Administrative Proceeding File No. 3-17313

Respondents

Tirrell, William
Release Date Release Number Other Release Numbers Name of Document
34-81521 Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Section 21C of the Securities Exchange Act of 1934
AP-4844 Stay Order
AP-4816 Order Modifying Prehearing Schedule
AP-4809 Order Setting Time and Location of Hearing
AP-4712 Order Following in Camera Review of Interview Notes
AP-4703 Order On Motion for in Camera Review of Interview Notes
AP-4664 Order Granting Joint Request to Extend the Deadline for Completion of Expert Discovery
AP-4588 Order Denying Division's Motion in Limine
AP-4502 Order Setting Schedule for Responsive Briefs to Division's Motion in Limine
AP-4386 Order Granting Division's Motion for Extension of Time to Respond to Subpoena
AP-4276 Order Setting Hearing Guidelines
AP-4265 Order Setting Prehearing Schedule
AP-4233 Order Following Prehearing Conference
AP-3998 Order Rescheduling Prehearing Conference
AP-3959 Order Postponing Hearing and Scheduling Prehearing Conference
AP-3946 Order Scheduling Hearing and Designating Presiding Judge
34-78142
  • IA-4434
  • IC-32159
 Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934, Section 203(f) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940.
Release Date Release Number Other Release Numbers Name of Document
Respondent's Answer and Affirmative Defenses
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934, Section 203(f) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940.
Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Section 21C of the Securities Exchange Act of 1934
Order Scheduling Hearing and Designating Presiding Judge
Order Postponing Hearing and Scheduling Prehearing Conference
Order Rescheduling Prehearing Conference
Order Following Prehearing Conference
Order Setting Prehearing Schedule
Order Setting Hearing Guidelines
Order Granting Division's Motion for Extension of Time to Respond to Subpoena
Order Setting Schedule for Responsive Briefs to Division's Motion in Limine
Order Denying Division's Motion in Limine
Order Granting Joint Request to Extend the Deadline for Completion of Expert Discovery
Order On Motion for in Camera Review of Interview Notes
Order Following in Camera Review of Interview Notes
Order Setting Time and Location of Hearing
Order Modifying Prehearing Schedule
Stay Order

Documents