Administrative Proceeding File No. 3-14862

Respondents

Ferrer, Miguel A. Ortiz, Carlos J.


Release Date	Release Number	Other Release Numbers	Name of Document
Oct. 29, 2013	513		Initial Decision
Sept. 23, 2013	AP-896		Order as to Exhibits
Aug. 15, 2013	33-9441	34-70216 IC-30650	Order Granting Second Motion for Extension
July 31, 2013	AP-771		Second Motion for Extension
Feb. 25, 2013	33-9386	34-68978 IC-30404	Order Granting Extension
Jan. 29, 2013	AP-741		Motion for Extension
Nov. 2, 2012	3-14862		ORDER ON EVIDENTIARY ISSUE
June 13, 2012	3-14862		ORDER FOLLOWING PREHEARING CONFERENCE
May 1, 2012	33-9317	34-66892 IA-30058	ORDER INSTITUTING ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS PURSUANT TO SECTION 8A OF THE SECURITIES ACT OF 1933, SECTIONS 15(b) AND 21C OF THE SECURITIES EXCHANGE ACT OF 1934, AND SECTION 9(b) OF THE INVESTMENT COMPANY ACT OF 1940


Release Date	Release Number	Other Release Numbers	Name of Document
May 25, 2012			Respondent Ortiz's Answer
May 25, 2012			Respondent Ferrer's Answer
Sept. 17, 2012			Division of Enforcement's Prehearing Brief
Sept. 17, 2012			Respondent Ortiz's Prehearing Brief
Sept. 17, 2012			Respondent Ferrer's Prehearing Brief
Oct. 29, 2013			Initial Decision
May 1, 2012			ORDER INSTITUTING ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS PURSUANT TO SECTION 8A OF THE SECURITIES ACT OF 1933, SECTIONS 15(b) AND 21C OF THE SECURITIES EXCHANGE ACT OF 1934, AND SECTION 9(b) OF THE INVESTMENT COMPANY ACT OF 1940
Dec. 17, 2013			Notice That Initial Decision Has Become Final
June 13, 2012			ORDER FOLLOWING PREHEARING CONFERENCE
Nov. 2, 2012			ORDER ON EVIDENTIARY ISSUE
Jan. 29, 2013			Motion for Extension
July 31, 2013			Second Motion for Extension
Sept. 23, 2013			Order as to Exhibits
Feb. 25, 2013			Order Granting Extension
Aug. 15, 2013			Order Granting Second Motion for Extension