Administrative Proceeding File No. 3-15285

Respondents

Whitman, Douglas F.


Release Date	Release Number	Name of Document
Sept. 14, 2018	IA-5019	Order Vacating Broker, Dealer, Municipal Securities Dealer, and Transfer Agent Bars
May 27, 2016	IA-4405	Order Vacating Nationally Recognized Statistical Rating Organization and Municipal Advisor Bars
April 18, 2013	IA-3589	Order Instituting Administrative Proceedings Pursuant to 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
March 28, 2016			Request to Vacate Bar(s) From Association with NRSRO and/or Municipal Advisors in Light of Koch v. SEC
April 18, 2013			Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions
May 27, 2016			Order Vacating Nationally Recognized Statistical Rating Organization and Municipal Advisor Bars
Sept. 14, 2018			Order Vacating Broker, Dealer, Municipal Securities Dealer, and Transfer Agent Bars