Administrative Proceeding File No. 3-16337

Respondents

Williams, Brent F.

Release Date	Release Number	Other Release Numbers	Name of Document
Release Date: Aug. 17, 2015	Release Number:859	Other Release Numbers:	Name of Document: Initial Decision
Release Date: April 13, 2015	Release Number:AP-2533	Other Release Numbers:	Name of Document: Order
Release Date: April 1, 2015	Release Number:AP-2480	Other Release Numbers:	Name of Document: Prehearing Order
Release Date: March 18, 2015	Release Number:AP-2435	Other Release Numbers:	Name of Document: Scheduling Order
Release Date: Feb. 2, 2015	Release Number:AP-2276	Other Release Numbers:	Name of Document: Postponement Order
Release Date: Jan. 15, 2015	Release Number:AP-2225	Other Release Numbers:	Name of Document: Order Scheduling Hearing and Designating Presiding Judge
Release Date: Jan. 13, 2015	Release Number:IA-3996	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: Feb. 2, 2015	Release Number:	Other Release Numbers:	Name of Document:Division's Motions for Adjournment of Hearing and Prehearing Conference.
Release Date: Feb. 2, 2015	Release Number:	Other Release Numbers:	Name of Document:Division's Brief in Support of Motions for Adjournment of Hearing and Prehearing Conference.
Release Date: Feb. 18, 2015	Release Number:	Other Release Numbers:	Name of Document:Letter of 2/6/15 to Os from Respondent Re Proceeding and Resulting Hearing Are Premature - Given Fact That Case Is Not Fully Adjudicated, and That It Is in Appeal Process in the 9Th Circuit of the Federal Court System, with Attached Affidavit.
Release Date: April 28, 2015	Release Number:	Other Release Numbers:	Name of Document:Division's Motion for Summary Disposition Against Respondent Pursuant to Commission Rule of Practice 250
Release Date: July 24, 2015	Release Number:	Other Release Numbers:	Name of Document:Declaration of Melissia A. Buckhalter-Honore in Support of Reply Brief in Support of Division's Motion for Summary Disposition Against Respondent
Release Date: Aug. 17, 2015	Release Number:	Other Release Numbers:	Name of Document:Initial Decision
Release Date: Jan. 13, 2015	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: Oct. 13, 2015	Release Number:	Other Release Numbers:	Name of Document:Notice That Initial Decision Has Become Final
Release Date: Jan. 15, 2015	Release Number:	Other Release Numbers:	Name of Document:Order Scheduling Hearing and Designating Presiding Judge
Release Date: Feb. 2, 2015	Release Number:	Other Release Numbers:	Name of Document:Postponement Order
Release Date: March 18, 2015	Release Number:	Other Release Numbers:	Name of Document:Scheduling Order
Release Date: April 1, 2015	Release Number:	Other Release Numbers:	Name of Document:Prehearing Order
Release Date: April 13, 2015	Release Number:	Other Release Numbers:	Name of Document:Order