Administrative Proceeding File No. 3-18637

Respondents

Acosta, Gregory
Release Date Release Number Other Release Numbers Name of Document
34-89121 Opinion of the Commission
34-88922 Order Extending Time to Issue Decision
34-88451 Order Extending Time to Issue Decision
34-87509 Order Requesting Additional Briefing
34-85257 Order Requesting Additional Briefing
34-84165 Order Scheduling Briefs
34-83886
  • IA-4989
 Order Instituting Administrative and Cease-And- Desist Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Sections 203(e) and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctio\
ns and a Cease- And-Desist Order
Release Date Release Number Other Release Numbers Name of Document
Application for Review
Applicant's Brief in Support of Application for Review
FINRA's Brief on Jurisdiction
Applicant's Reply Brief in Support of Jurisdiction Pursuant to Section 19(d)(2) of the Exchange Act of 1934
Declaration of Glynnis Kirchmeier
FINRA's Brief in Response to Commission's Order Requesting Additional Briefing and Declaration of Christopher Dragos
Reply Brief in Response to Order Requesting Addition Briefing
Applicant's Reponse to Order Requesting Additional Briefing
Letter dated 8/6/19 from Counsel for Applicant to Secretary Countryman Requesting that the Commission Issue an Order on the Issue of Jurisdiction or Proceed with the Application for Review
Brief in Support of Expedited Review
Order Instituting Administrative and Cease-And- Desist Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Sections 203(e) and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctio\
ns and a Cease- And-Desist Order
Order Scheduling Briefs
Order Requesting Additional Briefing
Order Requesting Additional Briefing
Order Extending Time to Issue Decision
Order Extending Time to Issue Decision
Opinion of the Commission

Documents