Respondents

Walters, William L.

Administrative Proceeding File No. 3-16162 Table

Release Date
Release Number
Other Release Numbers
Name of Document
Release Date: Release Number:34-86275 Other Release Numbers:
  • IA-5275
 Name of Document: Order Vacating Municipal Securities Dealer, Municipal Advisor, Transfer Agent, and Nationally Recognized Statistical Rating Organization Bars
Release Date: Release Number:34-74376 Other Release Numbers:
  • IA-4035
 Name of Document: Order Making Findings and Imposing Remedial Sanctions
Release Date: Release Number:AP-2100 Other Release Numbers: Name of Document: Prehearing and Stay Order
Release Date: Release Number:AP-1931 Other Release Numbers: Name of Document: Postponement Order
Release Date: Release Number:AP-1854 Other Release Numbers: Name of Document: Order Scheduling Hearing and Designating Presiding Judge
Release Date: Release Number:34-73205 Other Release Numbers:
  • IA-3932
 Name of Document: Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing