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Administrative Proceeding File No. 3-15002

Respondents

Comeaux, Jay T.


Release Date	Release Number	Other Release Numbers	Name of Document
Feb. 17, 2017	33-10309	34-80056 IA-4651 IC-32482	Order Making Findings and Imposing Disgorgement and Civil Penalties
Nov. 12, 2014	AP-2007		Order
Oct. 23, 2014	AP-1941		Stay Order
Oct. 1, 2014	AP-1874		Prehearing Order
Sept. 12, 2014	AP-1802		Prehearing Order
Aug. 21, 2014	33-9633	34-72896 IA-3902 IC-31220	Order Remanding for Further Proceedings
Sept. 5, 2013	33-9449	34-70328 IA-3661 IC-30686	Order Granting Petition for Review and Scheduling Briefs
July 23, 2013	AP-770		Order
July 2, 2013	494		Initial Decision
Aug. 31, 2012	33-9355	34-67768 IA-3452 IC-30189	ORDER INSTITUTING ADMINISTRATIVE AND CEASE-ANDDESIST PROCEEDINGS PURSUANT TO SECTION 8A OF THE SECURITIES ACT OF 1933, SECTIONS 15(b) AND 21C OF THE SECURITIES EXCHANGE ACT OF 1934, SECTIONS 203(f) AND 203(k) OF THE INVESTMENT ADVISERS ACT OF 1940, \ AND SECTION 9(b) OF THE INVESTMENT COMPANY ACT OF 1940, MAKING FINDINGS, AND IMPOSING REMEDIAL SANCTIONS AND A CEASEAND-DESIST ORDER, AND NOTICE OF HEARING


Release Date	Release Number	Other Release Numbers	Name of Document
March 28, 2013			Division of Enforcement's Motion for Summary Disposition as to Monetary Relief
May 13, 2013			Division of Enforcement's Reply in Support of Its Motion for Summary Disposition as to Monetary Relief
Nov. 6, 2013			Division of Enforcement's Brief in Opposition to Respondent's Petition for Review of Initial Decision
Nov. 20, 2013			Respondent's Reply in Support of His Petition for Review
April 29, 2013			Respondent's Response to the Division of Enforcement's Motion for Summary Disposition, with Exhibits A-C
Aug. 13, 2013			Respondent's Petition for Review, with Exhibit A (Affidavit of Respondent) Containing Exhibit C (Financial Information and Tax Returns of Which He Is Requesting a Protective Order), and Exhibits B-C
July 2, 2013			Initial Decision
Aug. 31, 2012			ORDER INSTITUTING ADMINISTRATIVE AND CEASE-ANDDESIST PROCEEDINGS PURSUANT TO SECTION 8A OF THE SECURITIES ACT OF 1933, SECTIONS 15(b) AND 21C OF THE SECURITIES EXCHANGE ACT OF 1934, SECTIONS 203(f) AND 203(k) OF THE INVESTMENT ADVISERS ACT OF 1940, \ AND SECTION 9(b) OF THE INVESTMENT COMPANY ACT OF 1940, MAKING FINDINGS, AND IMPOSING REMEDIAL SANCTIONS AND A CEASEAND-DESIST ORDER, AND NOTICE OF HEARING
Feb. 17, 2017			Order Making Findings and Imposing Disgorgement and Civil Penalties
July 23, 2013			Order
Sept. 12, 2014			Prehearing Order
Oct. 1, 2014			Prehearing Order
Oct. 23, 2014			Stay Order
Nov. 12, 2014			Order
Sept. 5, 2013			Order Granting Petition for Review and Scheduling Briefs
Aug. 21, 2014			Order Remanding for Further Proceedings

Documents