2019-09-27
3-15574
Harding Advisory LLC
Chau, Wing F.
/litigation/apdocuments/ap-3-15574.xml
2013-10-18
33-9467
IA-3696
IC-30746
Order Instituting Administrative and Cease-and Desist Proceedings
/litigation/admin/2013/33-9467.pdf
2013-10-21
AP-977
Order Scheduling Hearing and Designating Presiding Judge
/alj/aljorders/2013/ap-977.pdf
2013-11-13
AP-1037
Order Scheduling Prehearing Conference
/alj/aljorders/2013/ap-1037.pdf
2013-11-18
AP-1048
Order Setting Prehearing Schedule
/alj/aljorders/2013/ap-1048.pdf
2013-11-18
AP-1049
General Prehearing Order
/alj/aljorders/2013/ap-1049.pdf
2013-12-06
AP-1085
Order on Motion for Extension of Time
/alj/aljorders/2013/ap-1085.pdf
2013-12-30
AP-1131
Order
/alj/aljorders/2013/ap-1131.pdf
2014-01-17
AP-1180
Order Granting Extension of Time
/alj/aljorders/2014/ap-1180.pdf
2014-01-24
AP-1195
Order Denying Respondents' Motion for Adjournment
/alj/aljorders/2014/ap-1195.pdf
2014-02-10
AP-1230
Order Setting Briefing Schedule for Motion to Quash Subpoenas
/alj/aljorders/2014/ap-1230.pdf
2014-02-12
AP-1239
Order Denying Respondents' Motion for More Definite Statement
/alj/aljorders/2014/ap-1239.pdf
2014-02-19
AP-1252
Order Denying Respondents' Motion for Reconsideration
/alj/aljorders/2014/ap-1252.pdf
2014-02-24
AP-1256
Order Granting in Part Respondents' Subpoena Reques
/alj/aljorders/2014/ap-1256.pdf
2014-02-24
AP-1259
Order Resetting Hearing Location
/alj/aljorders/2014/ap-1259.pdf
2014-01-10
Respondents Harding Advisory LLC and Wing F. Chau's Answer
/litigation/apdocuments/3-15574-event-19.pdf
2014-02-27
Respondents' Petition for Interlocutory Review and Emergency Motion to Stay the Hearing and Prehearing Deadlines
/litigation/apdocuments/3-15574-event-47.pdf
2014-02-27
Declaration of Ashley Baynham in Support of Respondents' Petition for Interlocutory Review
/litigation/apdocuments/3-15574-event-48.pdf
2014-03-11
AP-1295
Order Scheduling Prehearing Conference
/alj/aljorders/2014/ap-1295.pdf
2014-03-14
33-9561
IA-3796
IC-30892
Order Denying Petition for Interlocutory Review and Emergency Motion to Stay the Hearing and Prehearing Deadlines
/litigation/opinions/2014/33-9561.pdf
2014-03-18
AP-1312
Order Following Prehearing Conference
/alj/aljorders/2014/ap-1312.pdf
2014-03-05
Respondents' Reply in Further Support of Petition for Interlocutory Review and Emergency Motion to Stay the Hearing and Prehearing Deadlines
/litigation/apdocuments/3-15574-event-53.pdf
2014-03-05
Division's Opposition to Respondents' Petition for Interlocutory Review and Emergency Motion to Stay Hearing and Prehearing Deadlines
/litigation/apdocuments/3-15574-event-56.pdf
2014-03-24
Division's Pre Hearing Brief
/litigation/apdocuments/3-15574-event-77.pdf
2014-03-24
Respondents' Prehearing Brief
/litigation/apdocuments/3-15574-event-79.pdf
2014-03-26
Respondents' Corrected Prehearing Brief
/litigation/apdocuments/3-15574-event-81.pdf
2014-05-01
AP-1408
Protective Order
/alj/aljorders/2014/ap-1408.pdf
2014-05-01
AP-1411
Post-Hearing Scheduling Order
/alj/aljorders/2014/ap-1411.pdf
2014-06-02
AP-1479
Order Setting Post-Hearing Conference
