2017-12-22
3-14880
Jantzen, John
/litigation/apdocuments/ap-3-14880.xml
2012-05-15
34-66991
Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing
/litigation/admin/2012/34-66991.pdf
2012-07-05
AP-709
Order Denying Respondent’s Motion Requesting Release of Information Without Prejudice
/alj/aljorders/2012/ap709ce.pdf
2012-11-06
ID-472
Initial Decision
/alj/aljdec/2012/id472ce.pdf
2017-06-27
AP-4894
Order Regarding Modification of Associational Bar
/alj/aljorders/2017/ap-4894.pdf
2017-08-11
34-81384
Order Scheduling Briefs
/litigation/opinions/2017/34-81384.pdf
2017-12-01
34-82201
Order Denying Motion to Modify Bar from Association with a Broker-Dealer and Vacating Collateral Bars
/litigation/opinions/2017/34-82201.pdf
2017-07-25
Respondent's Request for Modification/Relief in Associational Bar, with Exhibit 1 and Proposed Order
/litigation/apdocuments/3-14880-event-20.pdf
2017-08-23
Response of the Division of Enforcement to Request for Modification/Relief in Respect to Associational Bar
/litigation/apdocuments/3-14880-event-22.pdf