Administrative Proceeding File No. 3-20204

Respondents

Advance Practice Advisors, LLC and Paul C. Spitzer
Release Date Release Number Other Release Numbers Name of Document
IA-6889 Order Denying Motion to Vacate Supervisory Limitation
34-96947 Order Granting an Extension of Time
34-96602 Order Granting an Extension of Time
IA-5670 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, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
Release Date Release Number Other Release Numbers Name of Document
Respondent Spitzer's Reply ISO Motion to Dismiss
Division of Enforcement’s Response to Respondent Spitzer’s Motion
Respondent Spitzer’s Reply ISO Motion
Order Granting an Extension of Time
Order Granting an Extension of Time
Division of Enforcement's Opposition to Motion to Dismiss
Respondents' Motion to Dismiss
Respondent's Advanced Practice Motion to Appear and Argue at Hearing Before Commission
Order Denying Motion to Vacate Supervisory Limitation

Documents