2016-12-19
3-17070
3C Advisors & Associates, Inc.
Jones, Stephen
Prolman, David
/litigation/apdocuments/ap-3-17070.xml
2016-01-27
34-76979
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 15(b) and 21C of the Securities Exchange Act Of 1934
/litigation/admin/2016/34-76979.pdf
2016-01-29
AP-3558
Order Scheduling Hearing and Designating Presiding Judge
/alj/aljorders/2016/ap-3558.pdf
2016-02-18
AP-3622
Order Postponing Hearing and Scheduling Prehearing Conference
/alj/aljorders/2016/ap-3622.pdf
2016-02-22
AP-3633
Order
/alj/aljorders/2016/ap-3633.pdf
2016-03-08
AP-3684
Order Following Prehearing Conference
/alj/aljorders/2016/ap-3684.pdf
2016-03-08
AP-3685
Protective Order
/alj/aljorders/2016/ap-3685.pdf
2016-03-18
Respondent Prolman's Answer
/litigation/apdocuments/3-17070-event-17.pdf
2016-03-31
AP-3751
Scheduling and General Prehearing Order
/alj/aljorders/2016/ap-3751.pdf
2016-05-13
AP-3842
Stay Order
/alj/aljorders/2016/ap-3842.pdf
2016-05-09
Division's Motion for Summary Disposition
/litigation/apdocuments/3-17070-event-22.pdf
2016-05-23
Respondent Jones' Opposition to Division's Motion for Summary Disposition
/litigation/apdocuments/3-17070-event-26.pdf
2016-06-01
Division's Reply Brief in Support of its Motion for Summary Disposition
/litigation/apdocuments/3-17070-event-28.pdf
2016-07-22
AP-4013
Order On Motion for Summary Disposition
/alj/aljorders/2016/ap-4013.pdf
2016-07-22
AP-4014
Order as to Hearing Time and Location
/alj/aljorders/2016/ap-4014.pdf
2016-08-02
AP-4037
Notice as to Hearing Dates
/alj/aljorders/2016/ap-4037.pdf
2016-08-05
AP-4048
Order Scheduling Prehearing Conference
/alj/aljorders/2016/ap-4048.pdf
2016-08-10
AP-4055
Stay Order
/alj/aljorders/2016/ap-4055.pdf
2016-09-19
34-78877
Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order, Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934, as to Respondent David Prolman
/litigation/admin/2016/34-78877.pdf
2016-08-09
AP-4053
Order
/alj/aljorders/2016/ap-4053.pdf
2016-02-17
Stipulated Protective Order
/litigation/apdocuments/3-17070-event-4.pdf
2016-03-01
Respondents 3C Advisors & Associates, Inc. and Stephen Jones Answer
/litigation/apdocuments/3-17070-event-9.pdf
2016-03-04
Division's Stipulated Protective Order
/litigation/apdocuments/3-17070-event-13.pdf
2016-12-19
34-79601
Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order, Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934, as to Respondent 3C Advisors & Associates, Inc.
/litigation/admin/2016/34-79601.pdf
2016-12-19
34-79602
Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order, Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934, as to Respondent Stephen Jones
/litigation/admin/2016/34-79602.pdf