Administrative Proceeding File No. 3-16335

Respondents

Slade, Duane Hamblin


Release Date	Release Number	Name of Document
July 2, 2019	IA-5277	Order Vacating Broker, Dealer, Municipal Securities Dealer, and Transfer Agent Bars
Dec. 21, 2015	IA-4298	Order Modifying Sanctions and Notice That Initial Decision, as Modified, Has Become Final
May 26, 2015	799	Initial Decision
Feb. 11, 2015	AP-2307	Order Following Prehearing Conference
Jan. 30, 2015	AP-2270	Order
Jan. 15, 2015	AP-2224	Order Scheduling Hearing and Designating Presiding Judge
Jan. 13, 2015	IA-3994	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
Feb. 2, 2015			Division of Enforcement's Unopposed Motions for Adjournment of Hearing and Prehearing Conference
Feb. 2, 2015			Division of Enforcement's Brief ISO Unopposed Motions for Adjournment of Hearing and Prehearing
Feb. 27, 2015			Letter of 2/15/15 to ALJ from Respondent Re: Denial of Mail and Wire Fraud Allegations. Respondent Ask That Court Consider a Temporary Suspension Versus the Lifetime Bar
April 13, 2015			Division of Enforcement's Motion for Summary Disposition
May 26, 2015			Initial Decision
Jan. 13, 2015			Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing
Jan. 15, 2015			Order Scheduling Hearing and Designating Presiding Judge
Jan. 30, 2015			Order
Feb. 11, 2015			Order Following Prehearing Conference
Dec. 21, 2015			Order Modifying Sanctions and Notice That Initial Decision, as Modified, Has Become Final
July 2, 2019			Order Vacating Broker, Dealer, Municipal Securities Dealer, and Transfer Agent Bars