2016-11-29
3-17252
Hase, Stephan Von
/litigation/apdocuments/ap-3-17252.xml
2016-05-13
34-77832
IA-4387
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, and Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing
/litigation/admin/2016/34-77832.pdf
2016-05-16
AP-3848
Order Scheduling Hearing and Designating Presiding Judge
/alj/aljorders/2016/ap-3848.pdf
2016-05-27
AP-3878
Order
/alj/aljorders/2016/ap-3878.pdf
2016-06-07
AP-3901
Prehearing Order
/alj/aljorders/2016/ap-3901.pdf
2016-06-29
AP-3956
Prehearing Order
/alj/aljorders/2016/ap-3956.pdf
2016-07-15
AP-3992
Order to Show Cause
/alj/aljorders/2016/ap-3992.pdf
2016-09-16
ID-1061
Initial Decision Making Findings and Imposing Sanction by Default
/alj/aljdec/2016/id1061cff.pdf
2016-11-29
34-79426
Notice That Initial Decision Has Become Final
/alj/aljdec/2016/34-79426.pdf