Administrative Proceeding File No. 3-15461
Respondents
McGinn, Timothy M. Smith, David L.
Administrative Proceeding File No. 3-15461 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:34-72004 |
Other Release Numbers:
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Name of Document: Order Making Findings and Imposing Remedial Sanctions Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940 as to David L. Smith |
| Release Date: | Release Number:34-71865 |
Other Release Numbers:
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Name of Document: Notice That Initial Decision Has Become Final |
| Release Date: | Release Number:566 | Other Release Numbers: | Name of Document: Initial Decision Making Findings and Imposing Sanction by Default as to Timothy M. McGinn |
| Release Date: | Release Number:AP-1112 | Other Release Numbers: | Name of Document: Prehearing Order and Stay Order |
| Release Date: | Release Number:AP-1080 | Other Release Numbers: | Name of Document: Postponement Order |
| Release Date: | Release Number:AP-1033 | Other Release Numbers: | Name of Document: Postponement Order |
| Release Date: | Release Number:AP-930 | Other Release Numbers: | Name of Document: Postponement Order |
| Release Date: | Release Number:AP-856 | Other Release Numbers: |
Name of Document: ORDER SCHEDULING HEARING AND DESIGNATING PRESIDING JUDGE |
| Release Date: | Release Number:34-70341 |
Other Release Numbers:
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Name of Document: Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing |