Administrative Proceeding File No. 3-15285
Respondents
Whitman, Douglas F.
Administrative Proceeding File No. 3-15285 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:IA-5019 | Other Release Numbers: | Name of Document: Order Vacating Broker, Dealer, Municipal Securities Dealer, and Transfer Agent Bars |
| Release Date: | Release Number:IA-4405 | Other Release Numbers: | Name of Document: Order Vacating Nationally Recognized Statistical Rating Organization and Municipal Advisor Bars |
| Release Date: | Release Number:IA-3589 | Other Release Numbers: | Name of Document: Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions |