Administrative Proceeding File No. 3-16463
Respondents
Aegis Capital, LLC Circle One Wealth Management, LLC Lamm, Diane W. Strategic Consulting Advisors, LLC Osunkwo, David I.
Administrative Proceeding File No. 3-16463 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:34-83106 |
Other Release Numbers:
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Name of Document: Order Dismissing Proceedings |
| Release Date: | Release Number:AP-5250 | Other Release Numbers: | Name of Document: Notice to the Parties and Order Ratifying Stay |
| Release Date: | Release Number:34-81405 |
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 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 Invest\ ment Company Act of 1940 |
| Release Date: | Release Number:IA-4744 |
Other Release Numbers:
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Name of Document: Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings and Imposing Remedial Sanctions 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:1053 | Other Release Numbers: | Name of Document: Initial Decision of Default |
| Release Date: | Release Number:AP-4039 | Other Release Numbers: | Name of Document: Order Granting Division's Motion for Leave to File Revised Default Motion Out of Time |
| Release Date: | Release Number:AP-4016 | Other Release Numbers: | Name of Document: Order |
| Release Date: | Release Number:AP-4007 | Other Release Numbers: | Name of Document: Stay Order as to Strategic Consulting Advisors, LLC, and David I. Osunkwo |
| Release Date: | Release Number:AP-4001 | Other Release Numbers: | Name of Document: Order Regarding Transcript Corrections |
| Release Date: | Release Number:AP-3991 | Other Release Numbers: | Name of Document: Order |
| Release Date: | Release Number:AP-3981 | Other Release Numbers: | Name of Document: Stay Order as to Diane W. Lamm |
| Release Date: | Release Number:AP-3971 | Other Release Numbers: | Name of Document: Order On Division's Objections |
| Release Date: | Release Number:AP-3961 | Other Release Numbers: | Name of Document: Order Denying Continuance |
| Release Date: | Release Number:AP-3947 | Other Release Numbers: | Name of Document: Order Scheduling Prehearing Conference |
| Release Date: | Release Number:AP-3846 | Other Release Numbers: | Name of Document: Order Setting Hearing Location |
| Release Date: | Release Number:34-77772 |
Other Release Numbers:
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Name of Document: Order Denying Motion to Sever |
| Release Date: | Release Number:AP-3759 | Other Release Numbers: | Name of Document: Scheduling Order |
| Release Date: | Release Number:AP-3692 | Other Release Numbers: | Name of Document: Order Following Prehearing Conference |
| Release Date: | Release Number:AP-3663 | Other Release Numbers: | Name of Document: Order |
| Release Date: | Release Number:AP-3653 | Other Release Numbers: | Name of Document: Order Lifting Stay |
| Release Date: | Release Number:34-77115 |
Other Release Numbers:
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Name of Document: Extension Order |
| Release Date: | Release Number:AP-3474 | Other Release Numbers: | Name of Document: Second Order Extending Stay |
| Release Date: | Release Number:AP-3103 | Other Release Numbers: | Name of Document: Order Extending Stay |
| Release Date: | Release Number:AP-2794 | Other Release Numbers: | Name of Document: ap-2794.pdf |
| Release Date: | Release Number:AP-2770 | Other Release Numbers: | Name of Document: Order Regarding Briefing On Motion to Stay Proceeding |
| Release Date: | Release Number:AP-2732 | Other Release Numbers: | Name of Document: Order On Motion for More Definite Statement |
| Release Date: | Release Number:AP-2704 | Other Release Numbers: | Name of Document: Order Setting Prehearing Schedule and General Prehearing Rules |
| Release Date: | Release Number:AP-2684 | Other Release Numbers: | Name of Document: Order to Show Cause as to Aegis Capital, LLC, and Circle One Wealth Management, LLC |
| Release Date: | Release Number:AP-2671 | Other Release Numbers: | Name of Document: Order Following Prehearing Conference |
| Release Date: | Release Number:AP-2571 | Other Release Numbers: | Name of Document: Order Rescheduling Prehearing Conference |
| Release Date: | Release Number:AP-2512 | Other Release Numbers: | Name of Document: Order Postponing Hearing and Scheduling Prehearing Conference |
| Release Date: | Release Number:AP-2495 | Other Release Numbers: | Name of Document: Order Scheduling Hearing and Designating Presiding Judge |
| Release Date: | Release Number:34-74608 |
Other Release Numbers:
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Name of Document: Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 15(b)(6) of the Securities Exchange Act of 1934, Sections 203(e), 203(f), and 203(k) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940 |