
Release No.
1248
File Number:
3-18126
|
Date: |
Respondents:
Release No.
1247
File Number:
3-18378
|
Date: |
Respondents:
Release No.
1246
File Number:
3-18276
|
Date: |
Respondents:
Release No.
1245
See Also:
Order Instituting Proceedings, Release No. 34-82610
,
Finality Order, Release No. 34-83472
File Number:
3-18353
|
Date: |
Respondents:
Release No.
1244
See Also:
Order Instituting Proceedings, Release No. 34-82639
,
Finality Order, Release No. 34-83473
File Number:
3-18360
|
Date: |
Respondents:
Release No.
1242
File Number:
3-18209
|
Date: |
Respondents:
Release No.
1243
File Number:
3-18252
|
Date: |
Respondents:
Release No.
1241
See Also:
Order Instituting Proceedings, Release No. 34-82527
,
Finality Order, Release No. 34-83374
File Number:
3-18339
|
Date: |
Respondents:
Release No.
1240
See Also:
Order Instituting Proceedings, Release No. 34-82463
,
Finality Order, Release No. 34-83375
File Number:
3-18333
|
Date: |
Respondents:
Release No.
1239
See Also:
Order Instituting Proceedings, Release No. 34-80402
,
Finality Order, Release No. 34-83277
File Number:
3-17907
|
Date: |
Respondents:
Release No.
1238
See Also:
Order Instituting Proceedings, Release No. 34-81743
,
Finality Order, Release No. 34-83284
File Number:
3-18229
|
Date: |
Respondents:
Release No.
1237
See Also:
Order Instituting Proceedings, Release No. 34-82419
,
Finality Order, Release No. 34-83261
File Number:
3-18327
|
Date: |
Respondents:
Release No.
1236
See Also:
Order Instituting Proceedings, Release No. 34-82412
,
Finality Order, Release No. 34-83283
File Number:
3-18326
|
Date: |
Respondents:
Release No.
1234
See Also:
Order Instituting Proceedings, Release No. 34-82507
,
Finality Order, Release No. 34-83287
File Number:
3-18336
|
Date: |
Respondents:
Release No.
1235
See Also:
Order Instituting Proceedings, Release No. 34-81529
,
Finality Order, Release No. 34-83260
File Number:
3-18152
|
Date: |
Respondents:
Release No.
1233
See Also:
Order Instituting Proceedings, Release No. 34-80568
,
Finality Order, Release No. 34-83259
File Number:
3-17959
|
Date: |
Respondents:
Release No.
1232
See Also:
Order Instituting Proceedings, Release No. 34-82419
,
Finality Order, Release No. 34-83266
File Number:
3-18327
|
Date: |
Respondents:
Release No.
1231
See Also:
Order Instituting Proceedings, Release No. 34-79067
,
Finality Order, Release No. 34-83258
File Number:
3-17621
|
Date: |
Respondents:
Release No.
1230
See Also:
Order Instituting Proceedings, Release No. 34-80532
,
Finality Order, Release No. 34-83288
File Number:
3-17945
|
Date: |
Respondents:
Release No.
1229
File Number:
3-18107
|
Date: |
Respondents:
Release No.
1227
File Number:
3-17699
|
Date: |
Respondents:
Release No.
1228
File Number:
3-18219
|
Date: |
Respondents:
Release No.
1226
File Number:
3-17990
|
Date: |
Respondents:
Release No.
1225
File Number:
3-18193
|
Date: |
Respondents:
Release No.
1223
File Number:
3-18153
|
Date: |
Respondents:
Release No.
1224
File Number:
3-18223
|
Date: |
Respondents:
Release No.
1222
File Number:
3-18173
|
Date: |
Respondents:
Release No.
1217
File Number:
3-18207
|
Date: |
Respondents:
Release No.
1218
File Number:
3-18221
|
Date: |
Respondents:
Release No.
1219
File Number:
3-18199
|
Date: |
Respondents:
Release No.
1220
File Number:
3-18201
|
Date: |
Respondents:
Release No.
1221
File Number:
3-18130
|
Date: |
Respondents:
Release No.
1216
File Number:
3-18204
|