2016-06-24
3-16893
Evans, James A., Jr.
/litigation/apdocuments/ap-3-16893.xml
2015-10-13
IA-4226
Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing
/litigation/admin/2015/ia-4226.pdf
2015-10-15
AP-3226
Order Scheduling Hearing and Designating Presiding Judge
/alj/aljorders/2015/ap-3226.pdf
2015-10-29
AP-3270
Order Postponing Hearing and Directing Parties to Hold a Prehearing Conference
/alj/aljorders/2015/ap-3270.pdf
2015-12-03
AP-3368
Order Requesting Additional Evidence of Service
/alj/aljorders/2015/ap-3368.pdf
2015-12-14
AP-3395
Order to Show Cause
/alj/aljorders/2015/ap-3395.pdf
2015-12-28
AP-3434
Order Finding Respondent in Default and Directing Motion for Sanctions
/alj/aljorders/2015/ap-3434.pdf
2016-02-01
AP-3562
Order Scheduling Prehearing Conference
/alj/aljorders/2016/ap-3562.pdf
2016-02-03
AP-3571
Order Following Prehearing Conference and Extending Deadline for Filing Motion for Sanctions
/alj/aljorders/2016/ap-3571.pdf
2016-03-16
AP-3717
Order Denying Motion for Sanctions Without Prejudice and Scheduling Prehearing Conference
/alj/aljorders/2016/ap-3717.pdf
2016-03-22
AP-3728
Order Following Prehearing Conference
/alj/aljorders/2016/ap-3728.pdf
2016-04-29
ID-1006
Initial Decision of Default
/alj/aljdec/2016/id1006ce.pdf
2016-04-11
Division's Supplemental Motion for Summary Disposition and Default Judgment Against Respondent
/litigation/apdocuments/3-16893-event-15.pdf
2016-06-24
IA-4436
Notice That Initial Decision Has Become Final
/alj/aljdec/2016/ia-4436.pdf