Administrative Proceeding File No. 3-16057

Respondents

Pappas, John Thomas


Release Date	Release Number	Name of Document
Dec. 19, 2014	IA-3985	Notice That Initial Decision Has Become Final
Oct. 20, 2014	695	Initial Decision Making Findings and Imposing Sanction by Default
Oct. 1, 2014	AP-1875	Postponement Order
Sept. 9, 2014	AP-1785	Order Scheduling Hearing and Designating Presiding Judge
Sept. 5, 2014	IA-3912	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
Oct. 20, 2014			Initial Decision Making Findings and Imposing Sanction by Default
Sept. 5, 2014			Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing
Dec. 19, 2014			Notice That Initial Decision Has Become Final
Sept. 9, 2014			Order Scheduling Hearing and Designating Presiding Judge
Oct. 1, 2014			Postponement Order