2017-01-24
3-17319
Helen, Jan E.
/litigation/apdocuments/ap-3-17319.xml
2016-06-28
33-10108
34-78185
IA-4440
IC-32165
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Sections 15(b) and 21C of the Securities Exchange Act of 1934, Sections 203(f) and 203(k) of the Investment Advisers Act of 1940 and Section 9(b) of the Investment Company Act of 1940, and Notice of Hearing
/litigation/admin/2016/33-10108.pdf
2016-06-29
AP-3958
Order Scheduling Hearing and Designating Presiding Judge
/alj/aljorders/2016/ap-3958.pdf
2016-07-11
AP-3978
Order Postponing Hearing and Scheduling Prehearing Conference
/alj/aljorders/2016/ap-3978.pdf
2016-07-27
AP-4026
Order Following Prehearing Conference
/alj/aljorders/2016/ap-4026.pdf
2016-07-19
Proposed Stipulated Pre-hearing Schedule
/litigation/apdocuments/3-17319-event-7.pdf
2016-07-19
Respondent's Answer
/litigation/apdocuments/3-17319-event-8.pdf
2016-08-22
AP-4077
Order On Motion
/alj/aljorders/2016/ap-4077.pdf
2016-08-09
Respondent's Motion for Reconsideration of Sua Sponte Dismissal of Affirmative Defenses
/litigation/apdocuments/3-17319-event-13.pdf
2016-08-05
Letter from Division to David Zisser regarding Write to Clarify Matter Raised during the July 26, 2016 Pre-Hearing Conference
/litigation/apdocuments/3-17319-event-12.pdf
2016-08-10
Division's Opposition to Respondent's Motion for Reconsideration of Sua Sponte Dismissal of Affirmative Defenses
/litigation/apdocuments/3-17319-event-14.pdf
2016-09-27
AP-4204
Order On Motion
/alj/aljorders/2016/ap-4204.pdf
2016-10-28
AP-4312
Order Following Second Prehearing Conference
/alj/aljorders/2016/ap-4312.pdf
2016-11-04
AP-4323
Order Staying Proceeding
/alj/aljorders/2016/ap-4323.pdf
2016-11-03
Joint Motion For Stay Of Proceedings Pending Commission Consideration Of An Offer Settlement
/litigation/apdocuments/3-17319-event-26.pdf
2017-01-24
33-10291
34-79870
IA-4623
IC-32434
Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Section 8A of the Securities Act of 1933, Section 15(b) 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/2017/33-10291.pdf