2019-09-04
3-15141
Riad, Mohammed
Swanson, Kevin Timothy
/litigation/apdocuments/ap-3-15141.xml
2013-09-11
AP-861
Order
/alj/aljorders/2013/ap-861.pdf
2013-09-16
AP-871
Order
/alj/aljorders/2013/ap-871.pdf
2013-09-16
AP-875
Motion Requesting Extension of Time to File Initial Decision
/alj/aljorders/2013/ap-875.pdf
2012-12-19
34-68467
IA-3521
IC-30310
Order Instituting Administrative and Cease-and Desist Proceedings
/litigation/admin/2012/34-68467.pdf
2013-03-07
AP-756
Order
/alj/aljorders/2013/ap-756.pdf
2013-01-08
Resp Swanson's Answer
/litigation/apdocuments/3-15141-event-6.pdf
2013-01-08
Resp Riad's Answer
/litigation/apdocuments/3-15141-event-7.pdf
2013-04-10
Resps' Prehearing Brief
/litigation/apdocuments/3-15141-event-33.pdf
2013-04-10
Div's Prehearing Brief
/litigation/apdocuments/3-15141-event-34.pdf
2013-07-03
Div's Post-Hearing Brief
/litigation/apdocuments/3-15141-event-57.pdf
2013-07-03
Resps' Post-Hearing Brief
/litigation/apdocuments/3-15141-event-58.pdf
2013-07-29
Resp.'s Reply to Division's Post-Hearing Brief
/litigation/apdocuments/3-15141-event-62.pdf
2013-08-08
Division's Reply to Respondents' Post-Hearing Brief
/litigation/apdocuments/3-15141-event-63.pdf
2014-02-05
34-71481
IA-3772
IC-30906
Order Granting Extension
/litigation/opinions/2014/34-71481.pdf
2014-04-21
ID-590
Initial Decision
/alj/aljdec/2014/id590cff.pdf
2014-05-15
AP-1437
Order
/alj/aljorders/2014/ap-1437.pdf
2014-06-04
Respondents' Petition for Review of Initial Decision
/litigation/apdocuments/3-15141-event-80.pdf
2014-06-10
34-72360
IA-3851
IC-31076
Order Granting Petition for Review and Scheduling Briefs
/litigation/opinions/2014/34-72360.pdf
2014-06-23
34-72449
IA-3861
IC-31094
Order Granting Extension to File Brief in Support of Petition for Review
/litigation/opinions/2014/34-72449.pdf
2014-07-31
Opening Brief in Support of Respondents Mohammed Riad and Timothy Swanson's Appeal of Initial Decision by a Hearing Officer
/litigation/apdocuments/3-15141-event-85.pdf
2014-09-02
Division's Brief in Opposition to Respondents' Appeal of the Initial Decision
/litigation/apdocuments/3-15141-event-86.pdf
2014-09-12
Reply Brief in Further Support of Respondents Mohammed Riad and Kevin Timothy Swanson's Appeal of Initial Decision by a Hearing Officer.
/litigation/apdocuments/3-15141-event-89.pdf
2015-11-23
34-76509
IA-4278
IC-31915
Extension Order
/litigation/admin/2015/34-76509.pdf
2015-11-10
Request to Vacate Bar(s) for Respondent Riad
/litigation/apdocuments/3-15141-event-90.pdf
2015-11-10
Request to Vacate Bar(s) for Respondent Swanson
/litigation/apdocuments/3-15141-event-91.pdf
2015-12-11
Respondents' Reply Brief in Support of Motion to Dismiss
/litigation/apdocuments/3-15141-event-98.pdf
2015-12-08
Division's Response to Respondents' Motion to Dismiss
/litigation/apdocuments/3-15141-event-97.pdf
2015-11-20
Respondents' Motion to Dismiss
/litigation/apdocuments/3-15141-event-93.pdf
2015-11-20
Respondents' Brief in Support of Motion to Dismiss
/litigation/apdocuments/3-15141-event-94.pdf
2016-02-04
34-77059
IA-4328
IC-31984
Order Scheduling Oral Argument
/litigation/admin/2016/34-77059.pdf
2016-02-08
Respondents Riad and Swanson's Motion to Dismiss and Brief in Support of Motion to Dismiss
/litigation/apdocuments/3-15141-event-100.pdf
2016-02-16
Respondents' Reply Brief in Support of Motion to Dismiss
/litigation/apdocuments/3-15141-event-102.pdf
2016-02-12
Division's Response to Respondents' Second Motion to Dismiss
/litigation/apdocuments/3-15141-event-101.pdf
2016-06-13
34-78049
IA-4420
IC-32146
Opinion of the Commission
/litigation/opinions/2016/34-78049.pdf
2016-07-07
34-78252
IA-4445
IC-32172
Order Amending Opinion
/litigation/opinions/2016/34-78252.pdf
2016-07-08
34-78272
IA-4446
IC-32174
Partial Stay Order
/litigation/opinions/2016/34-78272.pdf
2016-07-01
Division's Response in Opposition to Respondents' Motion to Stay
/litigation/apdocuments/3-15141-event-113.pdf
2016-07-01
Respondents Reply Brief in Support of Motion for a Stay
/litigation/apdocuments/3-15141-event-114.pdf
2018-12-21
34-84919
IA-5091
IC-33338
Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Section 21C of the Securities Exchange Act of 1934, Sections 203(f) and 203(k) of the Investment Advisers Act of 1940, and Sections 9(b) and 9(f) of the Investment Company Act of 1940
/litigation/admin/2018/34-84919.pdf