Administrative Proceeding File No. 3-18831

Respondents

Dicken, Shawn K.
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Release Date Release Number Other Release Numbers Name of Document
34-97203 Order Making Findings and Imposing Remedial Sanctions Pursuant to Section 15(b) of the Securities Exchange Act of 1934
34-97075 Order Regarding Prehearing Conference
34-95762 Order Discharging Order to Show Cause and Directing Prehearing Conference
34-91512 Second Order to Show Cause
34-90215 Order Requesting Additional Materials
34-89526 Order Requesting Additional Briefing
34-85778 Order to Show Cause
34-84272 Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Notice of Hearing
Release Date Release Number Other Release Numbers Name of Document
Division of Enforcement's Motion for Order Finding Respondent in Default and Imposing Sanctions and Brief in Support
Declaration of John E. Birkenheier
Supplemental Brief of the Division of Enforcement
Respondent’s Response to Order Requesting Additional Briefing
Division of Enforcement's Reply Brief
Division of Enforcement's Second Supplemental Brief with Exhibit
Notice with Exhibit
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Notice of Hearing
Order Making Findings and Imposing Remedial Sanctions Pursuant to Section 15(b) of the Securities Exchange Act of 1934
Order to Show Cause
Order Requesting Additional Briefing
Order Requesting Additional Materials
Second Order to Show Cause
Order Discharging Order to Show Cause and Directing Prehearing Conference
Order Regarding Prehearing Conference

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