2020-02-07
3-17560
Springsteen-Abbott, Kimberly
/litigation/apdocuments/ap-3-17560.xml
2016-09-20
Application for Review
/litigation/apdocuments/3-17560-event-1.pdf
2016-10-14
Order Scheduling Briefs
/litigation/opinions/2016/34-79099.pdf
2016-11-14
Extension Order
/litigation/admin/2016/34-79302.pdf
2016-09-20
Applicant's Motion for Oral Argument
/litigation/apdocuments/3-17560-event-2.pdf
2016-12-28
FINRA's Brief in Opposition to the Application for Review
/litigation/apdocuments/3-17560-event-18.pdf
2017-01-11
Appellants Reply Memorandum of Law; Oral Argument Requested
/litigation/apdocuments/3-17560-event-19.pdf
2016-12-01
Letter dated 11/29/16 to Office of the Secretary from Respondent's Counsel JEDavidson regarding Motion to Submit Additional Evidence to Supplement Record, and Applicant is Seeking Reversal of a Decision by the NAC
/litigation/apdocuments/3-17560-event-15.pdf
2016-12-09
FINRA's Opposition to Applicant's Motion to Submit Additional Evidence to
Supplement the Record
/litigation/apdocuments/3-17560-event-16.pdf
2016-12-14
Applicant's Reply Memorandum in Support of Motion to Submit Additional Evidence to
Supplement the Record
/litigation/apdocuments/3-17560-event-17.pdf
2016-12-28
FINRA's Brief in Opposition to the Application for Review
/litigation/apdocuments/3-17560-event-18.pdf
2016-11-28
Applicant's Brief in Support of Application for Review (Oral Argument Requested)
/litigation/apdocuments/3-17560-event-12.pdf
2017-03-31
34-80360
Opinion of the Commission
/litigation/opinions/2017/34-80360.pdf
2017-08-14
Notice of Appeal of NAC Decision; Oral Argument Requested
/litigation/apdocuments/3-17560-event-21.pdf
2017-10-10
Applicant's Memoranum of Law in Support of her Appeal
/litigation/apdocuments/3-17560-event-26.pdf
2017-11-16
FINRA's Brief in Opposition to the Application for Review
/litigation/apdocuments/3-17560-event-29.pdf
2017-12-01
Applicant's Reply Memorandum of Law
/litigation/apdocuments/3-17560-event-30.pdf
2017-12-12
Letter Dated 12/11/17 from FINRA to Secretary Fields Requesting Briefing Schedule on New Arguments Applicant Made in her Reply Brief, Regarding Kokesh v. SEC and Saad V. SEC
/litigation/apdocuments/3-17560-event-31.pdf
2018-01-22
FINRA's Response Brief Concerning the Relevance, if any, of the Kokesh and Saad II Decisions to this Appeal
/litigation/apdocuments/3-17560-event-34.pdf
2018-02-06
Appellant's Reply Brief Concerning the Relevance of the Kokesh and Saad II
Decisions
/litigation/apdocuments/3-17560-event-35.pdf
2018-12-06
34-84726
Order Extending Time to Issue Decision
/litigation/opinions/2018/34-84726.pdf
2019-02-04
34-85050
Order Extending Time to Issue Decision
/litigation/opinions/2019/34-85050.pdf
2019-05-06
34-85789
Order Extending Time to Issue Decision
/litigation/opinions/2019/34-85789.pdf
2019-07-02
34-86281
Order Extending Time to Issue Decision
/litigation/opinions/2019/34-86281.pdf
2019-09-03
34-86849
Order Extending Time to Issue Decision
/litigation/opinions/2019/34-86849.pdf
2019-11-04
34-87456
Order Extending Time to Issue Decision
/litigation/opinions/2019/34-87456.pdf
2019-12-09
34-87702
Order Extending Time to Issue Decision
/litigation/opinions/2019/34-87702.pdf
2020-01-08
34-87913
Order Extending Time to Issue Decision
/litigation/opinions/2020/34-87913.pdf
2020-02-07
34-88156
Opinion of the Commission
/litigation/opinions/2020/34-88156.pdf