Administrative Proceeding File No. 3-16057

Respondents

Pappas, John Thomas

Release Date	Release Number	Other Release Numbers	Name of Document
Release Date: Dec. 19, 2014	Release Number:IA-3985	Other Release Numbers:	Name of Document: Notice That Initial Decision Has Become Final
Release Date: Oct. 20, 2014	Release Number:695	Other Release Numbers:	Name of Document: Initial Decision Making Findings and Imposing Sanction by Default
Release Date: Oct. 1, 2014	Release Number:AP-1875	Other Release Numbers:	Name of Document: Postponement Order
Release Date: Sept. 9, 2014	Release Number:AP-1785	Other Release Numbers:	Name of Document: Order Scheduling Hearing and Designating Presiding Judge
Release Date: Sept. 5, 2014	Release Number:IA-3912	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
Release Date: Oct. 20, 2014	Release Number:	Other Release Numbers:	Name of Document:Initial Decision Making Findings and Imposing Sanction by Default
Release Date: Sept. 5, 2014	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: Dec. 19, 2014	Release Number:	Other Release Numbers:	Name of Document:Notice That Initial Decision Has Become Final
Release Date: Sept. 9, 2014	Release Number:	Other Release Numbers:	Name of Document:Order Scheduling Hearing and Designating Presiding Judge
Release Date: Oct. 1, 2014	Release Number:	Other Release Numbers:	Name of Document:Postponement Order