Order Instituting Admin Proceedings Pursuant to Section 203(f) of the Advisers Act, Making Findings, and Imposing Remedial Sanctions

2018-09-14 3-15285 Whitman, Douglas F. /litigation/apdocuments/ap-3-15285.xml 2013-04-18 IA-3589 Order Instituting Admin Proceedings Pursuant to Section 203(f) of the Advisers Act, Making Findings, and Imposing Remedial Sanctions /litigation/admin/2013/ia-3589.pdf 2016-03-28 Request to Vacate Bar(s) From Association With Nationally Recognized Statistical Rating Organizations and/or Municipal Advisors in Light of Koch v. SEC /litigation/apdocuments/3-15285-event-2.pdf 2016-05-27 IA-4405 Order Vacating Nationally Recognized Statistical Rating Organization and Municipal Advisor Bars /litigation/opinions/2016/ia-4405.pdf 2018-09-14 IA-5019 Order Vacating Broker, Dealer, Municipal Securities Dealer, and Transfer Agent Bars /litigation/opinions/2018/ia-5019.pdf