Skip to search field Skip to main content

Official websites use .gov
A .gov website belongs to an official government organization in the United States.

Secure .gov websites use HTTPS
A lock () or https:// means you’ve safely connected to the .gov website. Share sensitive information only on official, secure websites.

Administrative Proceeding File No. 3-15925

Respondents

Steinberg, Michael S.


Release Date	Release Number	Other Release Numbers	Name of Document
Nov. 24, 2015	IA-4281		Order Dismissing Proceeding
Jan. 27, 2015	IA-4008		Order Postponing Briefing Schedule
Jan. 8, 2015	34-74014		Second Extension Order
Dec. 22, 2014	34-73915		Extension Order
Nov. 26, 2014	34-73700		Order Granting Petition for Review and Scheduling Briefs
Oct. 14, 2014	690		Initial Decision
June 30, 2014	AP-1575		Order Following Prehearing Conference
June 20, 2014	AP-1548		Order Postponing Hearing and Scheduling Prehearing Conference
June 12, 2014	AP-1516		Order Scheduling Hearing and Designating Presiding Judge
June 11, 2014	IA-3853		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
Aug. 27, 2014			Division of Enforcement's Reply Mem. of Points and Authorities in Further Support of the Division's Motion for Summary Disposition Against Respondent and Declaration of Justin P. Smith
July 25, 2014			Division of Enforcement's Motion for Summary Disposition Against Respondent w/Memorandum of Declaration (as to Justin P. Smith) in Support of the Motion
Aug. 20, 2014			Respondent's Memorandum of Points and Authorities in Opposition to the Division of Enforcement's Motion for Summary Disposition
Aug. 21, 2014			Declaration of Barry H. Berke
Nov. 4, 2014			Respondent's Petition for Review.
Dec. 19, 2014			Letter of 12/19/14 from Barry Berke to Se. Fields Requests Comm Stay Briefing Schedule Due to Recent 2nd Cir Ct. Decision in U.S. V. Newman and U.S. V. Newman (Chiasson) and Indicates That Div Consents to Request
Jan. 7, 2015			Letter of 1/7/15 to OS from Counsel for Respondent Requesting Another 21-Day Extension of the Briefing Schedule
Oct. 15, 2015			Ltr of 10/15/15 Re Repondent's Request for Postponement of the Briefing Schedule of Repondent's Petition for Review Until Final Resolution of His Criminal Appeal
Nov. 4, 2015			Letter of 11/4/15 from Respondent's Counsel Re Request to Convert Respondent's Petition for Review Into a Motion to Dismiss
Oct. 14, 2014			Initial Decision
June 11, 2014			Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing
Dec. 22, 2014			Extension Order
Jan. 8, 2015			Second Extension Order
June 12, 2014			Order Scheduling Hearing and Designating Presiding Judge
June 20, 2014			Order Postponing Hearing and Scheduling Prehearing Conference
June 30, 2014			Order Following Prehearing Conference
Nov. 26, 2014			Order Granting Petition for Review and Scheduling Briefs
Jan. 27, 2015			Order Postponing Briefing Schedule
Nov. 24, 2015			Order Dismissing Proceeding

Documents