|
Release Date:
|
Release Number:
|
Other Release Numbers:
|
Name of Document:Divison's Motion for Summary Disposition Against Respondent
|
|
Release Date:
|
Release Number:
|
Other Release Numbers:
|
Name of Document:Memorandum of Points and Authorities in Support of the Divison's Motion for Summary Disposition Against Respondent
|
|
Release Date:
|
Release Number:
|
Other Release Numbers:
|
Name of Document:Declaration of Matthew J. Watkins
|
|
Release Date:
|
Release Number:
|
Other Release Numbers:
|
Name of Document:Resp. Anthony Chiasson's Memorandum of Points and Authorities in Response to Division's Motion for Summary Disposition
|
|
Release Date:
|
Release Number:
|
Other Release Numbers:
|
Name of Document:Declaration of Savannah Stevenson in Support of Resp. Anthony Chiasson's Response to Division's Motion for Summary Disposition with Exhibits A-D
|
|
Release Date:
|
Release Number:
|
Other Release Numbers:
|
Name of Document:Divison's Reply Memorandum of Law in Further Support of the Division's Motion for Summary Disposition Against Respondent
|
|
Release Date:
|
Release Number:
|
Other Release Numbers:
|
Name of Document:Declaration of Matthew J. Watkins, with Exhibits 1-4
|
|
Release Date:
|
Release Number:
|
Other Release Numbers:
|
Name of Document:Respondent's Petition for Review of Initial Decision, with Exhibits A-B
|
|
Release Date:
|
Release Number:
|
Other Release Numbers:
|
Name of Document:Respondent's Memornadum of Points and Authorities in Support of Respondent's Petition for Review of the Initial Decision
|
|
Release Date:
|
Release Number:
|
Other Release Numbers:
|
Name of Document:Declaration of Savannah Stevenson in Support of Respondent's Petition for Review of Initial Decision
|
|
Release Date:
|
Release Number:
|
Other Release Numbers:
|
Name of Document:Division's Memorandum of Points and Authorities in Opposition to Respondent's Petition to Review the Initial Decision
|
|
Release Date:
|
Release Number:
|
Other Release Numbers:
|
Name of Document:Declaration of Daniel R. Marcus
|
|
Release Date:
|
Release Number:
|
Other Release Numbers:
|
Name of Document:Respondent's Reply Memorandum of Points and Authorities in Further Support of Respondent's Petition for Review of Initial Decision
|
|
Release Date:
|
Release Number:
|
Other Release Numbers:
|
Name of Document:Declaration of Savannah Stevenson in Further Support of Respondent's Petition for Review of Initial Decision
|
|
Release Date:
|
Release Number:
|
Other Release Numbers:
|
Name of Document:Letter of 1/9/15 to OS from Respondent to Supplement His Petition for Review of the ID in Light of the Recent Decision in U.S. v. Newman (Chiasson), No. 13-19170Cr (con) (2d Cir. 12/10/14) Which Overturned Chiasson's Criminal Conviction
|
|
Release Date:
|
Release Number:
|
Other Release Numbers:
|
Name of Document:Initial Decision
|
|
Release Date:
|
Release Number:
|
Other Release Numbers:
|
Name of Document:ORDER INSTITUTING ADMINISTRATIVE PROCEEDINGS PURSUANT TO SECTION 203(f) OF THE INVESTMENT ADVISERS ACT OF 1940 AND NOTICE OF HEARING
|
|
Release Date:
|
Release Number:
|
Other Release Numbers:
|
Name of Document:Order Scheduling Hearing and Designating Presiding Judge
|
|
Release Date:
|
Release Number:
|
Other Release Numbers:
|
Name of Document:Order Postponing Hearing and Scheduling Prehearing Conference
|
|
Release Date:
|
Release Number:
|
Other Release Numbers:
|
Name of Document:Order Following Prehearing Conference
|
|
Release Date:
|
Release Number:
|
Other Release Numbers:
|
Name of Document:Order Granting Petition for Review and Scheduling Briefs
|
|
Release Date:
|
Release Number:
|
Other Release Numbers:
|
Name of Document:ORDER DISMISSING PROCEEDING
|
