Order Instituting Administrative and Cease-Anddesist Proceedings Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934, and Sections 203(f) and 203(k) of the Investment Advisers Act of 1940 and Notice of Hearing

2015-09-23 3-16195 Wolf, Judy K. /litigation/apdocuments/ap-3-16195.xml 2014-10-15 34-73350 IA-3947 Order Instituting Administrative and Cease-Anddesist Proceedings Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934, and Sections 203(f) and 203(k) of the Investment Advisers Act of 1940 and Notice of Hearing /litigation/admin/2014/34-73350.pdf 2014-10-20 AP-1920 Order Scheduling Hearing and Designating Presiding Judge /alj/aljorders/2014/ap-1920.pdf 2014-10-30 AP-1968 Order Scheduling Prehearing Conference /alj/aljorders/2014/ap-1968.pdf 2014-11-05 Answer to OIP /litigation/apdocuments/3-16195-event-5.pdf 2014-11-20 AP-2038 Order Following Prehearing Conference /alj/aljorders/2014/ap-2038.pdf 2014-11-25 AP-2054 General Prehearing Order /alj/aljorders/2014/ap-2054.pdf 2014-12-11 AP-2123 Order /alj/aljorders/2014/ap-2123.pdf 2015-01-14 Division's Exhibit List /litigation/apdocuments/3-16195-event-14.pdf 2015-01-14 Division's Corrected Exhibit List /litigation/apdocuments/3-16195-event-15.pdf 2015-01-21 Respondent's Exhibit List /litigation/apdocuments/3-16195-event-16.pdf 2015-01-21 Respondent's Witness List /litigation/apdocuments/3-16195-event-17.pdf 2015-02-10 Respondent's Objections to the Division's Exhibits /litigation/apdocuments/3-16195-event-24.pdf 2015-02-10 Joint Exhibit List. /litigation/apdocuments/3-16195-event-19.pdf 2015-02-10 Division's Objections to Respondent's Exhibits 609, 610 and 611. /litigation/apdocuments/3-16195-event-20.pdf 2015-02-10 Division's Objections to Respondent's Witness Steven M. Salky. /litigation/apdocuments/3-16195-event-21.pdf 2015-02-10 Division's Motion for Admission of Respondent's Investigative Testimony. /litigation/apdocuments/3-16195-event-22.pdf 2015-02-10 Declaration of David S. Brown in Support of Division's Motion for Admission of Respondent's Investigative Testimony. /litigation/apdocuments/3-16195-event-23.pdf 2015-02-18 AP-2322 Prehearing Order /alj/aljorders/2015/ap-2322.pdf 2015-02-18 Respondent's Response to the Division's Objection to Respondent's Exhibits 609, 610 & 611 /litigation/apdocuments/3-16195-event-27.pdf 2015-02-18 Respondent's Opposition to Division's Motion for Admission of Respondent's Investigative Testimony /litigation/apdocuments/3-16195-event-28.pdf 2015-02-18 Respondent's Response to Division's Objection to Respondent's Witness Steven M. Salky /litigation/apdocuments/3-16195-event-29.pdf 2015-02-27 AP-2363 Post-Hearing Scheduling Order /alj/aljorders/2015/ap-2363.pdf 2015-03-20 AP-2448 Order /alj/aljorders/2015/ap-2448.pdf 2015-04-01 AP-2481 Order /alj/aljorders/2015/ap-2481.pdf 2015-04-07 AP-2502 Order Denying Motion to File Under Seal as Moot /alj/aljorders/2015/ap-2502.pdf 2015-03-23 Respondent's Post-Hearing Brief /litigation/apdocuments/3-16195-event-42.pdf 2015-03-23 Division's Post-Hearing Brief /litigation/apdocuments/3-16195-event-44.pdf 2015-04-06 Division's Reply to Respondent Wolfs Post-Hearing Brief /litigation/apdocuments/3-16195-event-54.pdf 2015-08-05 ID-851 Initial Decision /alj/aljdec/2015/id851ce.pdf 2015-09-23 34-75969 IA-4208 Notice That Initial Decision Has Become Final /alj/aljdec/2015/34-75969.pdf