Administrative Proceeding File No. 3-16335
Respondents
Slade, Duane Hamblin
Administrative Proceeding File No. 3-16335 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-5277 | Other Release Numbers: | Name of Document: Order Vacating Broker, Dealer, Municipal Securities Dealer, and Transfer Agent Bars |
| Release Date: | Release Number:IA-4298 | Other Release Numbers: | Name of Document: Order Modifying Sanctions and Notice That Initial Decision, as Modified, Has Become Final |
| Release Date: | Release Number:799 | Other Release Numbers: | Name of Document: Initial Decision |
| Release Date: | Release Number:AP-2307 | Other Release Numbers: | Name of Document: Order Following Prehearing Conference |
| Release Date: | Release Number:AP-2270 | Other Release Numbers: | Name of Document: Order |
| Release Date: | Release Number:AP-2224 | Other Release Numbers: | Name of Document: Order Scheduling Hearing and Designating Presiding Judge |
| Release Date: | Release Number:IA-3994 | 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 |