Administrative Proceeding File No. 3-20331

Respondents

Gagaza, Roy Y.


Release Date	Release Number	Other Release Numbers	Name of Document
Sept. 10, 2021	IA-5857		Order Granting an Extension of Time
July 6, 2021	34-92325	IA-5766	Scheduling Order
May 25, 2021	34-91993	IA-5738	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
June 14, 2021			Answer to the 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
Aug. 16, 2021			Division of Enforcement’s Motion for Summary Disposition Against Roy Y. Gagaza with Index and Notice of Deficient Filing
Sept. 14, 2021			Respondent Roy Gagaza's Response in Opposition to the Division Motion for Summary Disposition (with Exhibits A-V)
Oct. 6, 2021			Division of Enforcement's Reply ISO Summary Disposition
May 25, 2021			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
July 6, 2021			Scheduling Order
Sept. 10, 2021			Order Granting an Extension of Time