Administrative Proceeding File No. 3-14981

Respondents

Mandell, Ross


Release Date	Release Number	Name of Document
May 26, 2016	34-77935	Order Vacating Nationally Recognized Statistical Rating Organization and Municipal Advisor Bars
March 7, 2014	34-71668	Order Summarily Affirming Initial Decision in Part and Imposing Remedial Sanctions
Jan. 3, 2013	478	INITIAL DECISION AS TO ROSS MANDELL
Aug. 13, 2012	34-67645	Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 15(b) of the Securities Exchange Act of 1934


Release Date	Release Number	Other Release Numbers	Name of Document
Sept. 18, 2012			Resp's Answer
Oct. 16, 2012			Division of Enforcement's Motion for Summary Disposition, with Mem. of Law in Support
Dec. 10, 2012			Division of Enforcement's Reply Mem. of Law in Support of Division of Enforcement's Motion for Summary Disposition Against Respondent
Dec. 21, 2012			Respondent's Reply Mem. of Law ISO Ross Mandell's Motion to Deny the Division of Enforcement's Motion for Summary Disposition and to Adjourn These Proceedings
Jan. 25, 2013			Resp's Petition for Review of the Initial Decision Served On 1/7/13
Feb. 15, 2013			Division of Enforcement's Motion for Summary Affirmance of the 1/3/13 Decision of the ALJ
Feb. 15, 2013			Division of Enforcement's Mem. of Law ISO Its Motion for Summary Affirmance of the 1/3/13 Decision of the ALJ
Jan. 3, 2013			INITIAL DECISION AS TO ROSS MANDELL
Aug. 13, 2012			Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 15(b) of the Securities Exchange Act of 1934
May 26, 2016			Order Vacating Nationally Recognized Statistical Rating Organization and Municipal Advisor Bars