Administrative Proceeding File No. 3-20249

Respondents

World Tree Financial, LLC
Release Date Release Number Other Release Numbers Name of Document
34-100778
  • IA-6664
 Opinion of the Commission
34-96822
  • IA-6230
 Order to Show Cause
34-96258
  • IA-6184
 Order Denying Motions to Withdraw as Counsel for Respondents and Extending the Time for Respondents to File a Brief Opposing Summary Disposition and for the Division of Enforcement to File a Reply
34-95353
  • IA-6071
 Order Consolidating Proceedings, Denying Motions to Stay, and Scheduling Briefs
34-94824 Order Granting an Extension of Time
34-94618 Order Requesting Briefs
IA-5991 Order Regarding Prehearing Conference
34-92087
  • IA-5742
 Order Granting an Extension of Time
34-91379
  • IA-5702
 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
Respondent's Answer to Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940 and Notice
Joint Prehearing Conference Statement
Division of Enforcement's Response to Order
Division of Enforcement's Opposition to Motion to Stay
Division of Enforcement's Motion for Summary Disposition
Motion to Withdraw as Counsel for Respondent with Proposed Order
Division of Enforcement's Notice
Division of Enforcement's Notice
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 Requesting Briefs
Order Granting an Extension of Time
Order Denying Motions to Withdraw as Counsel for Respondents and Extending the Time for Respondents to File a Brief Opposing Summary Disposition and for the Division of Enforcement to File a Reply
Order Consolidating Proceedings, Denying Motions to Stay, and Scheduling Briefs
Order to Show Cause

Documents