Administrative Proceeding File No. 3-16187
Respondents
Mannion, Paul T., Jr. andReckles, Andrew S.
Administrative Proceeding File No. 3-16187 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:34-84146 |
Other Release Numbers:
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Name of Document: Order Vacating Municipal Securities Dealer and Transfer Agent Bars |
| Release Date: | Release Number:34-73297 |
Other Release Numbers:
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Name of Document: Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 15(b) 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, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order |