Administrative Proceeding File No. 3-17657

Respondents

Smith, Gregory J.
Release Date Release Number Other Release Numbers Name of Document
34-80083
  • IC-32505
 Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934, and Section 9(b) of the Investment Company Act of 1940
AP-4471 Stay Order
AP-4451 Order On Prehearing Schedule
AP-4405 Order Directing Parties to Hold a Prehearing Conference
AP-4328 Order Scheduling Hearing and Designating Presiding Judge
34-79207
  • IC-32345
 Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934, and Section 9(b) of the Investment Company Act of 1940, and Notice of Hearing
Release Date Release Number Other Release Numbers Name of Document
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934, and Section 9(b) of the Investment Company Act of 1940, and Notice of Hearing
Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934, and Section 9(b) of the Investment Company Act of 1940
Order Scheduling Hearing and Designating Presiding Judge
Order Directing Parties to Hold a Prehearing Conference
Order On Prehearing Schedule
Stay Order

Documents