Respondents

Helen, Jan E.

Administrative Proceeding File No. 3-17319 Table

Release Date
Release Number
Other Release Numbers
Name of Document
Release Date: Release Number:33-10291 Other Release Numbers:
  • 34-79870
  • IA-4623
  • IC-32434
 Name of Document: Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Section 8A of the Securities Act of 1933, Section 15(b) of the Securities Exchange Act of 1934, Section 203(f) of the Investment Advisers Act of 1940, and \
Section 9(b) of the Investment Company Act of 1940
Release Date: Release Number:AP-4323 Other Release Numbers: Name of Document: Order Staying Proceeding
Release Date: Release Number:AP-4312 Other Release Numbers: Name of Document: Order Following Second Prehearing Conference
Release Date: Release Number:AP-4204 Other Release Numbers: Name of Document: Order On Motion
Release Date: Release Number:AP-4077 Other Release Numbers: Name of Document: Order On Motion
Release Date: Release Number:AP-4026 Other Release Numbers: Name of Document: Order Following Prehearing Conference
Release Date: Release Number:AP-3978 Other Release Numbers: Name of Document: Order Postponing Hearing and Scheduling Prehearing Conference
Release Date: Release Number:AP-3958 Other Release Numbers: Name of Document: Order Scheduling Hearing and Designating Presiding Judge
Release Date: Release Number:33-10108 Other Release Numbers:
  • 34-78185
  • IA-4440
  • IC-32165
 Name of Document: Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Sections 15(b) and 21C 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, and Notice of Hearing