2019-07-03
3-16165
Cacchione, David Scott
/litigation/apdocuments/ap-3-16165.xml
2014-09-25
IA-3935
Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing
/litigation/admin/2014/ia-3935.pdf
2014-09-26
AP-1853
Order Scheduling Hearing and Designating Presiding Judge
/alj/aljorders/2014/ap-1853.pdf
2014-10-08
AP-1898
Order
/alj/aljorders/2014/ap-1898.pdf
2014-10-21
AP-1929
Order
/alj/aljorders/2014/ap-1929.pdf
2014-10-20
Answer of David Scott Cacchione
/litigation/apdocuments/3-16165-event-8.pdf
2014-12-19
AP-2152
Order
/alj/aljorders/2014/ap-2152.pdf
2015-01-07
AP-2186
Notice of Hearing Location
/alj/aljorders/2015/ap-2186.pdf
2015-01-08
AP-2191
Order On Motion to Adjourn Hearing Dates
/alj/aljorders/2015/ap-2191.pdf
2015-01-08
AP-2195
Order On Respondent's Motion to Quash and Modify Subpoenas
/alj/aljorders/2015/ap-2195.pdf
2015-01-12
AP-2210
Stay Order
/alj/aljorders/2015/ap-2210.pdf
2014-12-03
Division's Reply Memorandum in Support of Its Motion for Summary Disposition Against Respondent David Scott Cacchione
/litigation/apdocuments/3-16165-event-19.pdf
2014-12-03
Respondent David Scott Cacchione's Reply Memorandum of Law in Support of His Motion for Summary Disposition
/litigation/apdocuments/3-16165-event-20.pdf
2014-12-23
Division's Request for Issuance of Subpoenas to Montara Capital Management LLC and David Scott Cacchione
/litigation/apdocuments/3-16165-event-24.pdf
2015-01-07
Respondent's Motion to Adjourn Hearing Dates
/litigation/apdocuments/3-16165-event-27.pdf
2015-02-25
IA-4034
Order Making Findings and Imposing Remedial Sanctions Pursuant to Section 203(f) of the Investment Advisers Act of 1940
/litigation/admin/2015/ia-4034.pdf
2015-02-19
Notice of Withdrawal.
/litigation/apdocuments/3-16165-event-32.pdf
2015-02-20
Amended Notice of Withdrawal.
/litigation/apdocuments/3-16165-event-33.pdf
2019-07-03
IA-5283
Order Vacating Municipal Securities Dealer, Municipal Advisor, Transfer Agent, and Nationally Recognized Statistical Rating Organization Bars
/litigation/opinions/2019/ia-5283.pdf