Administrative Proceeding File No. 3-16803

Respondents

Kara, Maher F.

Release Date	Release Number	Other Release Numbers	Name of Document
Release Date: March 29, 2018	Release Number:34-82966	Other Release Numbers:	Name of Document: Order Vacating Collateral Bars
Release Date: March 15, 2016	Release Number:979	Other Release Numbers:	Name of Document: Initial Decision
Release Date: Jan. 29, 2016	Release Number:AP-3552	Other Release Numbers:	Name of Document: Order
Release Date: Oct. 5, 2015	Release Number:AP-3197	Other Release Numbers:	Name of Document: Prehearing Order
Release Date: Sept. 28, 2015	Release Number:AP-3171	Other Release Numbers:	Name of Document: Postponement Order
Release Date: Sept. 11, 2015	Release Number:AP-3114	Other Release Numbers:	Name of Document: Order Scheduling Hearing and Designating Presiding Judge
Release Date: Sept. 10, 2015	Release Number:34-75880	Other Release Numbers:	Name of Document: Order Instituting Administrative Proceedings Pursuant to SectionÂ 15(b) of the Securities Exchange Act of 1934 and Notice of Hearing

Release Date	Release Number	Other Release Numbers	Name of Document
Release Date: Oct. 6, 2015	Release Number:	Other Release Numbers:	Name of Document:Respondent's Answer
Release Date: Nov. 13, 2015	Release Number:	Other Release Numbers:	Name of Document:Division's Motion For Summary Disposition Against Respondent and Supporting Memorandum of Law
Release Date: Nov. 16, 2015	Release Number:	Other Release Numbers:	Name of Document:Amended Answer
Release Date: Jan. 22, 2016	Release Number:	Other Release Numbers:	Name of Document:Respondent's Reply in Support of His Cross-Motion for Summary Disposition
Release Date: Jan. 11, 2016	Release Number:	Other Release Numbers:	Name of Document:Division's Reply in Support of its Motion for Summary Disposition and in Opposition to Respondent's Motion for Summary Disposition
Release Date: Dec. 21, 2015	Release Number:	Other Release Numbers:	Name of Document:Respondent's Opposition to Division's Motion For Summary Disposition, Cross-Motion For Summary Disposition, and Supporting Memorandum of Law
Release Date: Feb. 14, 2017	Release Number:	Other Release Numbers:	Name of Document:Respondent's Unopposed Motion to Vacate Investment Adviser, Municipal Securities Dealer, and Trasnsfer Agent Bars, and Supporting Memorandum of Law
Release Date: March 15, 2016	Release Number:	Other Release Numbers:	Name of Document:Initial Decision
Release Date: Sept. 10, 2015	Release Number:	Other Release Numbers:	Name of Document:Order Instituting Administrative Proceedings Pursuant to SectionÂ 15(b) of the Securities Exchange Act of 1934 and Notice of Hearing
Release Date: April 27, 2016	Release Number:	Other Release Numbers:	Name of Document:Notice That Initial Decision Has Become Final
Release Date: Sept. 11, 2015	Release Number:	Other Release Numbers:	Name of Document:Order Scheduling Hearing and Designating Presiding Judge
Release Date: Sept. 28, 2015	Release Number:	Other Release Numbers:	Name of Document:Postponement Order
Release Date: Oct. 5, 2015	Release Number:	Other Release Numbers:	Name of Document:Prehearing Order
Release Date: Jan. 29, 2016	Release Number:	Other Release Numbers:	Name of Document:Order
Release Date: March 29, 2018	Release Number:	Other Release Numbers:	Name of Document:Order Vacating Collateral Bars