Administrative Proceeding File No. 3-16130
Respondents
Cooper, Sean C.
Administrative Proceeding File No. 3-16130 Table
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Release Date
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Release Number
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Other Release Numbers
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Name of Document
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|---|---|---|---|
| Release Date: | Release Number:IA-4063 |
Other Release Numbers:
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Name of Document: Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Sections 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-2311 | Other Release Numbers: | Name of Document: Stay Order |
| Release Date: | Release Number:AP-2241 | Other Release Numbers: | Name of Document: Order Modifying Prehearing Schedule |
| Release Date: | Release Number:AP-2204 | Other Release Numbers: | Name of Document: Order Setting Locations for Hearing and Prehearing Conference |
| Release Date: | Release Number:AP-2087 | Other Release Numbers: | Name of Document: Order Regarding Application to Quash Subpoena |
| Release Date: | Release Number:AP-2040 | Other Release Numbers: | Name of Document: Order Regarding Application to Quash Subpoena |
| Release Date: | Release Number:AP-1977 | Other Release Numbers: | Name of Document: Order Setting Prehearing Schedule |
| Release Date: | Release Number:AP-1903 | Other Release Numbers: | Name of Document: Order |
| Release Date: | Release Number:AP-1822 | Other Release Numbers: | Name of Document: Order Scheduling Hearing and Designating Presiding Judge |
| Release Date: | Release Number:IA-3920 |
Other Release Numbers:
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Name of Document: Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 203(f) and 203(k) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940 |