Administrative Proceeding File No. 3-18288

Respondents

Penn, Lawrence E., III
Release Date Release Number Other Release Numbers Name of Document
AP-6517 Order Denying Motion to Correct Manifest Error of Fact
1357 Initial Decision
AP-6356 Order Correcting Prehearing Conference Transcript
AP-6260 Order Following Prehearing Conference
AP-6161 Order Scheduling Prehearing Conference
AP-5991 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
1258 Initial Decision
AP-5459 Order
AP-5397 Prehearing Order
AP-5270 Order
AP-5237 Order Scheduling Hearing and Designating Presiding Judge
IA-4811 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
Respondent's Answer and Motion for More Definitive Statement
Division of Enforcement's Motion for Summary Disposition Against Respondent Lawrence E. Penn, Ill, with Memorandum of Law in Support, Declaration of Karen E. Willenken and Exhibits 1-16
Respondent's Opposition to Motion for Summary Disposition with Memorandum of
Law Exhibits A - H
Respondent's Amended Answer
Division of Enforcement's Motion for Summary Disposition Against Respondent and Supporting Mem. of Law ISO the Division of Enforcement's Motion for Summary Disposition; and Declaration of Karen R. Willenken w/ exhibit 1 -23
Reply Memorandum of Law in Support of The Division of Enforcement's Motion For
Summary Disposition
Respondent's Opposition to Motion for Summary Disposition
Initial Decision
Initial Decision
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
Prehearing Order
Order
Notice from the Chief Administrative Law Judge
Chief Administrative Law Judge's Order Assigning Proceedings Post Lucia v. SEC
Order Following Reassignment
Order Scheduling Prehearing Conference
Order Following Prehearing Conference
Order Correcting Prehearing Conference Transcript
Order Denying Motion to Correct Manifest Error of Fact

Documents