Administrative Proceeding File No. 3-15992

Respondents

Sherman, Marc


Release Date	Release Number	Other Release Numbers	Name of Document
April 20, 2015	34-74765		Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Section 21C of the Securities Exchange Act of 1934
Feb. 3, 2015	AP-2281		Stay Order
Dec. 5, 2014	AP-2106		Order
Nov. 14, 2014	AP-2020		Order
Sept. 10, 2014	AP-1793		Prehearing Order
Aug. 8, 2014	AP-1684		Postponement Order
July 31, 2014	AP-1664		Order Scheduling Hearing and Designating Presiding Judge
July 30, 2014	34-72723	AAER-3573	Order Instituting Cease-and-Desist Proceedings Pursuant to Section 21C of the Securities Exchange Act of 1934


Release Date	Release Number	Other Release Numbers	Name of Document
Aug. 21, 2014			Respondent's Answer
Nov. 10, 2014			Division of Enforcement's Opposition to Respondent's Motion for a More Definite Statement
Feb. 2, 2015			Division of Enforcement's Unopposed Motion to Stay Proceedings.
July 30, 2014			Order Instituting Cease-and-Desist Proceedings Pursuant to Section 21C of the Securities Exchange Act of 1934
April 20, 2015			Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Section 21C of the Securities Exchange Act of 1934
July 31, 2014			Order Scheduling Hearing and Designating Presiding Judge
Aug. 8, 2014			Postponement Order
Sept. 10, 2014			Prehearing Order
Nov. 14, 2014			Order
Dec. 5, 2014			Order
Feb. 3, 2015			Stay Order