2019-07-03
3-17043
Crawford, Paul D.
/litigation/apdocuments/ap-3-17043.xml
2016-01-11
34-76866
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, and Notice of Hearing
/litigation/admin/2016/34-76866.pdf
2016-01-12
AP-3496
Order Scheduling Hearing and Designating Presiding Judge
/alj/aljorders/2016/ap-3496.pdf
2016-01-27
AP-3538
Order Postponing Hearing and Directing Parties to Hold a Prehearing Conference
/alj/aljorders/2016/ap-3538.pdf
2016-02-11
AP-3600
Order Setting Summary Disposition Schedule
/alj/aljorders/2016/ap-3600.pdf
2016-02-09
Respondent's Answer
/litigation/apdocuments/3-17043-event-8.pdf
2016-02-29
Division's Motion for Summary Disposition
/litigation/apdocuments/3-17043-event-11.pdf
2016-02-29
Memorandum in Support of the Division's Motion for Summary Disposition Against Respondent
/litigation/apdocuments/3-17043-event-12.pdf
2016-04-18
ID-1001
Initial Decision
/alj/aljdec/2016/id1001ce.pdf
2016-06-06
34-77998
Notice That Initial Decision Has Become Final
/alj/aljdec/2016/34-77998.pdf
2019-07-03
34-86292
Order Vacating Investment Adviser, Municipal Securities Dealer, and Transfer Agent Bars
/litigation/opinions/2019/34-86292.pdf