2016-08-15
3-17172
Clare, Barry B.
/litigation/apdocuments/ap-3-17172.xml
2016-03-15
34-77373
IC-32028
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934, and Section 9(b) of the Investment Company Act of 1940 and Notice of Hearing
/litigation/admin/2016/34-77373.pdf
2016-03-17
AP-3718
Order Scheduling Hearing and Designating Presiding Judge
/alj/aljorders/2016/ap-3718.pdf
2016-03-30
AP-3749
Order Postponing Hearing and Scheduling Prehearing Conference
/alj/aljorders/2016/ap-3749.pdf
2016-04-06
AP-3765
Order Granting Extension
/alj/aljorders/2016/ap-3765.pdf
2016-04-25
AP-3804
Order Following Prehearing Conference and Setting Procedural Schedule
/alj/aljorders/2016/ap-3804.pdf
2016-04-19
Respondent's Answer and Affirmative Defenses
/litigation/apdocuments/3-17172-event-11.pdf
2016-05-31
Respondent's Answer and Amended Affirmative Defenses
/litigation/apdocuments/3-17172-event-18.pdf
2016-06-15
AP-3921
Stay Order
/alj/aljorders/2016/ap-3921.pdf
2016-08-15
34-78574
IC-32215
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, and Section 9(b) of the Investment Company Act of 1940
/litigation/admin/2016/34-78574.pdf