Respondents

Chariot Advisors, LLC Shifman, Elliott L.

Administrative Proceeding File No. 3-15433 Table

Release Date
Release Number
Other Release Numbers
Name of Document
Release Date: Release Number:34-72541 Other Release Numbers:
  • IA-3872
  • IC-31149
 Name of Document: ORDER MAKING FINDINGS AND IMPOSING REMEDIAL SANCTIONS 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 SECTIONS 9(b) AND 9(f) OF THE INVESTMENT COMPANY ACT OF 1940
Release Date: Release Number:AP-1221 Other Release Numbers: Name of Document: Stay Order
Release Date: Release Number:AP-1169 Other Release Numbers: Name of Document: Prehearing Order
Release Date: Release Number:AP-918 Other Release Numbers: Name of Document: Prehearing Order
Release Date: Release Number:AP-872 Other Release Numbers: Name of Document: Postponement Order
Release Date: Release Number:AP-809 Other Release Numbers: Name of Document: Order Scheduling Hearing And Designating Presiding Judge
Release Date: Release Number:34-70239 Other Release Numbers:
  • IA-3653
  • IC-30655
 Name of Document: Order Instituting Administrative and Cease-And-Desist Proceedings Pursuant to Section 15(b)(6) of the Securities Exchange Act of 1934, Sections 203(e), 203(f), and 203(K) of the Investment Advisers Act of 1940, and Sections 9(b) and 9(f) of the Investment Company Act of 1940 and Notice of Hearing