Administrative Proceeding File No. 3-15461
Respondents
McGinn, Timothy M. Smith, David L.
| Release Date | Release Number | Other Release Numbers | Name of Document |
|---|---|---|---|
| 34-72004 |
|
Order Making Findings and Imposing Remedial Sanctions Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940 as to David L. Smith | |
| 34-71865 |
|
Notice That Initial Decision Has Become Final | |
| 566 | Initial Decision Making Findings and Imposing Sanction by Default as to Timothy M. McGinn | ||
| AP-1112 | Prehearing Order and Stay Order | ||
| AP-1080 | Postponement Order | ||
| AP-1033 | Postponement Order | ||
| AP-930 | Postponement Order | ||
| AP-856 | ORDER SCHEDULING HEARING AND DESIGNATING PRESIDING JUDGE |
||
| 34-70341 |
|
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing |