Respondents

Malouf, Dennis J.

Administrative Proceeding File No. 3-15918 Table

Release Date
Release Number
Other Release Numbers
Name of Document
Release Date: Release Number:33-10207 Other Release Numbers:
  • 34-78822
  • IA-4528
  • IC-32258
 Name of Document: Corrected Order Imposing Remedial Sanctions
Release Date: Release Number:33-10202 Other Release Numbers:
  • 34-78739
  • IA-4516
  • IC-32250
 Name of Document: Order Granting Partial Stay (Corrected)
Release Date: Release Number:33-10115 Other Release Numbers:
  • 34-78429
  • IA-4463
  • IC-32194
 Name of Document: Opinion of the Commission
Release Date: Release Number:33-9885 Other Release Numbers:
  • 34-75663
  • IA-4164
  • IC-31747
 Name of Document: Extension Order
Release Date: Release Number:33-9832 Other Release Numbers:
  • 34-75226
  • IA-4121
  • IC-31682
 Name of Document: Order Extending Time in Which to File Briefs
Release Date: Release Number:33-9775 Other Release Numbers:
  • 34-74991
  • IA-4088
  • IC-31605
 Name of Document: Order Granting Review and Scheduling Briefs
Release Date: Release Number:766 Other Release Numbers: Name of Document: Initial Decision
Release Date: Release Number:AP-2279 Other Release Numbers: Name of Document: Order
Release Date: Release Number:AP-2282 Other Release Numbers: Name of Document: Order
Release Date: Release Number:AP-2280 Other Release Numbers: Name of Document: Order
Release Date: Release Number:AP-2219 Other Release Numbers: Name of Document: Order On Division of Enforcement's Motion to Strike
Release Date: Release Number:AP-2200 Other Release Numbers: Name of Document: Order
Release Date: Release Number:AP-2189 Other Release Numbers: Name of Document: Order On Stipulations and Transcript Corrections
Release Date: Release Number:AP-2160 Other Release Numbers: Name of Document: Order
Release Date: Release Number:AP-2159 Other Release Numbers: Name of Document: Order
Release Date: Release Number:AP-2108 Other Release Numbers: Name of Document: Order Scheduling Posthearing Conference
Release Date: Release Number:AP-2059 Other Release Numbers: Name of Document: Post-Hearing Order
Release Date: Release Number:AP-2015 Other Release Numbers: Name of Document: Order Regarding Alan M. Wolper
Release Date: Release Number:AP-2008 Other Release Numbers: Name of Document: Order
Release Date: Release Number:AP-1991 Other Release Numbers: Name of Document: Order Granting Protective Order as to ACA Compliance Group Holdings, LLC
Release Date: Release Number:AP-1983 Other Release Numbers: Name of Document: Order Extending Time to File Prehearing Briefs
Release Date: Release Number:AP-1973 Other Release Numbers: Name of Document: Order as to ACA Compliance Group Holdings, LLC
Release Date: Release Number:AP-1971 Other Release Numbers: Name of Document: Order Following Prehearing Conference
Release Date: Release Number:AP-1963 Other Release Numbers: Name of Document: Order Excusing Witness
Release Date: Release Number:AP-1951A Other Release Numbers: Name of Document: Revised Order on Subpoena to UASNM, Inc.
Release Date: Release Number:AP-1924 Other Release Numbers: Name of Document: Order as to Capital Forensics, Inc.
Release Date: Release Number:AP-1913 Other Release Numbers: Name of Document: Amended Scheduling Order
Release Date: Release Number:AP-1906 Other Release Numbers: Name of Document: Order to Show Cause as to Capital Forensics, Inc., and UASNM, Inc.
Release Date: Release Number:AP-1868 Other Release Numbers: Name of Document: Order Setting Hearing Location
Release Date: Release Number:AP-1856 Other Release Numbers: Name of Document: Scheduling Order
Release Date: Release Number:AP-1842 Other Release Numbers: Name of Document: Order Redesignating Presiding Judge
Release Date: Release Number:AP-1831 Other Release Numbers: Name of Document: Order Granting Motion to Admit Prior Sworn Statement
Release Date: Release Number:AP-1839 Other Release Numbers: Name of Document: Order Quashing in Part and Modifying Subpoena Request to National Advisors Holdings, Inc. d/b/a National Advisors Trust Company, FSB
Release Date: Release Number:AP-1827 Other Release Numbers: Name of Document: Order Quashing in Part and Modifying Subpoena Requests to Uasnm, Inc., and Albuquerque Business Law P.C.
Release Date: Release Number:AP-1817 Other Release Numbers: Name of Document: Order Quashing in Part and Modifying Subpoena Request to Aca Compliance Group Holdings, LLC
Release Date: Release Number:AP-1816 Other Release Numbers: Name of Document: Order Quashing in Part and Modifying Subpoena Request to Fidelity Brokerage Services, LLC
Release Date: Release Number:AP-1806 Other Release Numbers: Name of Document: Order Regarding Application to Quash Subpoena
Release Date: Release Number:AP-1790 Other Release Numbers: Name of Document: Order Setting Hearing Location
Release Date: Release Number:AP-1780 Other Release Numbers: Name of Document: Order Regarding Motions to Quash Subpoenas
Release Date: Release Number:AP-1776 Other Release Numbers: Name of Document: Order Regarding Application to Quash Subpoena
Release Date: Release Number:AP-1740 Other Release Numbers: Name of Document: Order On Subpoenas
Release Date: Release Number:AP-1656 Other Release Numbers: Name of Document: General Prehearing Order
Release Date: Release Number:AP-1643 Other Release Numbers: Name of Document: Order Setting Prehearing Schedule
Release Date: Release Number:AP-1594 Other Release Numbers: Name of Document: Second Order Extending Time to File Answer
Release Date: Release Number:AP-1577 Other Release Numbers: Name of Document: Order Extending Time to File Answer
Release Date: Release Number:AP-1553 Other Release Numbers: Name of Document: Order Postponing Hearing and Scheduling Prehearing Conference
Release Date: Release Number:AP-1504 Other Release Numbers: Name of Document: Order Scheduling Hearing and Designating Presiding Judge
Release Date: Release Number:33-9597 Other Release Numbers:
  • 34-72352
  • IA-3847
  • IC-31073
 Name of Document: Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8a of the Securities Act of 1933, Sections 15(b), 15C(c) and 21C of the Securities Exchange Act of 1934, Sections 203(f) and 203(k) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940, and Notice of Hearing