Administrative Proceeding File No. 3-18099

Respondents

Black Diamond Asset Management LLC and Robert Wilson
Release Date Release Number Other Release Numbers Name of Document
IA-6888
  • IC-35647
 Order Directing Additional Submissions
IA-5088
  • IC-33335
 Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Sections 203(e), 203(f), and 203(k) of the Investment Advisers Act of 1940 and Section 9(b) of the Investment Company Act of 1940
AP-6386 Second Order Extending Stay
AP-6319 Order Extending Stay
AP-6181 Stay Order
AP-6040 Order Following Reassignment
AP-5955 Chief Administrative Law Judge's Order Assigning Proceedings Post Lucia v. SEC
AP-5954 Notice from the Chief Administrative Law Judge
AP-5903 Notice of Extension of Stay
AP-5838 Notice of Stay
AP-5799 Order Resetting Procedural Schedule
AP-5777 Order Postponing Hearing and Prehearing Conference
AP-5769 Order Regarding Status
AP-5765 Order Allowing Telephonic Testimony
AP-5755 Order Scheduling Prehearing Conference
AP-5751 Order Admitting Certain Deposition Transcripts by Consent
AP-5678 Order Setting Hearing Location
AP-5535 Order Ratifying Certain Prior Actions, Discharging Order to Show Cause, and Setting Procedural Schedule
AP-5446 Order Scheduling Prehearing Conference
AP-5258 Order Vacating Procedural Schedule and Implementing the Securities and Exchange Commission's Order On Pending Administrative Proceedings
AP-5246 Order Vacating Procedural Schedule
AP-5231 Order Granting Extension of Time for Reply
AP-5110 Order Finding Respondents in Default
AP-5056 Order to Show Cause
AP-5028 Scheduling Order
AP-4970 Order Postponing Hearing and Scheduling Prehearing Conference
AP-4953 Order Scheduling Hearing and Designating Presiding Judge
IA-4739
  • IC-32776
 Order Instituting Administrative and Cease-And- Desist Proceedings Pursuant to Sections 203(e), 203(f), and 203(k) of the Investment Advisers Act of 1940, 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
Respondent Wilson's Brief to Reenter Evidence in to the Review by the Judge
Division of Enforcement's Brief Requesting Ratification of Certain Prior Actions in These Proceedings and Revision of the Default with Proposed Order and Declaration of Preethi Krishnamurthy in Support, with Exhibits 1-7
Division of Enforcement's Motion for Sanctions Against Respondents, w/Exhibits 1-9
Responses of Respondent Wilson Dated 11/7/17
Division of Enforcement's Response to Respondent Robert Wilson's Revision Request, with Exhibit 1
Division of Enforcement's Pre-Hearing Brief
Order Instituting Administrative and Cease-And- Desist Proceedings Pursuant to Sections 203(e), 203(f), and 203(k) of the Investment Advisers Act of 1940, 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 203(e), 203(f), and 203(k) of the Investment Advisers Act of 1940 and Section 9(b) of the Investment Company Act of 1940
Order Scheduling Hearing and Designating Presiding Judge
Order Postponing Hearing and Scheduling Prehearing Conference
Scheduling Order
Order to Show Cause
Order Finding Respondents in Default
Order Granting Extension of Time for Reply
Order Vacating Procedural Schedule
Order Vacating Procedural Schedule and Implementing the Securities and Exchange Commission's Order On Pending Administrative Proceedings
Order Scheduling Prehearing Conference
Order Ratifying Certain Prior Actions, Discharging Order to Show Cause, and Setting Procedural Schedule
Order Setting Hearing Location
Order Admitting Certain Deposition Transcripts by Consent
Order Scheduling Prehearing Conference
Order Allowing Telephonic Testimony
Order Regarding Status
Order Postponing Hearing and Prehearing Conference
Order Resetting Procedural Schedule
Notice of Stay
Notice of Extension of Stay
Notice from the Chief Administrative Law Judge
Chief Administrative Law Judge's Order Assigning Proceedings Post Lucia v. SEC
Order Following Reassignment
Stay Order
Order Extending Stay
Second Order Extending Stay
Respondent Wilson's Request for Reinstatement
Respondent Robert A. Wilson’s Withdrawal of Request for Reentry into the Securities Industry

Documents