Respondents

Smith, Gregory J.

Administrative Proceeding File No. 3-17657 Table

Release Date
Release Number
Other Release Numbers
Name of Document
Release Date: Release Number:34-80083 Other Release Numbers:
  • IC-32505
 Name of Document: Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934, and Section 9(b) of the Investment Company Act of 1940
Release Date: Release Number:AP-4471 Other Release Numbers: Name of Document: Stay Order
Release Date: Release Number:AP-4451 Other Release Numbers: Name of Document: Order On Prehearing Schedule
Release Date: Release Number:AP-4405 Other Release Numbers: Name of Document: Order Directing Parties to Hold a Prehearing Conference
Release Date: Release Number:AP-4328 Other Release Numbers: Name of Document: Order Scheduling Hearing and Designating Presiding Judge
Release Date: Release Number:34-79207 Other Release Numbers:
  • IC-32345
 Name of Document: Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934, and Section 9(b) of the Investment Company Act of 1940, and Notice of Hearing