Administrative Proceeding File No. 3-15691

Respondents

Rathgeber, James A.

Release Date	Release Number	Other Release Numbers	Name of Document
Release Date: May 30, 2014	Release Number:606	Other Release Numbers:	Name of Document: Initial Decision
Release Date: March 19, 2014	Release Number:AP-1315	Other Release Numbers:	Name of Document: Prehearing Order
Release Date: March 11, 2014	Release Number:AP-1297	Other Release Numbers:	Name of Document: Postponement Order
Release Date: Feb. 12, 2014	Release Number:AP-1240	Other Release Numbers:	Name of Document: Postponement Order
Release Date: Feb. 3, 2014	Release Number:AP-1214	Other Release Numbers:	Name of Document: Order Scheduling Hearing and Designating Presiding Judge
Release Date: Jan. 27, 2014	Release Number:34-71399	Other Release Numbers:	Name of Document: Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, and Notice of Hearing

Release Date	Release Number	Other Release Numbers	Name of Document
Release Date: March 5, 2014	Release Number:	Other Release Numbers:	Name of Document:Letter of 3/5/14 (Answer) from Respondent to CALJ Murray Responding to Letter Signed by OS Assistant Secretary Jill Peterson
Release Date: April 25, 2014	Release Number:	Other Release Numbers:	Name of Document:Division's Motion for Summary Disposition
Release Date: April 25, 2014	Release Number:	Other Release Numbers:	Name of Document:Declaration of Michelle L. Ramos in Support of Division's Motion for Summary Disposition
Release Date: May 22, 2014	Release Number:	Other Release Numbers:	Name of Document:Division's Brief in Reply on Its Motion for Summary Disposition
Release Date: May 19, 2014	Release Number:	Other Release Numbers:	Name of Document:Letter of 5/14/14 from Respondent Rathgeber Responding to Division's Motion for Summary Disposition
Release Date: June 9, 2014	Release Number:	Other Release Numbers:	Name of Document:Letter of 6/3/14 from Respondent in Response to Initial Decision
Release Date: May 30, 2014	Release Number:	Other Release Numbers:	Name of Document:Initial Decision
Release Date: Jan. 27, 2014	Release Number:	Other Release Numbers:	Name of Document:Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, and Notice of Hearing
Release Date: July 11, 2014	Release Number:	Other Release Numbers:	Name of Document:Notice That Initial Decision Has Become Final
Release Date: Feb. 3, 2014	Release Number:	Other Release Numbers:	Name of Document:Order Scheduling Hearing and Designating Presiding Judge
Release Date: Feb. 12, 2014	Release Number:	Other Release Numbers:	Name of Document:Postponement Order
Release Date: March 12, 2014	Release Number:	Other Release Numbers:	Name of Document:Postponement Order
Release Date: March 19, 2014	Release Number:	Other Release Numbers:	Name of Document:Prehearing Order