Administrative Proceeding File No. 3-15829

Respondents

Buswell, Richard J.
Release Date Release Number Other Release Numbers Name of Document
34-72838
  • IA-3896
 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
AP-1622 Stay Order
AP-1539 Order Setting Schedule for Respondent's Answer and for Motions for Summary Disposition
AP-1445 Stay Order
AP-1424 Order Following Prehearing Conference
AP-1392 Order Postponing Hearing and Scheduling Prehearing Conference
AP-1368 Order Scheduling Hearing and Designating Presiding Judge
34-71907
  • IA-3813
 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
Release Date Release Number Other Release Numbers Name of Document
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
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
Order Scheduling Hearing and Designating Presiding Judge
Order Postponing Hearing and Scheduling Prehearing Conference
Order Following Prehearing Conference
Stay Order
Order Setting Schedule for Respondent's Answer and for Motions for Summary Disposition
Stay Order

Documents