Administrative Proceeding File No. 3-17716
Respondents
Baker, Robert L. Herrera, Jacob B. Bowen, Michael D. Ballard, Terrence A.
Administrative Proceeding File No. 3-17716 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:1385 | Other Release Numbers: | Name of Document: Initial Decision On Default as to Terrence A. Ballard |
| Release Date: | Release Number:33-10664 |
Other Release Numbers:
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Name of Document: Order Making Findings and Imposing Disgorgement and Prejudgment Interest Pursuant to Section 8A of the Securities Act of 1933, Sections 15(b) and 21C of the Securities Exchange Act of 1934, and Section 9(b) of the Investment Company Act of 1940 as to \ Jacob B. Herrera |
| Release Date: | Release Number:33-10663 |
Other Release Numbers:
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Name of Document: Order Making Findings and Imposing Disgorgement and Prejudgment Interest Pursuant to Section 8A of the Securities Act of 1933, Sections 15(b) and 21C of the Securities Exchange Act of 1934, and Section 9(b) of the Investment Company Act of 1940 as to \ Robert L. Baker |
| Release Date: | Release Number:33-10665 |
Other Release Numbers:
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Name of Document: Order Making Findings and Imposing Disgorgement and Prejudgment Interest Pursuant to Section 8A of the Securities Act of 1933, Sections 15(b) and 21C of the Securities Exchange Act of 1934, and Section 9(b) of the Investment Company Act of 1940 as to \ Michael D. Bowen |
| Release Date: | Release Number:AP-6611 | Other Release Numbers: | Name of Document: Order Granting Extension |
| Release Date: | Release Number:AP-6589 | Other Release Numbers: | Name of Document: Stay Order and Order Requesting Motion for Default and Sanctions as to Terrence A. Ballard |
| Release Date: | Release Number:AP-6587 | Other Release Numbers: | Name of Document: Notice Regarding Motions to Compel and Procedural Schedule |
| Release Date: | Release Number:AP-6581 | Other Release Numbers: | Name of Document: Order On Motion to Compel Respondent Jacob B. Herrera's Compliance with Subpoena |
| Release Date: | Release Number:AP-6559 | Other Release Numbers: | Name of Document: Order Extending Prehearing Schedule |
| Release Date: | Release Number:AP-6537 | Other Release Numbers: | Name of Document: Order Extending Prehearing Schedule |
| Release Date: | Release Number:AP-6503 | Other Release Numbers: | Name of Document: Order Redesignating Presiding Judge |
| Release Date: | Release Number:AP-6462 | Other Release Numbers: | Name of Document: Order Adopting Proposed Amended Schedule as to Three Respondents |
| Release Date: | Release Number:AP-6428 | Other Release Numbers: | Name of Document: Order Requesting New Proposed Schedule |
| Release Date: | Release Number:AP-6186 | Other Release Numbers: | Name of Document: Order Adopting Proposed Schedule as to Three Respondents |
| Release Date: | Release Number:AP-6187 | Other Release Numbers: | Name of Document: Order to Show Cause as to Terrence A. Ballard |
| Release Date: | Release Number:AP-6067 | Other Release Numbers: | Name of Document: Order Following Reassignment as to Terrence A. Ballard |
| Release Date: | Release Number:AP-6066 | Other Release Numbers: | Name of Document: Order Following Reassignment as to Robert L. Baker, Jacob B. Herrera, and Michael D. Bowen |
| Release Date: | Release Number:AP-5955 | Other Release Numbers: | Name of Document: Chief Administrative Law Judge's Order Assigning Proceedings Post Lucia v. SEC |
| Release Date: | Release Number:AP-5954 | Other Release Numbers: | Name of Document: Notice from the Chief Administrative Law Judge |
| Release Date: | Release Number:AP-5933 | Other Release Numbers: | Name of Document: Notice of Extension of Stay |
| Release Date: | Release Number:AP-5845 | Other Release Numbers: | Name of Document: Notice of Stay |
| Release Date: | Release Number:AP-5719 | Other Release Numbers: | Name of Document: Order Adopting Proposed Schedule |
| Release Date: | Release Number:AP-5715 | Other Release Numbers: | Name of Document: Order Ratifying Prior Actions |
| Release Date: | Release Number:AP-5657 | Other Release Numbers: | Name of Document: Order Lifting Partial Stay, Allowing the Submission of New Evidence, and Directing the Parties to Hold a Prehearing Conference |
| Release Date: | Release Number:33-10471 |
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 8A of the Securities Act of 1933, Sections 15(b) and 21C of the Securities Exchange Act of 1934 and Section 9(b) of the Investment Company Act of 1\ 940 as to Robert L. Baker, Jacob B. Herrera, and Michael D. Bowen, and Ordering Additional Proceedings |
| Release Date: | Release Number:AP-5598 | Other Release Numbers: | Name of Document: Order Ratifying Prior Actions as to Terrence A. Ballard |
| Release Date: | Release Number:AP-5277 | Other Release Numbers: | Name of Document: Notice to the Parties, Order Ratifying Stay as to Three Respondents, and Order Allowing New Evidence as to Respondent Terrence A. Ballard |
| Release Date: | Release Number:AP-4897 | Other Release Numbers: | Name of Document: Protective Order |
| Release Date: | Release Number:AP-4799 | Other Release Numbers: | Name of Document: Stay Order |
| Release Date: | Release Number:AP-4717 | Other Release Numbers: | Name of Document: Scheduling Order |
| Release Date: | Release Number:AP-4662 | Other Release Numbers: | Name of Document: Order Extending Time to Hold Prehearing Conference |
| Release Date: | Release Number:AP-4652 | Other Release Numbers: | Name of Document: Order Finding Respondent Ballard in Default |
| Release Date: | Release Number:AP-4625 | Other Release Numbers: | Name of Document: Order Denying Respondent Herrera's Motion to Dismiss |
| Release Date: | Release Number:AP-4606 | Other Release Numbers: | Name of Document: Order to Show Cause |
| Release Date: | Release Number:AP-4605 | Other Release Numbers: | Name of Document: Order Granting Joint Motion for Extension |
| Release Date: | Release Number:AP-4563 | Other Release Numbers: | Name of Document: Order Directing Parties to Hold a Prehearing Conference |
| Release Date: | Release Number:AP-4503 | Other Release Numbers: | Name of Document: Order Postponing Hearing |
| Release Date: | Release Number:AP-4454 | Other Release Numbers: | Name of Document: Protective Order |
| Release Date: | Release Number:AP-4431 | Other Release Numbers: | Name of Document: Order Scheduling Hearing and Designating Presiding Judge |
| Release Date: | Release Number:33-10264 |
Other Release Numbers:
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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, and Section 9(b) of the Investment Company Act of 1940 and Notice of Hearing |