2017-03-06
3-16937
Murray, James Michael
/litigation/apdocuments/ap-3-16937.xml
2015-11-02
IA-4252
Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing
/litigation/admin/2015/ia-4252.pdf
2015-11-03
AP-3284
Order Scheduling Hearing and Designating Presiding Judge
/alj/aljorders/2015/ap-3284.pdf
2015-11-17
AP-3323
Order Postponing Hearing and Scheduling Prehearing Conference
/alj/aljorders/2015/ap-3323.pdf
2015-12-04
AP-3371
Order Following Prehearing Conference
/alj/aljorders/2015/ap-3371.pdf
2016-03-18
Respondent's Answer to Division's Motion for Summary Disposition
/litigation/apdocuments/3-16937-event-11.pdf
2016-03-25
Division's Reply in Support of its Motion for Summary Disposition Against Respondent
/litigation/apdocuments/3-16937-event-12.pdf
2016-05-10
ID-1008
Initial Decision
/alj/aljdec/2016/id1008jeg.pdf
2016-08-22
AP-4078
Order Denying Respondent's Motion to Correct Manifest Error
/alj/aljorders/2016/ap-4078.pdf
2016-01-22
Division's Motion for Summary Disposition Against Respondent and Supporting Memorandum of Law
/litigation/apdocuments/3-16937-event-9.pdf
2016-01-22
Declaration of Jason M. Habermeyer in Support of Division's Motion for Summary Disposition Against Respondent
/litigation/apdocuments/3-16937-event-10.pdf
2016-10-03
Respondent's Motion for Review of Initial Decision 5-10-16
/litigation/apdocuments/3-16937-event-18.pdf
2016-10-03
Division's Response to Respondent's Motion for Review of Initial Decision 5-10-16
/litigation/apdocuments/3-16937-event-20.pdf
2016-10-24
IA-4559
Order Granting Petition for Review and Scheduling Briefs
/litigation/opinions/2016/ia-4559.pdf
2016-11-28
IA-4574
Order Extending Time to File Brief in Support of Petition for Review
/litigation/admin/2016/ia-4574.pdf
2017-01-13
Division's Motion to Dismiss Petition for Review of Initial Decision
/litigation/apdocuments/3-16937-event-24.pdf
2017-01-13
Declaration of Judith L. Anderson in Support of Division's Motion to Dismiss Petition for Review of Initial Decision
/litigation/apdocuments/3-16937-event-25.pdf
2017-03-06
IA-4658
Order Dismissing Review Proceeding and Notice of Finality
/litigation/opinions/2017/ia-4658.pdf