Administrative Proceeding File No. 3-16165

Respondents

Cacchione, David Scott
Release Date Release Number Other Release Numbers Name of Document
IA-5283 Order Vacating Municipal Securities Dealer, Municipal Advisor, Transfer Agent, and Nationally Recognized Statistical Rating Organization Bars
IA-4034 Order Making Findings and Imposing Remedial Sanctions Pursuant to Section 203(f) of the Investment Advisers Act of 1940
AP-2210 Stay Order
AP-2195 Order On Respondent's Motion to Quash and Modify Subpoenas
AP-2191 Order On Motion to Adjourn Hearing Dates
AP-2186 Notice of Hearing Location
AP-2152 Order
AP-1929 Order
AP-1898 Order
AP-1853 Order Scheduling Hearing and Designating Presiding Judge
IA-3935 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
Answer of David Scott Cacchione
Division of Enforcement's Reply Mem. ISO Its Motion for Summary Disposition Against Respondent David Scott Cacchione
Respondent David Scott Cacchione's Reply Memorandum of Law in Support of His Motion for Summary Disposition
Division of Enforcement's Request for Issuance of Subpoenas to Montara Capital Management LLC and David Scott Cacchione
Respondent's Motion to Adjourn Hearing Dates
Notice of Withdrawal.
Amended Notice of Withdrawal.
Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing
Order Making Findings and Imposing Remedial Sanctions Pursuant to Section 203(f) of the Investment Advisers Act of 1940
Order Scheduling Hearing and Designating Presiding Judge
Order
Order
Order
Notice of Hearing Location
Order On Respondent's Motion to Quash and Modify Subpoenas
Order On Motion to Adjourn Hearing Dates
Stay Order
Order Vacating Municipal Securities Dealer, Municipal Advisor, Transfer Agent, and Nationally Recognized Statistical Rating Organization Bars

Documents