/alj/aljorders/2014/ap-1479.pdf
2014-06-06
AP-1496
Order Amending Post-Hearing Schedule
/alj/aljorders/2014/ap-1496.pdf
2014-06-13
Division's Posthearing Brief
/litigation/apdocuments/3-15574-event-131.pdf
2014-06-30
Respondents' Post Hearing Brief
/litigation/apdocuments/3-15574-event-132.pdf
2014-07-09
Resp's Corrected Post Hearing Brief ("Memorandum of Points and Authorities")
/litigation/apdocuments/3-15574-event-133.pdf
2014-07-14
Division's Posthearing Reply Brief
/litigation/apdocuments/3-15574-event-138.pdf
2014-07-18
AP-1627
Order
/alj/aljorders/2014/ap-1627.pdf
2014-07-18
Letter of 7/17/14 to ALJ Elliot from Respondents
/litigation/apdocuments/3-15574-event-141.pdf
2014-08-05
AP-1670
Order On Joint Motion to Correct Transcript
/alj/aljorders/2014/ap-1670.pdf
2014-08-11
AP-1690
Motion for Extension
/alj/aljorders/2014/ap-1690.pdf
2014-08-18
AP-1709
Order
/alj/aljorders/2014/ap-1709.pdf
2014-08-20
Resp's Post Hearing Memorandum of Points and Authorities (Second Corrected)
/litigation/apdocuments/3-15574-event-153.pdf
2014-08-21
33-9632
IA-3901
IC-31219
Order Granting Extension
/litigation/opinions/2014/33-9632.pdf
2015-01-12
ID-734
Initial Decision
/alj/aljdec/2015/id734ce.pdf
2015-02-02
Respondents' Petition for Review of the Initial Decision
/litigation/apdocuments/3-15574-event-156.pdf
2015-02-10
Notice of Change of Address. (Atty Ashley Baynham, Formerly At Nixon Peabody LLP and as of 2/9/15 Is Now At Brown Rudnick LLP On Behalf of Respondents.)
/litigation/apdocuments/3-15574-event-157.pdf
2015-02-12
Division's Cross-Petition for Review of the Initial Decision
/litigation/apdocuments/3-15574-event-160.pdf
2015-02-23
33-9731
IA-4031
IC-31468
IC-31467
Order Granting Petition for Review and Scheduling Briefs
/litigation/opinions/2015/33-9731.pdf
2015-03-02
Motion for Extension of Due Dates and Motion for Authority to Exceed the Word Limit
/litigation/apdocuments/3-15574-event-162.pdf
2015-03-03
Division's Opposition to Respondents' Request for Extended Briefing Schedule and Permission to File Oversize Briefs
/litigation/apdocuments/3-15574-event-164.pdf
2015-03-09
33-9736
IA-4041
IC-31500
Order Granting in Part Motion for Extension of Time and Denying Motion to Exceed Word Limit
/litigation/admin/2015/33-9736.pdf
2015-04-01
Respondents' Motion for Oral Argument
/litigation/apdocuments/3-15574-event-166.pdf
2015-04-01
Respondents' Opening Brief in Support of Their Petition for Review
/litigation/apdocuments/3-15574-event-167.pdf
2015-04-01
Division's Petition for Review
/litigation/apdocuments/3-15574-event-168.pdf
2015-04-28
33-9761
IA-4071
IC-31583
Extension Order
/litigation/admin/2015/33-9761.pdf
2015-04-30
33-9763
IA-4075
IC-31588
Order Directing the Filing of Supplemental Briefs
/litigation/opinions/2015/33-9763.pdf
2015-05-08
Division's Opposition to Respondents' Petition for Review of the Initial Decision
/litigation/apdocuments/3-15574-event-174.pdf
2015-05-08
Respondents' Opposition to Division's Petition for Review of the Initial Decision
/litigation/apdocuments/3-15574-event-175.pdf
2015-05-22
Division's Reply in Further Support of the Appeal
