2018-09-17
3-16294
Murphy, Phillip Dennis
/litigation/apdocuments/ap-3-16294.xml
2014-12-03
34-73724
IA-3974
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/2014/34-73724.pdf
2014-12-04
AP-2091
Order Scheduling Hearing and Designating Presiding Judge
/alj/aljorders/2014/ap-2091.pdf
2014-12-17
AP-2141
Order Postponing Hearing and Scheduling Prehearing Conference
/alj/aljorders/2014/ap-2141.pdf
2014-12-19
AP-2153
Order Following Prehearing Conference
/alj/aljorders/2014/ap-2153.pdf
2014-12-23
AP-2165
Stay Order
/alj/aljorders/2014/ap-2165.pdf
2014-12-31
34-73968
IA-3992
Order Making Findings and Imposing Remedial Sanctions Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940
/litigation/admin/2014/34-73968.pdf
2014-12-23
Division's Status Report and Motion to Stay Proceedings, with Draft Order Attached.
/litigation/apdocuments/3-16294-event-6.pdf
2015-12-21
34-76702
IA-4296
Order Vacating Nationally Recognized Statistical Rating Organization and Municipal Advisor Bars
/litigation/opinions/2015/34-76702.pdf
2018-09-17
34-84145
IA-5022
Order Vacating Municipal Securities Dealer and Transfer Agent Bars
/litigation/opinions/2018/34-84145.pdf