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  <creationDate>2014-02-02</creationDate>
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    <fileNumbers>
      <fileNumber>3-15049</fileNumber>
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    <respondents>
      <respondent>Morrison, Neil M. M.</respondent>
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  <releaseItem>
    <date>2012-09-27</date>
    <releaseNumber>34-67935</releaseNumber>
    <otherReleaseNumbers>
      <otherReleaseNumber>IC-30223</otherReleaseNumber>
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    <title>Order Instituting Administrative and Cease-and-Desist Proceedings, and Notice of Hearing</title>
    <secLink>/litigation/admin/2012/34-67935.pdf</secLink>
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  <releaseItem>
    <date>2013-05-23</date>
    <releaseNumber>34-69627</releaseNumber>
    <otherReleaseNumbers>
      <otherReleaseNumber>IC-30540</otherReleaseNumber>
    </otherReleaseNumbers>
    <title>Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order</title>
    <secLink>/litigation/admin/2013/34-69627.pdf</secLink>
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  <releaseItem>
    <date>2012-12-12</date>
    <releaseNumber>34-67935</releaseNumber>
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      <otherReleaseNumber>IC-30223</otherReleaseNumber>
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    <title>Resp's Answer</title>
    <secLink>/litigation/apdocuments/3-15049-event-11.pdf</secLink>
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