Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934

2017-02-01 3-16181 MacDonald, Duncan J., III /litigation/apdocuments/ap-3-16181.xml 2014-09-29 34-73250 Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 /litigation/admin/2014/34-73250.pdf 2014-10-02 AP-1878 Order Scheduling Hearing and Designating Presiding Judge /alj/aljorders/2014/ap-1878.pdf 2014-10-23 AP-1938 Order Postponing Hearing and Scheduling Prehearing Conference /alj/aljorders/2014/ap-1938.pdf 2014-12-03 AP-2089 Order Following Prehearing Conference /alj/aljorders/2014/ap-2089.pdf 2015-01-08 AP-2193 Order /alj/aljorders/2015/ap-2193.pdf 2015-01-12 AP-2206 Order /alj/aljorders/2015/ap-2206.pdf 2015-01-07 Respondent's "Offer of Settlement" /litigation/apdocuments/3-16181-event-6.pdf 2015-01-09 Division's Motion to Defer Summary Disposition Briefing /litigation/apdocuments/3-16181-event-8.pdf 2015-02-09 Division's Motion for Summary Disposition /litigation/apdocuments/3-16181-event-10.pdf 2015-03-16 AP-2426 Order Granting Motion to Stay /alj/aljorders/2015/ap-2426.pdf 2015-04-24 34-74805 Order Making Findings and Imposing Remedial Sanctions Pursuant to Section 15(b) of the Securities Exchange Act of 1934 /litigation/admin/2015/34-74805.pdf 2015-03-13 Motion for Stay Pending Commission Consideration of Offer of Settlement /litigation/apdocuments/3-16181-event-11.pdf