Administrative Proceeding File No. 3-19142

Respondents

Graham, Jonathan Edward


Release Date	Release Number	Name of Document
July 7, 2020	34-89237	Opinion of the Commission
June 25, 2020	34-89161	Order Extending Time to Issue Decision
May 28, 2020	34-88967	Order Extending Time to Issue Decision
April 27, 2020	34-88749	Order Extending Time to Issue Decision
March 30, 2020	34-88508	Order Extending Time to Issue Decision
Dec. 23, 2019	1393	Initial Decision
May 14, 2019	34-85857	Order Scheduling Briefs


Release Date	Release Number	Other Release Numbers	Name of Document
April 11, 2019			Application for Review
June 12, 2019			Mr. Graham's Brief on Commission's Jurisdiction over this Appeal
July 29, 2019			Applicant's Reply to FINRA's Response to Applicant's Initial Brief on the Issue of Jurisdiction
April 17, 2019			Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Section 21C of the Securities Exchange Act of 1934, Sections 203(e), 203(f) and 203(k) of the Investment Advisers Act of 1940, an\ d Section 9(b) of the Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order and Notice of Hearing
March 30, 2020			Order Extending Time to Issue Decision
April 27, 2020			Order Extending Time to Issue Decision
May 28, 2020			Order Extending Time to Issue Decision
June 25, 2020			Order Extending Time to Issue Decision
July 7, 2020			Opinion of the Commission