2016-08-12
3-16590
Ourand, Brian J.
/litigation/apdocuments/ap-3-16590.xml
2015-06-15
IA-4115
IC-31668
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 203(f) and 203(k) of the Investment Advisers Act of 1940 and Section 9(b) of the Investment Company Act of 1940
/litigation/admin/2015/ia-4115.pdf
2015-06-16
AP-2817
Order Scheduling Hearing and Designating Presiding Judge
/alj/aljorders/2015/ap-2817.pdf
2015-07-17
AP-2941
Postponement Order
/alj/aljorders/2015/ap-2941.pdf
2015-07-21
AP-2957
Prehearing Order
/alj/aljorders/2015/ap-2957.pdf
2015-07-22
AP-2962
Protective Order
/alj/aljorders/2015/ap-2962.pdf
2015-09-28
AP-3172
Order
/alj/aljorders/2015/ap-3172.pdf
2015-09-30
AP-3184
Order
/alj/aljorders/2015/ap-3184.pdf
2015-10-26
AP-3257
Order
/alj/aljorders/2015/ap-3257.pdf
2015-11-03
AP-3287
Order
/alj/aljorders/2015/ap-3287.pdf
2015-11-13
AP-3315
Order
/alj/aljorders/2015/ap-3315.pdf
2015-11-24
AP-3350
Order
/alj/aljorders/2015/ap-3350.pdf
2015-12-02
AP-3365
Order
/alj/aljorders/2015/ap-3365.pdf
2015-12-09
AP-3384
Order
/alj/aljorders/2015/ap-3384.pdf
2015-12-07
Division's Prehearing Brief
/litigation/apdocuments/3-16590-event-26.pdf
2015-12-10
AP-3389
Order
/alj/aljorders/2015/ap-3389.pdf
2015-12-10
AP-3388
Order
/alj/aljorders/2015/ap-3388.pdf
2015-12-14
AP-3397
Order
/alj/aljorders/2015/ap-3397.pdf
2016-01-20
Respondent's Prehearing Brief
/litigation/apdocuments/3-16590-event-36.pdf
2016-01-29
Respondent's Post Hearing Brief
/litigation/apdocuments/3-16590-event-41.pdf
2016-02-12
Division's Reply to Respondent's Post Hearing Brief
/litigation/apdocuments/3-16590-event-42.pdf
2016-03-29
ID-987
Initial Decision
/alj/aljdec/2016/id987cff.pdf
2016-05-19
IA-4391
IC-32119
Order Directing the Filing of Briefs
/litigation/admin/2016/ia-4391.pdf
2016-06-13
Respondent's Response to the Division's Brief
/litigation/apdocuments/3-16590-event-50.pdf
2016-08-12
IA-4482
IC-32211
Order Dismissing Untimely Petition for Review
/litigation/opinions/2016/ia-4482.pdf