2018-11-05
3-17115
Schooler, Louis V.
/litigation/apdocuments/ap-3-17115.xml
2016-02-12
34-77134
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Section 203(f) of the Investment Advisers Act of 1940, and Notice of Hearing
/litigation/admin/2016/34-77134.pdf
2016-02-17
AP-3613
Order Scheduling Hearing and Designating Presiding Judge
/alj/aljorders/2016/ap-3613.pdf
2016-02-25
AP-3644
Order
/alj/aljorders/2016/ap-3644.pdf
2016-03-16
AP-3716
Order
/alj/aljorders/2016/ap-3716.pdf
2016-05-12
Respondent's Opposition & Response to the Division's Motion for Summary Disposition
/litigation/apdocuments/3-17115-event-12.pdf
2016-05-20
Division's Reply in Support of Its Motion for Summary Disposition
/litigation/apdocuments/3-17115-event-13.pdf
2016-08-23
ID-1052
Initial Decision
/alj/aljdec/2016/id1052cff.pdf
2016-02-22
Respondent's Answer
/litigation/apdocuments/3-17115-event-3.pdf
2016-04-15
Division's Motion for Summary Disposition
/litigation/apdocuments/3-17115-event-10.pdf
2016-10-20
34-79128
IA-4558
Order Directing Filings
/litigation/opinions/2016/34-79128.pdf
2016-11-07
Respondent's Status Report, Motion for Suggestion of Death, Motion to Be Relieved As Counsel of Record and Motion to Dismiss dated 10/28/16
/litigation/apdocuments/3-17155-event-19.pdf
2017-12-19
AP-5409
Order
/alj/aljorders/2017/ap-5409.pdf
2018-01-11
AP-5455
Order
/alj/aljorders/2018/ap-5455.pdf
2018-08-23
AP-5954
Notice from the Chief Administrative Law Judge
/alj/aljorders/2018/ap-5954.pdf
2018-09-12
AP-5955
Chief Administrative Law Judge’s Order Assigning Proceedings Post Lucia v. SEC
/alj/aljorders/2018/ap-5955.pdf
2018-09-17
AP-5987
Order Following Reassignment
/alj/aljorders/2018/ap-5987.pdf
2018-09-26
AP-6099
Order Scheduling Prehearing Conference
/alj/aljorders/2018/ap-6099.pdf
2018-10-16
AP-6200
Order Following Prehearing Conference
/alj/aljorders/2018/ap-6200.pdf
2018-11-05
AP-6295
Order Discontinuing Proceeding
/alj/aljorders/2018/ap-6295.pdf