Administrative Proceeding File No. 3-15170

Respondents

Massoud, I. Joseph
Release Date Release Number Other Release Numbers Name of Document
IA-6913 Order Scheduling Briefs
IA-5018 Order Vacating Broker, Dealer, Municipal Securities Dealer, Municipal Advisor, Transfer Agent, and Nationally Recognized Statistical Rating Organization Bars
IA-3533 ORDER INSTITUTING ADMINISTRATIVE PROCEEDINGS PURSUANT SECTION 203(f) OF THE INVESTMENT ADVISERS ACT OF 1940, MAKING FINDINGS, AND IMPOSING REMEDIAL SANCTIONS
Release Date Release Number Other Release Numbers Name of Document
Letter to the Commission Dated 8-5-2025 re Request to Vacate Associational Bar
Joint Motion to Set a Briefing Schedule
Division of Enforcement’s Memorandum in Opposition to Respondent Joseph Massoud Motion to Vacate Bar
Respondent I. Joseph Massoud’s Reply Brief
Notice of Withdrawal of Council with Certificate of Service

Documents