Respondents

Angel Oak Capital Partners, LLC Peraza Capital and Investment, LLC Prabhu, Sreeniwas Wells, David W.

Administrative Proceeding File No. 3-17849 Table

Release Date
Release Number
Other Release Numbers
Name of Document
Release Date: Release Number:1383 Other Release Numbers: Name of Document: Initial Decision
Release Date: Release Number:AP-6603 Other Release Numbers: Name of Document: Order On Transcript Corrections
Release Date: Release Number:AP-6590 Other Release Numbers: Name of Document: Post-Hearing Order
Release Date: Release Number:AP-6579 Other Release Numbers: Name of Document: Order Denying the Division of Enforcement's Motion to Exclude a Witness
Release Date: Release Number:AP-6576 Other Release Numbers: Name of Document: Notice Following Final Prehearing Conference
Release Date: Release Number:AP-6556 Other Release Numbers: Name of Document: Notice of Hearing Location
Release Date: Release Number:AP-6542 Other Release Numbers: Name of Document: Order Addressing the Use of Prior Sworn Statements At the Hearing
Release Date: Release Number:AP-6536 Other Release Numbers: Name of Document: Order Following Prehearing Conference
Release Date: Release Number:AP-6522 Other Release Numbers: Name of Document: Order Scheduling Prehearing Conference
Release Date: Release Number:AP-6487 Other Release Numbers: Name of Document: Stay Order
Release Date: Release Number:AP-6477 Other Release Numbers: Name of Document: Order Scheduling Prehearing Conference
Release Date: Release Number:AP-6472 Other Release Numbers: Name of Document: Notice of Hearing Location and General Hearing Guidelines
Release Date: Release Number:AP-6444 Other Release Numbers: Name of Document: Order Following Prehearing Conference
Release Date: Release Number:AP-6437 Other Release Numbers: Name of Document: Order Denying the Division of Enforcement's Motion for Summary Disposition
Release Date: Release Number:AP-6426 Other Release Numbers: Name of Document: Order Scheduling Prehearing Conference
Release Date: Release Number:AP-6416 Other Release Numbers: Name of Document: Order Denying Summary Disposition Motion of Peraza Capital & Investment, LLC
Release Date: Release Number:AP-6338 Other Release Numbers: Name of Document: Order Granting Extension of Time
Release Date: Release Number:AP-6274 Other Release Numbers: Name of Document: Order Following Prehearing Conference
Release Date: Release Number:AP-6229 Other Release Numbers: Name of Document: Order Scheduling Hearing Date and Additional Prehearing Conference
Release Date: Release Number:AP-6190 Other Release Numbers: Name of Document: Order Setting Prehearing Schedule and Scheduling Prehearing Conference
Release Date: Release Number:AP-6050 Other Release Numbers: Name of Document: Order Following Reassignment
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-5925 Other Release Numbers: Name of Document: Notice
Release Date: Release Number:AP-5831 Other Release Numbers: Name of Document: Notice
Release Date: Release Number:AP-5762 Other Release Numbers: Name of Document: Prehearing Order
Release Date: Release Number:AP-5750 Other Release Numbers: Name of Document: Order
Release Date: Release Number:AP-5723 Other Release Numbers: Name of Document: Order Redesignating Presiding Judge
Release Date: Release Number:AP-5670 Other Release Numbers: Name of Document: Order Granting Postponement
Release Date: Release Number:AP-5655 Other Release Numbers: Name of Document: Order Setting Prehearing Schedule and Hearing Date
Release Date: Release Number:AP-5636 Other Release Numbers: Name of Document: Order On Motion for Summary Disposition
Release Date: Release Number:AP-5597 Other Release Numbers: Name of Document: Order Ratifying Prior Actions
Release Date: Release Number:AP-5297 Other Release Numbers: Name of Document: Notice to the Parties and Order Allowing New Evidence
Release Date: Release Number:AP-4947 Other Release Numbers: Name of Document: Order Following Prehearing Conference
Release Date: Release Number:AP-4895 Other Release Numbers: Name of Document: Order Following Prehearing Conference
Release Date: Release Number:AP-4841 Other Release Numbers: Name of Document: Order Granting Extension of Time to Respond to Motion for Summary Disposition
Release Date: Release Number:AP-4813 Other Release Numbers: Name of Document: Order Granting Further Extension of Time for Fact Witness Depositions
Release Date: Release Number:AP-4796 Other Release Numbers: Name of Document: Order Granting Extension of Time for Fact Witness Depositions
Release Date: Release Number:AP-4715 Other Release Numbers: Name of Document: Scheduling Order
Release Date: Release Number:AP-4680 Other Release Numbers: Name of Document: Order Postponing Hearing and Directing Parties to Hold a Prehearing Conference
Release Date: Release Number:AP-4616 Other Release Numbers: Name of Document: Order Scheduling Hearing and Designating Presiding Judge
Release Date: Release Number:34-80053 Other Release Numbers: Name of Document: Corrected Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order, and Notice of Hearing