Administrative Proceeding File No. 3-18130

Respondents

Gainer, Jeffrey
Release Date Release Number Other Release Numbers Name of Document
1372 Initial Decision of Default
AP-6464 Order to Show Cause
AP-6335 Order Following Prehearing Conference
AP-6230 Scheduling Prehearing Conference
AP-6090 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-5506 Order
AP-5389 Order
1221 Initial Decision Making Findings and Imposing Sanction by Default
AP-5176 Order to Show Cause
AP-5054 Postponement Order
AP-4996 Order Scheduling Hearing and Designating Presiding Judge
34-81461
  • IA-4755
 Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing
Release Date Release Number Other Release Numbers Name of Document
Letter Dated 1/5/18 from Division of Enforcement to ALJ Requesting that She Ratify All Prior ActionsMade in this Proceeding, with Proposed Order
Initial Decision Making Findings and Imposing Sanction by Default
Initial Decision of Default
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and 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
Postponement Order
Order to Show Cause
Order
Order
Notice from the Chief Administrative Law Judge
Chief Administrative Law Judge's Order Assigning Proceedings Post Lucia v. SEC
Order Following Reassignment
Scheduling Prehearing Conference
Order Following Prehearing Conference
Order to Show Cause

Documents