/litigation/apdocuments/3-15574-event-176.pdf
2015-05-26
Respondent's Reply Brief in Further Support of Their Petition for Review
/litigation/apdocuments/3-15574-event-177.pdf
2015-07-02
Division's Response to Respondents' Supplemental Briefing in Support of Appeal Regarding Their Due Process Claims
/litigation/apdocuments/3-15574-event-179.pdf
2015-06-09
Respondents' Supplemental Briefing in Support of Appeal Regarding Their Due Process Claims
/litigation/apdocuments/3-15574-event-178.pdf
2015-07-17
Respondents' Reply Brief in Further Support of Their Due Process Claims
/litigation/apdocuments/3-15574-event-180.pdf
2015-10-30
Divisions' Response to Respondents' Motion to Submit Supplemental Briefing in Support of Respondents' Appeal Regarding Their Appointments Clause Claims & Supplemental Briefing in Support of Those Claims
/litigation/apdocuments/3-15574-event-183.pdf
2015-10-23
Respondents' Motion to Submit Supplemental Briefing in Support of Their Appeal [Posting Excludes Exhibits]
/litigation/apdocuments/3-15574-event-181.pdf
2015-11-04
Respondents' Reply Brief in Further Support of Their Supplemental Briefing Regarding their Appointments Clause Claim
/litigation/apdocuments/3-15574-event-184.pdf
2016-05-26
33-10083
IA-4395
IC-32128
Order Scheduling Oral Argument
/litigation/admin/2016/33-10083.pdf
2016-06-15
33-10097
IA-4427
IC-32150
Order Rescheduling Oral Argument
/litigation/admin/2016/33-10097.pdf
2016-07-29
33-10117
IA-4467
IC-32200
Order Denying Motion for Additional Time for Oral Argument
/litigation/admin/2016/33-10117.pdf
2017-01-06
33-10277
IA-4600
IC-32415
Opinion of the Commission
/litigation/opinions/2017/33-10277.pdf
2017-02-21
Respondents' Motion to Stay the Commission's Order Imposing Remedial Sanctions
Pending Judicial Review
/litigation/apdocuments/3-15574-event-201.pdf
2017-02-28
Division's Opposition to Respondents' Motion to Stay Sanctions
/litigation/apdocuments/3-15574-event-202.pdf
2017-03-29
33-10330
IA-4674
IC-32583
Partial Stay Order
/litigation/opinions/2017/33-10330.pdf
2017-05-19
Letter dated 5/19/17 from Resps to Sec'y Fields requesting reinstatement of
investment adviser registration
/litigation/apdocuments/3-15574-event-205.pdf
2018-09-17
33-10549
IA-5032
IC-33236
Order Vacating Broker, Dealer, Municipal Securities Dealer, and Transfer Agent Bars
/litigation/opinions/2018/33-10549.pdf
2019-03-20
33-10617
IA-5204
IC-33405
Order
/litigation/opinions/2019/33-10617.pdf
2019-04-29
AP-6553
Order Designating Presiding Judge
/alj/aljorders/2019/ap-6553.pdf
2019-05-06
AP-6565
Order Following Reassignment
/alj/aljorders/2019/ap-6565.pdf
2019-05-29
AP-6586
Order Scheduling Prehearing Conference
/alj/aljorders/2019/ap-6586.pdf
2019-06-07
AP-6597
Order Following Prehearing Conference
/alj/aljorders/2019/ap-6597.pdf
2019-07-11
AP-6625
Stay Order
/alj/aljorders/2019/ap-6625.pdf
2019-09-27
33-10705
IA-5376
IC-33649
Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Section 8A of the Securities Act of 1933, Sections 203(e), 203(f), and 203(k) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940
/litigation/admin/2019/33-10705.pdf