Administrative Proceeding File No. 3-15671

Respondents

Rooney, Patrick G.


Release Date	Release Number	Name of Document
July 22, 2014	638	Initial Decision
April 1, 2014	AP-1352	Order
Feb. 19, 2014	AP-1249	Prehearing Order
Jan. 28, 2014	AP-1206	Postponement Order
Jan. 13, 2014	AP-1167	Order Scheduling Hearing and Designating Presiding Judge
Jan. 8, 2014	IA-3751	Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing


Release Date	Release Number	Other Release Numbers	Name of Document
Jan. 28, 2014			Respondent's Answer to Order Instituting Administrative Proceedings
March 13, 2014			Division of Enforcement's Motion for Summary Disposition Against Respondent Patrick G. Rooney
March 13, 2014			Division of Enforcement's Mem. of Law ISO Its Motion for Summary Disposition Against Patrick G. Rooney
April 29, 2014			Respondent's Opposition to Motion for Summary Disposition
May 15, 2014			Division's Reply Mem. ISO Its Motion for Summary Disposition Against Respondent Patrick G. Rooney
July 22, 2014			Initial Decision
Jan. 8, 2014			Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing
Sept. 11, 2014			Notice that Initial Decision Has Become Final
Jan. 13, 2014			Order Scheduling Hearing and Designating Presiding Judge
Jan. 28, 2014			Postponement Order
Feb. 19, 2014			Prehearing Order
April 1, 2014			Order