Administrative Proceeding File No. 3-17686
Respondents
Lee, James Y.
Administrative Proceeding File No. 3-17686 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:1140 | Other Release Numbers: | Name of Document: Initial Decision On Default |
| Release Date: | Release Number:AP-4516 | Other Release Numbers: | Name of Document: Order to Show Cause |
| Release Date: | Release Number:AP-4488 | Other Release Numbers: | Name of Document: Order Following Prehearing Conference |
| Release Date: | Release Number:AP-4435 | Other Release Numbers: | Name of Document: Order Postponing Hearing and Scheduling Prehearing Conference |
| Release Date: | Release Number:AP-4374 | Other Release Numbers: | Name of Document: Order Scheduling Hearing and Designating Presiding Judge |
| Release Date: | Release Number:IA-4571 | 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 |