Administrative Proceeding File No. 3-15413

Respondents

Hicks, Richard D.
Release Date Release Number Other Release Numbers Name of Document
33-9511
  • 34-71298
  • IA-3755
 Order Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Section 8a of the Securities Act of 1933, Sections 15(b) and 21C of the Securuties Exchange Act of 1934 and Sections 203(f) and 203(k) of the Investment Advisers Act of 1940
AP-1078 Order Postponing Prehearing Conference
AP-1018 Order Postponing Prehearing Conference
AP-929 Order Following Second Pre- Hearing Conference
AP-865 Order Following Prehearing Conference
AP-813 ORDER POSTPONING HEARING AND
SCHEDULING PREHEARING
CONFERENCE
AP-796 Order Scheduling Hearing and Designating Presiding Judge
33-9440
  • 34-70165
  • IA-3647
 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 Sections 203(f) and 203(K) of the Investment Advisers Act of 1\
940 and Notice of Hearing
Release Date Release Number Other Release Numbers Name of Document
Letter Dated 9/9/2013 from Respondent Richard Hicks Re Reply to OIP
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 Sections 203(f) and 203(K) of the Investment Advisers Act of 1\
940 and Notice of Hearing
Order Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Section 8a of the Securities Act of 1933, Sections 15(b) and 21C of the Securuties Exchange Act of 1934 and Sections 203(f) and 203(k) of the Investment Advisers Act of 1940
Order Scheduling Hearing and Designating Presiding Judge
ORDER POSTPONING HEARING AND
SCHEDULING PREHEARING
CONFERENCE
Order Following Prehearing Conference
Order Following Second Pre- Hearing Conference
Order Postponing Prehearing Conference
Order Postponing Prehearing Conference

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