Administrative Proceeding File No. 3-19733

Respondents

Genovese, Nicholas J.
Release Date Release Number Other Release Numbers Name of Document
IA-6906 Opinion of the Commission
IA-6851 Order Granting Motion for Extension of Time
IA-6762 Order Partially Granting Motion For Discovery, Denying Motion For Extension of Time, and Scheduling Briefs
IA-6571 Order Scheduling Briefs
IA-6542 Order Regarding Prehearing Conference
IA-6389 Order Granting Extension of Time
IA-6357 Renewed Order Directing Response From Respondent
IA-6289 Order Directing Response from Respondent
IA-5891 Order Regarding Service
IA-5778 Order Directing Additional Submission by Respondent and Filing of Proof of Service by the Division of Enforcement
IA-5521 Order Granting an Extension of Time
IA-5468 Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing
Release Date Release Number Other Release Numbers Name of Document
Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing
Order Granting an Extension of Time
Order Directing Additional Submission by Respondent and Filing of Proof of Service by the Division of Enforcement
Order Regarding Service
Respondent’s Certificate of Service
Order Granting Extension of Time
Respondent's Answer to the Allegations
Order Scheduling Briefs
Respondent's Motion for Discovery and Sanctions
Division of Enforcement's Motion for Summary Disposition
Respondent Statement Regarding Prehearing Conference
Division of Enforcement Memorandum in Opposition to Respondent Genovese Motion for Discovery and Sanctions with Declaration of Alexander Vasilescu in Opposition with Exhibits 1-2
Division of Enforcement's Reply Mem ISO Motion for Summary Disposition
Respondent's Motion to Exclude Ex Parte Communications
Division of Enforcement's Mem Addressing Respondent Genovese's Motion to Exclude Ex Parte Communications
Division of Enforcement's Mem Addressing Respondent Genovese's Motion for a Privileges Log and Additional Time to Oppose Division of Enforcement's Summary Disposition Motion
Respondent Genovese's Motion for Extension of Time
Order Partially Granting Motion For Discovery, Denying Motion For Extension of Time, and Scheduling Briefs
Division of Enforcement's List of Withheld Document list
Respondent's Genovese Change of Address and Request for Extension
Division of Enforcement's on Respondent's Genovese Request for Time to Respond to Division of Enforcement's Motion for Summary Disposition
Division of Enforcement's Reply Memorandum ISO It's Motion for Summary Disposition
Division of Enforcement's Motion to Strike
Respondent's Opposition to Division of Enforcement Motion for Summary Disposition and Request for Stay of Proceedings and Motion for Leave to File Opposition
Respondent's Motion in Opposition to Division of Enforcement's Motion to Strike and Motion to Dismiss Proceedings

Documents