Administrative Proceeding File No. 3-19142

Respondents

Graham, Jonathan Edward

Release Date	Release Number	Other Release Numbers	Name of Document
Release Date: July 7, 2020	Release Number:34-89237	Other Release Numbers:	Name of Document: Opinion of the Commission
Release Date: June 25, 2020	Release Number:34-89161	Other Release Numbers:	Name of Document: Order Extending Time to Issue Decision
Release Date: May 28, 2020	Release Number:34-88967	Other Release Numbers:	Name of Document: Order Extending Time to Issue Decision
Release Date: April 27, 2020	Release Number:34-88749	Other Release Numbers:	Name of Document: Order Extending Time to Issue Decision
Release Date: March 30, 2020	Release Number:34-88508	Other Release Numbers:	Name of Document: Order Extending Time to Issue Decision
Release Date: Dec. 23, 2019	Release Number:1393	Other Release Numbers:	Name of Document: id1393jeg.pdf
Release Date: May 14, 2019	Release Number:34-85857	Other Release Numbers:	Name of Document: Order Scheduling Briefs

Release Date	Release Number	Other Release Numbers	Name of Document
Release Date: April 11, 2019	Release Number:	Other Release Numbers:	Name of Document:Application for Review
Release Date: June 12, 2019	Release Number:	Other Release Numbers:	Name of Document:Mr. Graham's Brief on Commission's Jurisdiction over this Appeal
Release Date: July 29, 2019	Release Number:	Other Release Numbers:	Name of Document:Applicant's Reply to FINRAs Response to Applicant's Initial Brief on the Issue of Jurisdiction
Release Date: April 17, 2019	Release Number:	Other Release Numbers:	Name of Document:Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Section 21C of the Securities Exchange Act of 1934, Sections 203(e), 203(f) and 203(k) of the Investment Advisers Act of 1940, an\ d Section 9(b) of the Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order and Notice of Hearing
Release Date: March 30, 2020	Release Number:	Other Release Numbers:	Name of Document:Order Extending Time to Issue Decision
Release Date: April 27, 2020	Release Number:	Other Release Numbers:	Name of Document:Order Extending Time to Issue Decision
Release Date: May 28, 2020	Release Number:	Other Release Numbers:	Name of Document:Order Extending Time to Issue Decision
Release Date: June 25, 2020	Release Number:	Other Release Numbers:	Name of Document:Order Extending Time to Issue Decision
Release Date: July 7, 2020	Release Number:	Other Release Numbers:	Name of Document:Opinion of the Commission