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

2016-10-11 3-17511 Watson, Pamella B. /litigation/apdocuments/ap-3-17511.xml 2016-08-29 34-78717 IA-4515 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/2016/34-78717.pdf 2016-08-30 AP-4105 Order Scheduling Hearing and Designating Presiding Judge /alj/aljorders/2016/ap-4105.pdf 2016-09-20 AP-4182 Order Postponing Hearing /alj/aljorders/2016/ap-4182.pdf 2016-09-27 AP-4203 Order Scheduling Prehearing Conference /alj/aljorders/2016/ap-4203.pdf 2016-10-11 34-79079 IA-4547 Order Making Findings and Imposing Remedial Sanctions Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940 /litigation/admin/2016/34-79079.pdf