Administrative Proceeding File No. 3-15006
Respondents
Raymond J. Lucia Companies, Inc. Lucia, Raymond J., Sr.
Administrative Proceeding File No. 3-15006 Table
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Release Date
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Release Number
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Other Release Numbers
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Name of Document
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| Release Date: | Release Number:34-89078 |
Other Release Numbers:
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Name of Document: Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Sections 203(e), 203(f), and 203(k) of the Investment Advisers Act of 1940, and Section 9(b) of \ the Investment Company Act of 1940 |
| Release Date: | Release Number:AP-6740 | Other Release Numbers: | Name of Document: Stay Order |
| Release Date: | Release Number:AP-6736 | Other Release Numbers: | Name of Document: Order |
| Release Date: | Release Number:AP-6735 | Other Release Numbers: | Name of Document: Order |
| Release Date: | Release Number:AP-6710 | Other Release Numbers: | Name of Document: Order |
| Release Date: | Release Number:AP-6657 | Other Release Numbers: | Name of Document: Order |
| Release Date: | Release Number:AP-6652 | Other Release Numbers: | Name of Document: Order |
| Release Date: | Release Number:AP-6644 | Other Release Numbers: | Name of Document: Prehearing Order |
| Release Date: | Release Number:AP-6639 | Other Release Numbers: | Name of Document: Order |
| Release Date: | Release Number:AP-6628 | Other Release Numbers: | Name of Document: Order |
| Release Date: | Release Number:AP-6387 | Other Release Numbers: | Name of Document: Order |
| Release Date: | Release Number:AP-6133 | Other Release Numbers: | Name of Document: Order |
| Release Date: | Release Number:AP-5955 | Other Release Numbers: | Name of Document: Chief Administrative Law Judge's Order Assigning Proceedings Post Lucia v. SEC |
| Release Date: | Release Number:AP-5954 | Other Release Numbers: | Name of Document: Notice from the Chief Administrative Law Judge |
| Release Date: | Release Number:34-76241 |
Other Release Numbers:
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Name of Document: Partial Stay Order |
| Release Date: | Release Number:34-75837 |
Other Release Numbers:
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Name of Document: In the Matter of Raymong J. Lucia Companies, Inc. and Raymond J. Lucia, Sr. |
| Release Date: | Release Number:34-75262 |
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Name of Document: Order Granting Motion to Postpone Oral Argument and Permit Additional Briefing |
| Release Date: | Release Number:IA-4117 |
Other Release Numbers:
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Name of Document: Order Regarding Motion to Stay Appeal and for Leave to Submit Additional Briefing |
| Release Date: | Release Number:34-75011 |
Other Release Numbers:
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Name of Document: Order Scheduling Oral Argument |
| Release Date: | Release Number:34-71601 |
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Name of Document: Order Granting Petitions for Review and Scheduling Briefs |
| Release Date: | Release Number:540 | Other Release Numbers: | Name of Document: Initial Decision On Remand |
| Release Date: | Release Number:AP-780 | Other Release Numbers: | Name of Document: Order on Motion to Correct Manifest Errors of Fact |
| Release Date: | Release Number:495 | Other Release Numbers: | Name of Document: id495ce.pdf |
| Release Date: | Release Number:34-67781 |
Other Release Numbers:
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Name of Document: ORDER INSTITUTING ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS PURSUANT TO SECTION 15(b) OF THE SECURITIES EXCHANGE ACT OF 1934, SECTIONS 203(e), 203(f), AND 203(k) OF THE INVESTMENT ADVISERS ACT OF 1940, AND SECTION 9(b) OF THE INVESTMENT CO\ MPANY ACT OF 1940, AND NOTICE OF HEARING |