Administrative Proceeding File No. 3-15433

Respondents

Chariot Advisors, LLC Shifman, Elliott L.
Release Date Release Number Other Release Numbers Name of Document
34-72541
  • IA-3872
  • IC-31149
 ORDER MAKING FINDINGS AND IMPOSING REMEDIAL SANCTIONS PURSUANT TO SECTION 15(b) OF THE SECURITIES EXCHANGE ACT OF 1934, SECTIONS 203(e), 203(f) AND 203(k) OF THE INVESTMENT ADVISERS ACT OF 1940 AND SECTIONS 9(b) AND 9(f) OF THE INVESTMENT COMPANY ACT OF 1940
AP-1221 Stay Order
AP-1169 Prehearing Order
AP-918 Prehearing Order
AP-872 Postponement Order
AP-809 Order Scheduling Hearing And Designating Presiding Judge
34-70239
  • IA-3653
  • IC-30655
 Order Instituting Administrative and Cease-And-Desist Proceedings Pursuant to Section 15(b)(6) of the Securities Exchange Act of 1934, Sections 203(e), 203(f), and 203(K) of the Investment Advisers Act of 1940, and Sections 9(b) and 9(f) of the Investment Company Act of 1940 and Notice of Hearing
Release Date Release Number Other Release Numbers Name of Document
Answer of Respondents
Division of Enforcement's Prehearing Submission
Respondents' Prehearing Brief
Order Instituting Administrative and Cease-And-Desist Proceedings Pursuant to Section 15(b)(6) of the Securities Exchange Act of 1934, Sections 203(e), 203(f), and 203(K) of the Investment Advisers Act of 1940, and Sections 9(b) and 9(f) of the Investment Company Act of 1940 and Notice of Hearing
ORDER MAKING FINDINGS AND IMPOSING REMEDIAL SANCTIONS PURSUANT TO SECTION 15(b) OF THE SECURITIES EXCHANGE ACT OF 1934, SECTIONS 203(e), 203(f) AND 203(k) OF THE INVESTMENT ADVISERS ACT OF 1940 AND SECTIONS 9(b) AND 9(f) OF THE INVESTMENT COMPANY ACT OF 1940
Order Scheduling Hearing And Designating Presiding Judge
Postponement Order
Prehearing Order
Prehearing Order
Stay Order

Documents