Administrative Proceeding File No. 3-18256

Respondents

Zipper, Bruce
Release Date Release Number Other Release Numbers Name of Document
34-84334 Opinion of the Commission
34-82633 Order Denying Second Motion for Stay
33-10440
  • 34-82158
  • IA-4816
  • IC-32929
 Order
34-82158 Order Denying Stay
34-82091 Order Scheduling Briefs
Release Date Release Number Other Release Numbers Name of Document
FINRA's Brief in Opposition To Request For Stay
Letter from Applicant to OS and FINRA letter dated 11/9/17 in opposing request for a stay in this matter pending SEC review
Addendum In the Matter of the Application of Bruce Zipper for Review of Action Taken by FINRA To Bar Bruce Zipper from the Securities Industry
Letter dated 1/1/2018 from Bruce Zipper to Deputy Secretary Jill Peterson for Motion to Compel Discovery from FINRA.
Applicant's Second Request for Stay Pending Appeal of FINRA Action
Applicant's Second Request for Stay Pending Appeal of FINRA Action
FINRA's Opposition to Applicant's Motion to Compel Discovery
Applicant's Brief Showing Additional Evidence, with Exhibits A-D
FINRA's Brief in Opposition to Requests for Stay, w/ App. A-B
Applicant's Brief in Opposition to FINRA's Brief dated 1/26/18 Opposing Applicant's Motion to Compel Discovery
Order Denying Stay
Order Denying Second Motion for Stay
Opinion of the Commission

Documents