Respondents

Harding Advisory LLC Chau, Wing F.

Administrative Proceeding File No. 3-15574 Table

Release Date
Release Number
Other Release Numbers
Name of Document
Release Date: Release Number:33-10705 Other Release Numbers:
  • IA-5376
  • IC-33649
 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 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-6625 Other Release Numbers: Name of Document: Stay Order
Release Date: Release Number:AP-6597 Other Release Numbers: Name of Document: Order Following Prehearing Conference
Release Date: Release Number:AP-6586 Other Release Numbers: Name of Document: Order Scheduling Prehearing Conference
Release Date: Release Number:AP-6565 Other Release Numbers: Name of Document: Order Following Reassignment
Release Date: Release Number:AP-6553 Other Release Numbers: Name of Document: Order Designating Presiding Judge
Release Date: Release Number:33-10617 Other Release Numbers:
  • IA-5204
  • IC-33405
 Name of Document: Order
Release Date: Release Number:33-10549 Other Release Numbers:
  • IA-5032
  • IC-33236
 Name of Document: Order Vacating Broker, Dealer, Municipal Securities Dealer, and Transfer Agent Bars
Release Date: Release Number:33-10330 Other Release Numbers:
  • IA-4674
  • IC-32583
 Name of Document: Partial Stay Order
Release Date: Release Number:33-10277 Other Release Numbers:
  • IA-4600
  • IC-32415
 Name of Document: Opinion of the Commission
Release Date: Release Number:33-10117 Other Release Numbers:
  • IA-4467
  • IC-32200
 Name of Document: Order Denying Motion for Additional Time for Oral Argument
Release Date: Release Number:33-10097 Other Release Numbers:
  • IA-4427
  • IC-32150
 Name of Document: Order Rescheduling Oral Argument
Release Date: Release Number:33-10083 Other Release Numbers:
  • IA-4395
  • IC-32128
 Name of Document: Order Scheduling Oral Argument
Release Date: Release Number:33-9763 Other Release Numbers:
  • IA-4075
  • IC-31588
 Name of Document: Order Directing the Filing of Supplemental Briefs
Release Date: Release Number:33-9761 Other Release Numbers:
  • IA-4071
  • IC-31583
 Name of Document: Extension Order
Release Date: Release Number:33-9736 Other Release Numbers:
  • IA-4041
  • IC-31500
 Name of Document: Order Granting in Part Motion for Extension of Time and Denying Motion to Exceed Word Limit
Release Date: Release Number:33-9731 Other Release Numbers:
  • IA-4031
  • IC-31468
  • IC-31467
 Name of Document: Order Granting Petition for Review and Scheduling Briefs
Release Date: Release Number:734 Other Release Numbers: Name of Document: Initial Decision
Release Date: Release Number:33-9632 Other Release Numbers:
  • IA-3901
  • IC-31219
 Name of Document: Order Granting Extension
Release Date: Release Number:AP-1709 Other Release Numbers: Name of Document: Order
Release Date: Release Number:AP-1690 Other Release Numbers: Name of Document: Motion for Extension
Release Date: Release Number:AP-1670 Other Release Numbers: Name of Document: Order On Joint Motion to Correct Transcript
Release Date: Release Number:AP-1627 Other Release Numbers: Name of Document: Order
Release Date: Release Number:AP-1496 Other Release Numbers: Name of Document: Order Amending Post-Hearing Schedule
Release Date: Release Number:AP-1479 Other Release Numbers: Name of Document: Order Setting Post-Hearing Conference
Release Date: Release Number:AP-1408 Other Release Numbers: Name of Document: Protective Order
Release Date: Release Number:AP-1411 Other Release Numbers: Name of Document: Post-Hearing Scheduling Order
Release Date: Release Number:AP-1312 Other Release Numbers: Name of Document: Order Following Prehearing Conference
Release Date: Release Number:33-9561 Other Release Numbers:
  • IA-3796
  • IC-30892
 Name of Document: Order Denying Petition for Interlocutory Review and Emergency Motion to Stay the Hearing and Prehearing Deadlines
Release Date: Release Number:AP-1295 Other Release Numbers: Name of Document: Order Scheduling Prehearing Conference
Release Date: Release Number:AP-1259 Other Release Numbers: Name of Document: Order Resetting Hearing Location
Release Date: Release Number:AP-1256 Other Release Numbers: Name of Document: Order Granting in Part Respondents' Subpoena Request
Release Date: Release Number:AP-1252 Other Release Numbers: Name of Document: Order Denying Respondents' Motion for Reconsideration
Release Date: Release Number:AP-1239 Other Release Numbers: Name of Document: Order Denying Respondents' Motion for More Definite Statement
Release Date: Release Number:AP-1230 Other Release Numbers: Name of Document: Order Setting Briefing Schedule for Motion to Quash Subpoenas
Release Date: Release Number:AP-1195 Other Release Numbers: Name of Document: Order Denying Respondents' Motion for Adjournment
Release Date: Release Number:AP-1180 Other Release Numbers: Name of Document: Order Granting Extension of Time
Release Date: Release Number:AP-1131 Other Release Numbers: Name of Document: Order
Release Date: Release Number:AP-1085 Other Release Numbers: Name of Document: Order On Motion for Extension of Time
Release Date: Release Number:AP-1048 Other Release Numbers: Name of Document: Order Setting Prehearing Schedule
Release Date: Release Number:AP-1049 Other Release Numbers: Name of Document: General Prehearing Order
Release Date: Release Number:AP-1037 Other Release Numbers: Name of Document: Order Scheduling Prehearing Conference
Release Date: Release Number:AP-977 Other Release Numbers: Name of Document: Order Scheduling Hearing and Designating Presiding Judge
Release Date: Release Number:33-9467 Other Release Numbers:
  • IA-3696
  • IC-30746
 Name of Document: Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8a of the Securities Act of 1933, 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