Respondents
Hicks, Richard D.
Administrative Proceeding File No. 3-15413 Table
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Release Date:
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Release Number:33-9511
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Name of Document: Order Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Section 8a of the Securities Act of 1933, Sections 15(b) and 21C of the Securuties Exchange Act of 1934 and Sections 203(f) and 203(k) of the Investment Advisers Act of 1940
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Release Number:AP-1078
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Name of Document: Order Postponing Prehearing Conference
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Release Number:AP-1018
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Name of Document: Order Postponing Prehearing Conference
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Release Number:AP-929
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Name of Document: Order Following Second Pre- Hearing Conference
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Release Number:AP-865
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Name of Document: Order Following Prehearing Conference
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Release Number:AP-813
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Name of Document: ORDER POSTPONING HEARING AND
SCHEDULING PREHEARING
CONFERENCE
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Release Number:AP-796
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Name of Document: Order Scheduling Hearing and Designating Presiding Judge
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Release Date:
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Release Number:33-9440
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Name of Document: Order Instituting Administrative and Cease-And-Desist Proceedings Pursuant to Section 8a of the Securities Act of 1933, Sections 15(b) and 21C of the Securities Exchange Act of 1934 and Sections 203(f) and 203(K) of the Investment Advisers Act of 1\
940 and Notice of Hearing
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