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  <creationDate>2014-02-02</creationDate>
  <apCaseHeader>
    <fileNumbers>
      <fileNumber>3-15059</fileNumber>
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    <respondents>
      <respondent>Brokaw, Edward S.</respondent>
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    <caseLink>/litigation/apdocuments/ap-3-15059.xml</caseLink>
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  <releaseItem>
    <date>2013-11-15</date>
    <releaseNumber>34-70883</releaseNumber>
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    <title>Opinion</title>
    <secLink>/litigation/opinions/2013/34-70883.pdf</secLink>
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  <releaseItem>
    <date>2012-10-03</date>
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    <title>Application for Review</title>
    <secLink>/litigation/apdocuments/3-15059-event-1.pdf</secLink>
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  <releaseItem>
    <date>2012-12-04</date>
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    <title>Appl's Opening Brief in Support of Application for Review</title>
    <secLink>/litigation/apdocuments/3-15059-event-6.pdf</secLink>
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  <releaseItem>
    <date>2013-01-04</date>
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    <title>Finra's Brief in Opposition to Application for Review</title>
    <secLink>/litigation/apdocuments/3-15059-event-9.pdf</secLink>
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  <releaseItem>
    <date>2013-01-17</date>
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    <title>Appl's Reply Brief</title>
    <secLink>/litigation/apdocuments/3-15059-event-10.pdf</secLink>
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