2019-09-13
3-17645
Snisky, Gary C.
/litigation/apdocuments/ap-3-17645.xml
2016-10-27
34-79169
IA-4560
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/2016/34-79169.pdf
2016-10-28
AP-4306
Order Scheduling Hearing and Designating Presiding Judge
/alj/aljorders/2016/ap-4306.pdf
2016-11-21
AP-4377
Order Postponing Hearing and Requesting Date for Prehearing Conference
/alj/aljorders/2016/ap-4377.pdf
2016-12-22
AP-4478
Order Following Prehearing Conference
/alj/aljorders/2016/ap-4478.pdf
2016-12-12
Division's Response to Motion to Extend Stay
/litigation/apdocuments/3-17645-event-8.pdf
2017-02-13
Division's Motion for Summary Disposition
/litigation/apdocuments/3-17645-event-13.pdf
2017-03-27
AP-4711
Order On Motion
/alj/aljorders/2017/ap-4711.pdf
2017-05-30
AP-4838
Notice of Stay
/alj/aljorders/2017/ap-4838.pdf
2017-12-15
AP-5393
Order Regarding the Securities and Exchange Commission's Order On Pending Administrative Proceedings
/alj/aljorders/2017/ap-5393.pdf
2018-01-29
AP-5549
Order Granting Motion for Extension to Submit New Evidence
/alj/aljorders/2018/ap-5549.pdf
2018-03-06
AP-5639
Extension Order
/alj/aljorders/2018/ap-5639.pdf
2018-02-13
Respondent's brief requesting that the opinion and order be vacated and civil matter
dismissed, with Exhibit
/litigation/apdocuments/3-17645-event-23.pdf
2018-03-16
Division's Reply Concerning Remand Order
/litigation/apdocuments/3-17645-event-25.pdf
2018-03-26
AP-5658
Order Ratifying Prior Actions
/alj/aljorders/2018/ap-5658.pdf
2018-05-14
ID-1251
Initial Decision
/alj/aljdec/2018/id1251bpm.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
2018-09-20
AP-6034
Order Following Reassignment
/alj/aljorders/2018/ap-6034.pdf
2018-10-12
AP-6172
Order Scheduling Prehearing Conference
/alj/aljorders/2018/ap-6172.pdf
2018-10-18
AP-6212
Order Setting Briefing Schedule
/alj/aljorders/2018/ap-6212.pdf
2018-10-24
Division's Motion for Summary Disposition Pursuant to Rule 250 of the Commission
Rules of Practice, w/Exs. 1-2
/litigation/apdocuments/3-17645-event-37.pdf
2018-11-27
AP-6365
Order Extending Briefing Schedule
/alj/aljorders/2018/ap-6365.pdf
2019-02-01
AP-6439
Order Suspending Briefing Schedule
/alj/aljorders/2019/ap-6439.pdf
2019-02-06
AP-6442
Order Granting in Part Respondent's Motion for Discovery and Revising Briefing Schedule
/alj/aljorders/2019/ap-6442.pdf
2019-02-07
AP-6445
Order Denying Without Prejudice Motion for Protective Order
/alj/aljorders/2019/ap-6445.pdf
2019-02-15
AP-6461
Protective Order
/alj/aljorders/2019/ap-6461.pdf
2019-03-18
AP-6508
Order Redesignating Presiding Judge
/alj/aljorders/2019/ap-6508.pdf
2019-04-03
Notice that Briefing is Complete
/litigation/apdocuments/3-17645-event-55.pdf
2019-06-05
ID-1379
Initial Decision
/alj/aljdec/2019/id1379jeg.pdf
2019-09-13
34-86968
Notice That Initial Decision Has Become Final
/alj/aljdec/2019/34-86968.pdf