Administrative Proceeding File No. 3-17676

Respondents

OTC Global Partners, LLC Dias, Raimundo
Release Date Release Number Other Release Numbers Name of Document
1163 Initial Decision as to Raimundo Dias
AP-4472 Order
AP-4436 Order
AP-4355 Order Scheduling Hearing and Designating Presiding Judge
33-10254
  • 34-79300
 Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933 and Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order, and Notice of Hearing
Release Date Release Number Other Release Numbers Name of Document
Division of Enforcement's Motion for Summary Disposition against Respondent Dias
Respondent Dias's Response to Division of Enforcement's Motion for Summary Disposition
Division of Enforcement's Reply ISO its Motion for Summary Disposition against Respondent Dias
Initial Decision as to Raimundo Dias
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933 and Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order, and Notice of Hearing
Notice That Initial Decision Has Become Final
Order Scheduling Hearing and Designating Presiding Judge
Order
Order

Documents