2016-10-31
3-16949
Shah, Sandip
/litigation/apdocuments/ap-3-16949.xml
2015-11-09
34-76396
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934 and Notice of Hearing
/litigation/admin/2015/34-76396.pdf
2015-11-16
AP-3317
Order Scheduling Hearing and Designating Presiding Judge
/alj/aljorders/2015/ap-3317.pdf
2015-12-08
AP-3378
Postponement Order
/alj/aljorders/2015/ap-3378.pdf
2016-01-21
AP-3527
Prehearing Order
/alj/aljorders/2016/ap-3527.pdf
2016-02-04
AP-3576
Prehearing Order
/alj/aljorders/2016/ap-3576.pdf
2016-03-01
AP-3657
Prehearing Order
/alj/aljorders/2016/ap-3657.pdf
2016-03-10
AP-3691
Scheduling Order
/alj/aljorders/2016/ap-3691.pdf
2016-04-29
AP-3813
Scheduling Order
/alj/aljorders/2016/ap-3813.pdf
2016-05-04
AP-3824
Prehearing Order
/alj/aljorders/2016/ap-3824.pdf
2016-05-31
AP-3884
Prehearing Order
/alj/aljorders/2016/ap-3884.pdf
2016-06-21
Division's Status Report
/litigation/apdocuments/3-16949-event-20.pdf
2016-06-27
Division's Motion and Memorandum in Support of Imposition of Sanctions
/litigation/apdocuments/3-16949-event-21.pdf
2016-07-20
AP-4003
Order
/alj/aljorders/2016/ap-4003.pdf
2016-07-13
Response to OIP and Subsequent Discussions
/litigation/apdocuments/3-16949-event-22.pdf
2016-07-29
AP-4030
Order
/alj/aljorders/2016/ap-4030.pdf
2016-08-03
AP-4040
Notice
/alj/aljorders/2016/ap-4040.pdf
2016-07-27
Division's Reply Memorandum, with attached Exhibit 1
/litigation/apdocuments/3-16949-event-24.pdf
2016-09-08
ID-1054
Initial Decision
/alj/aljdec/2016/id1054cff.pdf
2016-10-28
34-79192
Notice That Initial Decision Has Become Final
/alj/aljdec/2016/34-79192.pdf