Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Section 203(f) of the Investment Advisers Act of 1940, and Notice of Hearing

2019-07-05 3-16374 Wulf, David R. /litigation/apdocuments/ap-3-16374.xml 2015-02-04 34-74207 IA-4020 Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Section 203(f) of the Investment Advisers Act of 1940, and Notice of Hearing /litigation/admin/2015/34-74207.pdf 2015-02-06 AP-2289 Order Scheduling Hearing and Designating Presiding Judge /alj/aljorders/2015/ap-2289.pdf 2015-02-18 AP-2325 Order Postponing Hearing and Scheduling Prehearing Conference /alj/aljorders/2015/ap-2325.pdf 2015-03-02 Respondent's Answer /litigation/apdocuments/3-16374-event-6.pdf 2015-03-10 AP-2396 Order Following Prehearing Conference /alj/aljorders/2015/ap-2396.pdf 2015-04-07 Division's Motion for Summary Disposition Against Respondent /litigation/apdocuments/3-16374-event-10.pdf 2015-04-07 Division's Memorandum of Law in Support of Its Motion for Summary Disposition Against Respondent /litigation/apdocuments/3-16374-event-11.pdf 2015-04-27 AP-2590 Order Denying Without Prejudice the Division's Motion for Summary Disposition /alj/aljorders/2015/ap-2590.pdf 2015-05-05 AP-2630 Order Granting Extension /alj/aljorders/2015/ap-2630.pdf 2015-05-26 Division's Renewed Motion for Summary Disposition Against Respondent and Memorandum of Law in Support of Its Renewed Motion for Summary Disposition Against Respondent /litigation/apdocuments/3-16374-event-16.pdf 2015-06-16 AP-2819 Order Taking Official Notice Pursuant to 17 C.F.R. § 201.323 /alj/aljorders/2015/ap-2819.pdf 2015-06-25 ID-824 Initial Decision /alj/aljdec/2015/id824jeg.pdf 2015-07-28 AP-2979 Order Denying Motion to Correct a Manifest Error of Fact /alj/aljorders/2015/ap-2979.pdf 2015-07-22 Respondent's Motion to Correct a Manifest Error of Fact /litigation/apdocuments/3-16374-event-21.pdf 2015-08-31 Respondent's Petition for Review /litigation/apdocuments/3-16374-event-23.pdf 2015-09-21 34-75956 IA-4202 Order Granting Petition for Review and Scheduling Briefs /litigation/opinions/2015/34-75956.pdf 2015-10-23 Respondent's Brief in Support of Petition for Review /litigation/apdocuments/3-16374-event-25.pdf 2015-11-17 Division's Memorandum of Law in Opposition to Respondent's Petition for Review /litigation/apdocuments/3-16374-event-26.pdf 2016-03-21 34-77411 IA-4356 Opinion of the Commission /litigation/opinions/2016/34-77411.pdf 2019-07-05 34-86309 IA-5287 Order Vacating Municipal Securities Dealer and Transfer Agent Bars /litigation/opinions/2019/34-86309.pdf