Administrative Proceeding File No. 3-17686

Respondents

Lee, James Y.
Release Date Release Number Other Release Numbers Name of Document
1140 Initial Decision On Default
AP-4516 Order to Show Cause
AP-4488 Order Following Prehearing Conference
AP-4435 Order Postponing Hearing and Scheduling Prehearing Conference
AP-4374 Order Scheduling Hearing and Designating Presiding Judge
IA-4571 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
Division of Enforcement's Motion for Default and Imposition of Sanctions Against Respondent James Y. Lee
Declaration of Jennifer Peltz ISO Division of Enforcement's Motion for Default and Imposition of Sanctions Against Respondent James Y. Lee
Initial Decision On Default
Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing
Notice That Initial Decision Has Become Final
Order Scheduling Hearing and Designating Presiding Judge
Order Postponing Hearing and Scheduling Prehearing Conference
Order Following Prehearing Conference
Order to Show Cause

Documents