Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934, Section 203(f) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940.

2017-09-01 3-17313 Tirrell, William /litigation/apdocuments/ap-3-17313.xml 2016-06-23 34-78142 IA-4434 IC-32159 Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934, Section 203(f) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940. /litigation/admin/2016/34-78142.pdf 2016-06-27 AP-3946 Order Scheduling Hearing and Designating Presiding Judge /alj/aljorders/2016/ap-3946.pdf 2016-06-29 AP-3959 Order Postponing Hearing and Scheduling Prehearing Conference /alj/aljorders/2016/ap-3959.pdf 2016-07-19 AP-3998 Order Rescheduling Prehearing Conference /alj/aljorders/2016/ap-3998.pdf 2016-10-06 AP-4233 Order Following Prehearing Conference /alj/aljorders/2016/ap-4233.pdf 2016-10-17 AP-4265 Order Setting Prehearing Schedule /alj/aljorders/2016/ap-4265.pdf 2016-10-19 AP-4276 Order Setting Hearing Guidelines /alj/aljorders/2016/ap-4276.pdf 2016-10-04 Respondent's Answer and Affirmative Defenses /litigation/apdocuments/3-17313-event-9.pdf 2016-11-23 AP-4386 Order Granting Division's Motion for Extension of Time to Respond to Subpoena /alj/aljorders/2016/ap-4386.pdf 2017-01-06 AP-4502 Order Setting Schedule for Responsive Briefs to Division's Motion in Limine /alj/aljorders/2017/ap-4502.pdf 2017-02-06 AP-4588 Order Denying Division's Motion in Limine /alj/aljorders/2017/ap-4588.pdf 2017-03-08 AP-4664 Order Granting Joint Request to Extend the Deadline for Completion of Expert Discovery /alj/aljorders/2017/ap-4664.pdf 2017-03-22 AP-4703 Order On Motion for in Camera Review of Interview Notes /alj/aljorders/2017/ap-4703.pdf 2017-03-28 AP-4712 Order Following in Camera Review of Interview Notes /alj/aljorders/2017/ap-4712.pdf 2017-05-18 AP-4809 Order Setting Time and Location of Hearing /alj/aljorders/2017/ap-4809.pdf 2017-05-22 AP-4816 Order Modifying Prehearing Schedule /alj/aljorders/2017/ap-4816.pdf 2017-06-01 AP-4844 Stay Order /alj/aljorders/2017/ap-4844.pdf 2017-09-01 34-81521 Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Section 21C of the Securities Exchange Act of 1934 /litigation/admin/2017/34-81521.pdf