2021-02-22
3-17547
Sears, William J.
/litigation/apdocuments/ap-3-17547.xml
2016-09-16
33-10212
34-78865
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 8A of the Securities Act of 1933 and Sections 15(b) and 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order and Notice of Hearing
/litigation/admin/2016/33-10212.pdf
2016-09-21
AP-4172
Order Designating Presiding Judge
/alj/aljorders/2016/ap-4172.pdf
2017-12-21
AP-5416
Order
/alj/aljorders/2017/ap-5416.pdf
2018-01-11
AP-5449
Order
/alj/aljorders/2018/ap-5449.pdf
2018-06-27
AP-5864
Notice
/alj/aljorders/2018/ap-5864.pdf
2018-07-24
AP-5922
Notice
/alj/aljorders/2018/ap-5922.pdf
2018-08-23
AP-5954
Notice from the Chief Administrative Law Judge
/alj/aljorders/2018/ap-5954.pdf
2018-09-12
AP-5955
Chief Administrative Law Judge’s Order Assigning Proceedings Post Lucia v. SEC
/alj/aljorders/2018/ap-5955.pdf
2018-09-13
AP-5957
Order Following Reassignment
/alj/aljorders/2018/ap-5957.pdf
2018-09-28
AP-6116
Order On Motion to Withdraw
/alj/aljorders/2018/ap-6116.pdf
2018-10-04
AP-6140
Order On Procedures
/alj/aljorders/2018/ap-6140.pdf
2019-04-04
Division's Update on Status of United States v. Sears, No. 16-cr-301 (D. Colo.)
/litigation/apdocuments/3-17545-event-19.pdf
2020-03-27
AP-6747
Order Denying Motion to Postpone
/alj/aljorders/2020/ap-6747.pdf
2020-04-14
AP-6751
Order Regarding Service and Scheduling Prehearing Conference
/alj/aljorders/2020/ap-6751.pdf
2020-05-01
AP-6757
Order Regarding Service and Following Prehearing Conference
/alj/aljorders/2020/ap-6757.pdf
2020-05-06
AP-6759
Protective Order
/alj/aljorders/2020/ap-6759.pdf
2020-05-27
AP-6761
Order Extending Briefing Schedule
/alj/aljorders/2020/ap-6761.pdf
2020-05-27
Division’s Motion for Summary Disposition
/litigation/apdocuments/3-17547-event-2020-05-22-divisions-motion-for-summary-disposition.pdf
2020-06-04
Division’s Notice to Pro Se Respondent
/litigation/apdocuments/3-17547-event-2020-06-04-division-notice-to-pro-se-respondent.pdf
2020-07-29
AP-6781
Order Extending Briefing Schedule and Requesting Supplemental Briefing
/alj/aljorders/2020/ap-6781.pdf
2020-08-07
Division's response to July 29 2020 order
/litigation/apdocuments/3-17547-2020-08-07-division-response-to-july-29-2020-order.pdf
2020-09-01
AP-6786
Order Extending Deadline for Issuance of Initial Decision
/alj/aljorders/2020/ap-6786.pdf
2020-11-09
ID-1405
Initial Decision
/alj/aljdec/2020/id1405jeg.pdf
2021-02-22
33-10929
34-91181
Notice That Initial Decision Has Become Final
/litigation/opinions/2021/33-10929.pdf