2015-08-06
3-15627
Tri-Star Advisors, Inc.
Payne, William T.
Vaughan, Jon C.
/litigation/apdocuments/ap-3-15627.xml
2013-11-26
IA-3727
Order Instituting Administrative and Cease-And-Desist Proceedings and Notice of Hearing
/litigation/admin/2013/ia-3727.pdf
2013-11-26
AP-1072
Order Scheduling Hearing and Designating Presiding Judge
/alj/aljorders/2013/ap-1072.pdf
2013-12-18
AP-1108
Order Postponing Hearing, Scheduling Prehearing Conference, and Extending Time to Answer
/alj/aljorders/2013/ap-1108.pdf
2014-02-10
AP-1225
Order Following Prehearing Conference and Setting Dates for Motions for Summary Disposition
/alj/aljorders/2014/ap-1225.pdf
2014-02-28
AP-1274
Order Modifying Dates for Motions for Summary Disposition
/alj/aljorders/2014/ap-1274.pdf
2014-01-22
Answer of Resps.Tri-Star Advisors, Inc., Payne, and Vaughan to Order Lnstitut Admin and C&D Proceedings Pursuant to Sees 203(e) & (k) of Investment Advisers Act of 1940 and Section 9(b) of Investment Company Act of 1940
/litigation/apdocuments/3-15627-event-7.pdf
2014-02-28
Motion of Respondents Summary Disposition (as to All Respondents)
/litigation/apdocuments/3-15627-event-11.pdf
2014-03-14
Division's Motion for Summary Disposition and Response in Opposition to Respondents' Motion for Summary Disposition and Brief in Support
/litigation/apdocuments/3-15627-event-12.pdf
2014-03-31
Respondents' Reply Brief in Support of Motion for Summary Disposition
/litigation/apdocuments/3-15627-event-13.pdf
2014-04-11
Division's Reply Brief in Support of Its Motion for Sumary Disposition
/litigation/apdocuments/3-15627-event-14.pdf
2014-04-17
Respondents' Surreply Brief in Support of Motion for Summary Disposition
/litigation/apdocuments/3-15627-event-17.pdf
2014-06-02
AP-1478
Order Denying Summary Disposition Motions and Scheduling Prehearing Conference
/alj/aljorders/2014/ap-1478.pdf
2014-06-16
AP-1527
Order Following Prehearing Conference Setting Procedural Schedule
/alj/aljorders/2014/ap-1527.pdf
2014-06-18
AP-1534
Order Amending Procedural Schedule
/alj/aljorders/2014/ap-1534.pdf
2014-08-14
AP-1701
Stay Order
/alj/aljorders/2014/ap-1701.pdf
2015-08-06
IA-4160
IC-31742
Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Sections 203(e) and 203(k) of the Investment Advisers Act of 1940 and Section 9(b) of the Investment Company Act of 1940 Against All Respondents
/litigation/admin/2015/ia-4160.pdf