Administrative Proceeding File No. 3-19024

Respondents

Ascension Asset Management, LLC Gooder, Grenville M., JR.
Release Date Release Number Other Release Numbers Name of Document
1400 Initial Decision
AP-6672 Order
AP-6665 Order
AP-6666 Order
AP-6619 Order
AP-6583 Order
AP-6575 Order
AP-6567 Order Designating Presiding Judge
IA-5230
  • IC-33467
 Order
IA-5220
  • IC-33444
 Protective Order
IA-5214
  • IC-33429
 Corrected Order
IA-5121
  • IC-33391
 Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 203(e), 203(f), and 203(k) of the Investment Advisers Act of 1940 and Section 9(b) of the Investment Company Act of 1940 and Notice of Hearing
Release Date Release Number Other Release Numbers Name of Document
Respondents' Answer of Order Instituting Proceedings
Division of Enforcement's Response in Opposition to Respondents' Motion for Summary Disposition and Memorandum of Law in Support.
Respondent's Memorandum in Opposition to the Division of Enforcement's Motion for Summary Disposition
Supplemental Declaration of Nicholas A. Pilgrim in Support of the Division of Enforcement's Motion for Summary Disposition Against Respondents Ascension Asset Management. LLC and Grenville M Gooder, Jr.
Supplemental Declaration of Luke A.E. Pazicky in Support of the Division of Enforcement's Motion for Summary Disposition Against Respondents Ascension Asset Management. LLC and Grenville M. Gooder. Jr.
Division of Enforcement's Reply in Support of its Motion for Summary Disposition Against Respondents Ascension Asset Management. LLC and Grenville M. Gooder, Jr
Division of Enforcement's Pre-Hearing Brief
Divsion of Enforcement's Post-Hearing Brief
Division of Enforcement's Post Hearing Reply Brief
Initial Decision
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 203(e), 203(f), and 203(k) of the Investment Advisers Act of 1940 and Section 9(b) of the Investment Company Act of 1940 and Notice of Hearing
Notice That Initial Decision Has Become Final
Order Designating Presiding Judge
Order
Order
Order
Order
Order
Order
Corrected Order
Protective Order
Order

Documents