2019-07-01
3-15628
Imperato, Daniel
/litigation/apdocuments/ap-3-15628.xml
2013-11-27
34-70959
Order Instituting Administrative Proceedings and Notice of Hearing
/litigation/admin/2013/34-70959.pdf
2013-12-02
AP-1077
Order Scheduling Hearing and Designating Presiding Judge
/alj/aljorders/2013/ap-1077.pdf
2013-12-12
AP-1100
Order Postponing Hearing and Scheduling Prehearing Conference
/alj/aljorders/2013/ap-1100.pdf
2013-12-19
AP-1117
Order Striking Respondent's Filings Dated December 7 and 11, 2013
/alj/aljorders/2013/ap-1117.pdf
2014-01-03
AP-1142
Order Following Prehearing Conference
/alj/aljorders/2014/ap-1142.pdf
2014-01-10
AP-1161
Order
/alj/aljorders/2014/ap-1161.pdf
2014-01-28
AP-1204
Order to Show Cause
/alj/aljorders/2014/ap-1204.pdf
2014-01-30
AP-1209
Order Finding Respondent in Violation of Orders, Rejecting Respondents E-Mail and Telephone Communications, and Warning of Possible Sanctions and Default
/alj/aljorders/2014/ap-1209.pdf
2014-02-10
AP-1231
Order Finding that Respondent has Shown Good cause for the Delay in Filing a Timely Answer
/alj/aljorders/2014/ap-1231.pdf
2014-02-20
AP-1253
Clarification Order
/alj/aljorders/2014/ap-1253.pdf
2014-01-28
Respondent's Answer
/litigation/apdocuments/3-15628-event-13.pdf
2014-02-19
Division's Motion for Summary Disposition and Appendix in Support
/litigation/apdocuments/3-15628-event-23.pdf
2014-02-19
Respondent's Motion for Summary Disposition, with Exhibits a and Ab
/litigation/apdocuments/3-15628-event-24.pdf
2014-03-06
Respondent's Opposition to Division's Motion for Summary Disposition
/litigation/apdocuments/3-15628-event-28.pdf
2014-03-07
Division's Response in Opposition to Respondent's Motion for Summary Disposition
/litigation/apdocuments/3-15628-event-29.pdf
2014-03-20
Respondent's Reply to Division's Motion for Summary Disposition
/litigation/apdocuments/3-15628-event-30.pdf
2014-02-25
AP-1270
Order Denying Respondent's Subpoena Request and Regarding Respondent's Clarification Request
/alj/aljorders/2014/ap-1270.pdf
2014-07-07
ID-628
Initial Decision
/alj/aljdec/2014/id628ce.pdf
2014-07-28
Petition for Review
/litigation/apdocuments/3-15628-event-32.pdf
2014-09-03
34-72974
Order Granting Petition for Review and Scheduling Briefs
/litigation/opinions/2014/34-72974.pdf
2014-10-01
Respondent's Brief in Support of Petition for Review ('Petition Brief Not to Affirm")
/litigation/apdocuments/3-15628-event-35.pdf
2014-11-03
Division's Response and Brief in Opposition to Respondent's Petition for Review.
/litigation/apdocuments/3-15628-event-36.pdf
2014-11-17
Respondent's Reply Brief
/litigation/apdocuments/3-15628-event-37.pdf
2015-03-27
34-74596
Opinion of the Commission
/litigation/opinions/2015/34-74596.pdf
2015-04-08
Respondent's Motion for Reconsideration of Opinion and Order Imposing Remedial Sanctions Dated 3/27/15
/litigation/apdocuments/3-15628-event-39.pdf
2015-05-06
34-74886
Order Denying Request for Reconsideration
/litigation/opinions/2015/34-74886.pdf
2019-07-01
34-86261
Order Vacating Investment Adviser, Municipal Securities Dealer, Municipal Advisor, Transfer Agent, and Nationally Recognized Statistical Rating Organization Bars
/litigation/opinions/2019/34-86261.pdf