Order Instituting Cease-and-Desist Proceedings Pursuant to Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing a Cease-and-Desist Order and Notice of Hearing

2017-02-07 3-16839 Bartholomew, Daniel R. Hjelvik, Karl I. /litigation/apdocuments/ap-3-16839.xml 2015-09-28 34-75999 AAER-3708 Order Instituting Cease-and-Desist Proceedings Pursuant to Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing a Cease-and-Desist Order and Notice of Hearing /litigation/admin/2015/34-75999.pdf 2015-09-30 AP-3179 Order Scheduling Hearing and Designating Presiding Judge /alj/aljorders/2015/ap-3179.pdf 2015-10-07 AP-3207 Order Postponing Hearing and Requiring Status Updates /alj/aljorders/2015/ap-3207.pdf 2017-01-27 AP-4558 Order Dismissing Proceeding /alj/aljorders/2017/ap-4558.pdf 2017-01-27 Notice of Resolution of Civil Action and Notice of Dismissal of Request for Penalties /litigation/apdocuments/3-16839-event-4.pdf