2018-03-30
3-16803
Kara, Maher F.
/litigation/apdocuments/ap-3-16803.xml
2015-09-10
34-75880
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Notice of Hearing
/litigation/admin/2015/34-75880.pdf
2015-09-11
AP-3114
Order Scheduling Hearing and Designating Presiding Judge
/alj/aljorders/2015/ap-3114.pdf
2015-09-28
AP-3171
Postponement Order
/alj/aljorders/2015/ap-3171.pdf
2015-10-05
AP-3197
Prehearing Order
/alj/aljorders/2015/ap-3197.pdf
2015-10-06
Respondent's Answer
/litigation/apdocuments/3-16803-event-8.pdf
2015-11-13
Division's Motion For Summary Disposition Against Respondent and Supporting Memorandum of Law
/litigation/apdocuments/3-16803-event-11.pdf
2015-11-16
Amended Answer
/litigation/apdocuments/3-16803-event-12.pdf
2016-01-29
AP-3552
Order
/alj/aljorders/2016/ap-3552.pdf
2016-01-22
Respondent's Reply in Support of His Cross-Motion for Summary Disposition
/litigation/apdocuments/3-16803-event-18.pdf
2016-01-11
Division's Reply in Support of its Motion for Summary Disposition and in Opposition to Respondent's Motion for Summary Disposition
/litigation/apdocuments/3-16803-event-17.pdf
2016-03-15
ID-979
Initial Decision
/alj/aljdec/2016/id979cff.pdf
2016-04-27
34-77731
Notice That Initial Decision Has Become Final
/alj/aljdec/2016/34-77731.pdf
2015-12-21
Respondent's Opposition to Division's Motion For Summary Disposition, Cross-Motion For Summary Disposition, and Supporting Memorandum of Law
/litigation/apdocuments/3-16803-event-14.pdf
2017-02-14
Respondent's Unopposed Motion to Vacate Investment Adviser, Municipal Securities Dealer, and Trasnsfer Agent Bars, and Supporting Memorandum of Law
/litigation/apdocuments/3-16803-event-23.pdf
2018-03-29
34-82966
Order Vacating Collateral Bars
/litigation/opinions/2018/34-82966.pdf