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

2015-06-24 3-16489 Dearman, Larry, Sr. /litigation/apdocuments/ap-3-16489.xml 2015-04-13 34-74722 IA-4059 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/2015/34-74722.pdf 2015-04-14 AP-2542 Order Scheduling Hearing and Designating Presiding Judge /alj/aljorders/2015/ap-2542.pdf 2015-04-23 AP-2572 Order Postponing Hearing and Scheduling Prehearing Conference /alj/aljorders/2015/ap-2572.pdf 2015-04-22 Division's Motion for Adjournment of Hearing and Scheduling Prehearing Conference /litigation/apdocuments/3-16489-event-3.pdf 2015-05-19 AP-2689 Stay Order /alj/aljorders/2015/ap-2689.pdf 2015-06-24 34-75292 IA-4128 Order Making Findings and Imposing Remedial Sanctions Pursuant to Section 15(b)(6) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940 /litigation/admin/2015/34-75292.pdf