2016-07-27
3-16926
Burton, Robert
/litigation/apdocuments/ap-3-16926.xml
2015-10-27
IA-4244
Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing
/litigation/admin/2015/ia-4244.pdf
2015-11-19
Answer to Order Instituting Administrative Proceedings
/litigation/apdocuments/3-16926-event-4.pdf
2015-11-19
Motion to Dismiss for Prosecutorial Misconduct
/litigation/apdocuments/3-16926-event-5.pdf
2015-11-19
Motion for Deposition Upon Oral Examination (as to Larry Coleman, Miriam Coleman, Edward Vozzella, Sean Hanna, Ariel Castillo, ALISA Sarah E. Walters, and FPO Oscar Cruz, Jr.)
/litigation/apdocuments/3-16926-event-6.pdf
2015-11-25
AP-3351
Postponement Order
/alj/aljorders/2015/ap-3351.pdf
2015-10-27
AP-3262
Order Scheduling Hearing and Designating Presiding Judge
/alj/aljorders/2015/ap-3262.pdf
2016-01-13
AP-3500
Prehearing Order
/alj/aljorders/2016/ap-3500.pdf
2016-01-07
Division's Opposition to Respondent's Motion to Dismiss for Prosecutorial Misconduct
/litigation/apdocuments/3-16926-event-12.pdf
2016-02-05
Division's Motion for Summary Disposition, with Brief in Support of Motion for SD,
Declaration of Rebecca Israel
/litigation/apdocuments/3-16926-event-17.pdf
2016-05-27
ID-1014
Initial Decision
/alj/aljdec/2016/id1014cff.pdf
2016-07-27
IA-4464
Notice That Initial Decision Has Become Final
/alj/aljdec/2016/ia-4464.pdf