Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing

2019-07-02 3-16162 Walters, William L. /litigation/apdocuments/ap-3-16162.xml 2014-09-24 34-73205 IA-3932 Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing /litigation/admin/2014/34-73205.pdf 2014-09-26 AP-1854 Order Scheduling Hearing and Designating Presiding Judge /alj/aljorders/2014/ap-1854.pdf 2014-10-21 AP-1931 Postponement Order /alj/aljorders/2014/ap-1931.pdf 2014-12-05 AP-2100 Prehearing and Stay Order /alj/aljorders/2014/ap-2100.pdf 2015-02-25 34-74376 IA-4035 Order Making Findings and Imposing Remedial Sanctions /litigation/admin/2015/34-74376.pdf 2019-07-02 34-86275 IA-5275 Order Vacating Municipal Securities Dealer, Municipal Advisor, Transfer Agent, and Nationally Recognized Statistical Rating Organization Bars /litigation/opinions/2019/34-86275.pdf