Respondents

Caniford, Thomas H.

Administrative Proceeding File No. 3-17823 Table

Release Date
Release Number
Other Release Numbers
Name of Document
Release Date: Release Number:34-80343 Other Release Numbers:
  • IA-4675
 Name of Document: Order Making Findings and Imposing Remedial Sanctions Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940
Release Date: Release Number:AP-4663 Other Release Numbers: Name of Document: Stay Order
Release Date: Release Number:AP-4624 Other Release Numbers: Name of Document: Order Postponing Hearing
Release Date: Release Number:AP-4586 Other Release Numbers: Name of Document: Order Scheduling Hearing and Designating Presiding Judge
Release Date: Release Number:34-79952 Other Release Numbers:
  • IA-4638
 Name of Document: Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing