2015-05-07
3-16134
Russell, John Allan
/litigation/apdocuments/ap-3-16134.xml
2014-09-17
IA-3923
Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, and Notice of Hearing
/litigation/admin/2014/ia-3923.pdf
2014-09-19
AP-1820
Order Scheduling Hearing and Designating Presiding Judge
/alj/aljorders/2014/ap-1820.pdf
2014-10-03
AP-1886
Order Postponing Hearing and Scheduling Prehearing Conference
/alj/aljorders/2014/ap-1886.pdf
2014-10-15
AP-1909
Order Following Prehearing Conference
/alj/aljorders/2014/ap-1909.pdf
2014-11-10
AP-1999
Order to Show Cause
/alj/aljorders/2014/ap-1999.pdf
2014-11-24
AP-2047
Order Extending Time to Answer
/alj/aljorders/2014/ap-2047.pdf
2014-12-10
AP-2115
Order On Motion for Summary Disposition
/alj/aljorders/2014/ap-2115.pdf
2014-11-24
Email of 11/24/14 to ALJ from Resp Stating He Has Not Filed His Answer Due 11/3/14
/litigation/apdocuments/3-16134-event-11.pdf
2014-12-05
Division's Motion for Summary Disposition Against Respondent
/litigation/apdocuments/3-16134-event-12.pdf
2014-12-05
Division's Memorandum of Law in Support of Its Motion for Summary Disposition Against Respondent
/litigation/apdocuments/3-16134-event-13.pdf
2014-12-05
Division's Request for Official Notice in Support of Its Motion for Summary Disposition Against Respondent
/litigation/apdocuments/3-16134-event-14.pdf
2014-12-17
Respondent's Answer
/litigation/apdocuments/3-16134-event-16.pdf
2015-01-05
AP-2181
Order Regarding Response to Motion for Summary Disposition
/alj/aljorders/2015/ap-2181.pdf
2015-03-02
ID-750
IA-3923
Initial Decision
/alj/aljdec/2015/id750ce.pdf
2015-03-25
AP-2461
Order Regarding Motion to Correct
/alj/aljorders/2015/ap-2461.pdf
2015-05-07
IA-4079
Notice That Initial Decision Has Become Final
/alj/aljdec/2015/ia-4079.pdf