Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934 and Section 9(b) of the Investment Company Act of 1940, Making Findings, Imposing Remedial Sanctions and a Cease-and-Desist Order, and Notice of Hearing

2015-09-11 3-16543 Krill, Richard /litigation/apdocuments/ap-3-16543.xml 2015-05-19 34-74994 IC-31609 Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934 and Section 9(b) of the Investment Company Act of 1940, Making Findings, Imposing Remedial Sanctions and a Cease-and-Desist Order, and Notice of Hearing /litigation/admin/2015/34-74994.pdf 2015-05-21 AP-2700 Order Scheduling Hearing and Designating Presiding Judge /alj/aljorders/2015/ap-2700.pdf 2015-06-11 AP-2802 Postponement Order /alj/aljorders/2015/ap-2802.pdf 2015-06-15 AP-2814 Prehearing Order /alj/aljorders/2015/ap-2814.pdf 2015-07-21 AP-2951 Stay Order /alj/aljorders/2015/ap-2951.pdf 2015-09-11 34-75906 IC-31821 Order Making Findings and Imposing Remedial Sanctions Pursuant to Sections 21B and 21C of the Securities Exchange Act of 1934 and Section 9(d) of the Investment Company Act of 1940 /litigation/admin/2015/34-75906.pdf