Administrative Proceeding File No. 3-19720

Respondents

Vazquez, Daniel B., Sr.
Release Date Release Number Other Release Numbers Name of Document
34-100431
  • IA-6633
 Opinion of the Commission
34-93912
  • IA-5937
 Order Requesting Additional Briefing and Materials
34-93481
  • IA-5899
 Order to Show Cause
34-92522
  • IA-5809
 Order Regarding Service
34-92383
  • IA-5774
 Order Regarding Service
34-88314
  • IA-5455
 Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing
Release Date Release Number Other Release Numbers Name of Document
Division of Enforcement's Default Motion
Division of Enforcement's Notice of Non-Receipt of Opposition
Declaration of Patricia Pei in Support of Division Motion for Entry of Default Judgment and Remedial Sanctions
Declaration of Christopher Conte in Support of Division Motion for Entry of Default Judgment and Remedial Sanctions with Exhibits 1 and 2
Division of Enforcement’s Supp. Brief ISO Summary Disposition
Declaration of Lynn M. Dean in Support of Division Motion for Entry of Default Judgment and Remedial Sanctions with Exhibits 1 through 3
Supplemental Declaration of Lynn M Dean in Support of Division Motion for Entry of Default Judgment and Remedial Sanctions with Exhibits 1 through 23
Declaration ISO Supp. Brief
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing
Order Regarding Service
Order Regarding Service
Order to Show Cause
Order Requesting Additional Briefing and Materials

Documents