2019-07-02
3-16335
Slade, Duane Hamblin
/litigation/apdocuments/ap-3-16335.xml
2015-01-13
IA-3994
Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing
/litigation/admin/2015/ia-3994.pdf
2015-01-15
AP-2224
Order Scheduling Hearing and Designating Presiding Judge
/alj/aljorders/2015/ap-2224.pdf
2015-01-30
AP-2270
Order
/alj/aljorders/2015/ap-2270.pdf
2015-02-02
Division's Unopposed Motions For Adjournment of Hearing and Prehearing Conference
/litigation/apdocuments/3-16335-event-5.pdf
2015-02-02
Division's Brief in Support of Unoppossed Motions for Adjournment of Hearing and Prehearing
/litigation/apdocuments/3-16335-event-6.pdf
2015-02-11
AP-2307
Order Following Prehearing Conference
/alj/aljorders/2015/ap-2307.pdf
2015-02-27
Letter of 2/15/15 to ALJ from Respondent Re: Denial of Mail and Wire Fraud Allegations. Respondent Ask That Court Consider a Temporary Suspension Versus the Lifetime Bar
/litigation/apdocuments/3-16335-event-8.pdf
2015-04-13
Division's Motion for Summary Disposition
/litigation/apdocuments/3-16335-event-10.pdf
2015-05-26
ID-799
Initial Decision
/alj/aljdec/2015/id799ce.pdf
2015-12-21
IA-4298
Order Modifying Sanctions and Notice That Initial Decision, as Modified, Has Become Final
/litigation/opinions/2015/ia-4298.pdf
2019-07-02
IA-5277
Order Vacating Broker, Dealer, Municipal Securities Dealer, and Transfer Agent Bars
/litigation/opinions/2019/ia-5277.pdf