2017-02-06
3-17528
Kazinec, Aaron Nash
/litigation/apdocuments/ap-3-17528.xml
2016-09-07
34-78775
IA-4523
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/2016/34-78775.pdf
2016-09-08
AP-4139
Order Scheduling Hearing and Designating Presiding Judge
/alj/aljorders/2016/ap-4139.pdf
2016-09-14
AP-4155
Order Postponing Hearing and Scheduling Prehearing Conference
/alj/aljorders/2016/ap-4155.pdf
2016-10-20
AP-4283
Order Following Prehearing Conference
/alj/aljorders/2016/ap-4283.pdf
2016-11-14
AP-4346
Order Setting Date for Answer
/alj/aljorders/2016/ap-4346.pdf
2016-12-12
AP-4439
Order Scheduling Prehearing Conference
/alj/aljorders/2016/ap-4439.pdf
2016-12-14
AP-4450
Order Following Prehearing Conference
/alj/aljorders/2016/ap-4450.pdf
2016-12-02
Respondent's Answer
/litigation/apdocuments/3-17528-event-12_redacted.pdf
2017-01-13
Division's Motion for Summary Disposition Against Respondent, Aaron Nash Kazinec and Supporting Memorandum of Law
/litigation/apdocuments/3-17528-event-16.pdf
2017-02-06
34-79977
IA-4640
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/2017/34-79977.pdf