Skip to search field Skip to main content
U.S. flag

An official website of the United States government

Here’s how you know

Dot gov

Official websites use .gov
A .gov website belongs to an official government organization in the United States.

Https

Secure .gov websites use HTTPS
A lock (LockA locked padlock) or https:// means you’ve safely connected to the .gov website. Share sensitive information only on official, secure websites.

SEC homepage U.S. Securities and Exchange Commission U.S. Securities and Exchange Commission
U.S. Securities and Exchange Commission
  • Search Filings

    • Full Text Search
    • Latest Filings
    • Mutual Fund Search
    • Variable Insurance Products Search
    • SIC Codes
    • CIK Lookup
    • Public Dissemination Service (PDS)
    • Search Assistance
  • Submit Filings

    • EDGAR Filer Management Portal
    • EDGAR Filing Portal
    • Online Forms Management Portal
    • EDGAR Next
    • Forms Index
    • Filer Support & Resources
  • Data & Research

    • SEC & Markets Data
    • Taxonomies
    • Statistics & Data Visualizations
    • Investment Management Data
    • Rules & Regulations

      • Rulemaking Activity
      • Statutes & Regulations
      • Staff Guidance
      • No-Action, Interpretive, and Exemptive Letters
      • Self-Regulatory Organization Rulemaking
      • Public Petitions for Rulemaking
    • Enforcement & Litigation

      • Litigation Releases
      • Administrative Proceedings
      • Administrative Law Judge Orders and Initial Decisions
      • Trading Suspensions
      • Distributions to Harmed Investors
      • Receiverships
    • Compliance

      • Examination Priorities
      • Risk Alerts
      • Compliance Outreach Program
      • Proposed Rules
      • What's New
      • Whistleblower Program
  • Featured Topics

    • Crypto Task Force
    • Cybersecurity
    • Market Structure Analytics
    • Saving and Investing for Military Personnel
    • Saving and Investing for Teachers
    • SEC-CFTC Harmonization Initiative
    • Treasury Clearing Implementation
  • About

    • Mission
    • Commissioners
    • Divisions & Offices
    • Division & Office Directors
    • Advisory Committees
    • Budget & Performance
    • Reports & Publications
    • Commission Votes
    • Contact the SEC
    • Careers
  • Submit a Tip or Complaint
  • Newsroom
  • |
  • Investors
  • Small Businesses
  • Whistleblowers
  • Newsroom
  • |
  • Investors
  • Small Businesses
  • Whistleblowers

  • Enforcement & Litigation
  • Litigation Releases
  • Administrative Proceedings
    • Information for Respondents in Administrative Proceedings 
    • Open Litigated Administrative Proceedings
    • Closed Litigated Administrative Proceedings
    • Commission Opinions and Adjudicatory Orders
    • Delinquent Filings
    • Stop Orders
  • Administrative Law Judge Orders and Initial Decisions
  • Trading Suspensions
  • Distributions to Harmed Investors
  • Receiverships
  • Electronic Filings in Administrative Proceedings (eFAP)
  • Rules of Practice
  • Applications for Reentry
  • Reports of Investigations
  • Whistleblower Program
  • Public Alert: Unregistered Soliciting Entities (PAUSE)
  • SEC Action Lookup - Individuals (SALI)
  • Enforcement Data Delivery Standards
  • Small Businesses
  • Appellate Briefs
  • Amicus / Friend of the Court Briefs
  • Enforcement & Litigation
  • Litigation Releases
  • Administrative Proceedings
    • Information for Respondents in Administrative Proceedings 
    • Open Litigated Administrative Proceedings
    • Closed Litigated Administrative Proceedings
    • Commission Opinions and Adjudicatory Orders
    • Delinquent Filings
    • Stop Orders
  • Administrative Law Judge Orders and Initial Decisions
  • Trading Suspensions
  • Distributions to Harmed Investors
  • Receiverships
  • Electronic Filings in Administrative Proceedings (eFAP)
  • Rules of Practice
  • Applications for Reentry
  • Reports of Investigations
  • Whistleblower Program
  • Public Alert: Unregistered Soliciting Entities (PAUSE)
  • SEC Action Lookup - Individuals (SALI)
  • Enforcement Data Delivery Standards
  • Small Businesses
  • Appellate Briefs
  • Amicus / Friend of the Court Briefs
  1. Home
  2. Enforcement and Litigation
  3. Administrative Proceedings
  4. 3-21121

Administrative Proceeding File No. 3-21121

Respondents

Harrison, Ron K.
Release Date Release Number Other Release Numbers Name of Document
May 3, 2024 IA-6599 Opinion of the Commission
Dec. 18, 2023 IA-6506 Order to Show Cause
April 7, 2023 IA-6276 Order Regarding Service
Feb. 23, 2023 IA-6246 Order Regarding Service
Sept. 21, 2022 IA-6142 Order Instituting Administrative Proceedings Pursuant to Section Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing
Release Date Release Number Other Release Numbers Name of Document
Sept. 21, 2022 Order Instituting Administrative Proceedings Pursuant to Section Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing
Feb. 23, 2023 Order Regarding Service
March 9, 2023 Division of Enforcement’s Status Report Re Service
April 6, 2023 Division of Enforcement’s Second Status Report Re Service
May 4, 2023 Division of Enforcement’s Third Status Report Re Service
June 1, 2023 Division of Enforcement’s Fourth Status Report Re Service
June 29, 2023 Division of Enforcement’s Declaration Re Service
June 29, 2023 Division of Enforcement’s Fifth Status Report Re Service
July 27, 2023 Division of Enforcement’s Sixth Status Report Re Service
Aug. 25, 2023 Division of Enforcement's Seventh Status Report Re Service
Jan. 29, 2024 Division of Enforcement's Motion for Default
May 3, 2024 Opinion of the Commission

Documents

Return to top
SEC homepage U.S. Securities and Exchange Commission
  • About the SEC

    • Budget & Performance
    • Careers
    • Commission Votes
    • Contact
    • Contracts
  • Transparency

    • Accessibility & Disability
    • Artificial Intelligence
    • FOIA
    • Inspector General
    • No FEAR Act Data
    • Ombuds
    • SEC Excess Personal Property Guidance
  • Websites

    • Investor.gov
    • Related Sites
    • USA.gov
  • Site Information

    • Plain Writing
    • Privacy & Security
    • Site Map

Stay connected. Sign up for email updates.

U.S. Securities and Exchange Commission
  • X
  • Facebook
  • Instagram
  • RSS
  • YouTube
  • Email Updates