Administrative Proceeding File No. 3-15746

Respondents

Dixon, Roy, Jr.


Release Date	Release Number	Other Release Numbers	Name of Document
Jan. 27, 2015	740		Initial Decision Making Findings and Imposing Sanction by Default
Dec. 19, 2014	AP-2154		Prehearing Order
Sept. 16, 2014	AP-1808		Postponement Order
June 23, 2014	AP-1549		Postponement Order
May 6, 2014	AP-1418		Postponement Order
March 4, 2014	AP-1280		Postponement Order
Feb. 18, 2014	AP-1244		Order Scheduling Hearing and Designating Presiding Judge
Feb. 11, 2014	34-71522	IA-3776	Order Instituting Public 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


Release Date	Release Number	Other Release Numbers	Name of Document
Dec. 15, 2014			Second Declaration of Jedediah B. Forkner Regarding Service of the Oip, with Exhibits A-C.
Jan. 26, 2015			Division of Enforcement's Motion for Entry of Judgment by Default
Jan. 27, 2015			Initial Decision Making Findings and Imposing Sanction by Default
Feb. 11, 2014			Order Instituting Public 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
March 10, 2015			Notice That Initial Decision Has Become Final
Feb. 18, 2014			Order Scheduling Hearing and Designating Presiding Judge
March 4, 2014			Postponement Order
May 6, 2014			Postponement Order
June 23, 2014			Postponement Order
Sept. 16, 2014			Postponement Order
Dec. 19, 2014			Prehearing Order