2019-05-07
3-17650
Lawler, Joe
/litigation/apdocuments/ap-3-17650.xml
2016-10-28
34-79186
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Notice of Hearing
/litigation/admin/2016/34-79186.pdf
2016-11-07
AP-4326
Order Scheduling Hearing and Designating Presiding Judge
/alj/aljorders/2016/ap-4326.pdf
2016-11-22
AP-4382
Postponement and Protective Order
/alj/aljorders/2016/ap-4382.pdf
2016-11-17
Division's Motion for a Protective Order
/litigation/apdocuments/3-17650-event-5_redacted.pdf
2016-12-12
AP-4438
Scheduling Order
/alj/aljorders/2016/ap-4438.pdf
2016-12-19
AP-4464
Prehearing Order
/alj/aljorders/2016/ap-4464.pdf
2017-02-27
AP-4632
Order to Show Cause
/alj/aljorders/2017/ap-4632.pdf
2017-03-21
ID-1117
Initial Decision Making Findings and Imposing Sanction by Default
/alj/aljdec/2017/id1117cff.pdf
2017-03-03
Division's Motion for Summary Disposition
/litigation/apdocuments/3-17650-event-13.pdf
2017-12-15
AP-5388
Order
/alj/aljorders/2017/ap-5388.pdf
2018-01-05
Motion for Ratificaiton of Initial Decision, with Proposed Order
/litigation/apdocuments/3-17650-event-19.pdf
2018-01-22
AP-5488
Order
/alj/aljorders/2018/ap-5488.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
2018-09-26
AP-6088
Order Following Reassignment
/alj/aljorders/2018/ap-6088.pdf
2018-10-18
AP-6226
Order Finding Service and Scheduling Prehearing Conference
/alj/aljorders/2018/ap-6226.pdf
2018-11-01
AP-6275
Order to Show Cause
/alj/aljorders/2018/ap-6275.pdf
2018-11-15
Division's Motion for Default and Sanctions Against Respondent, w/Exs. 1-6
/litigation/apdocuments/3-17650-event-32.pdf
2018-12-21
ID-1340
Initial Decision of Default
/alj/aljdec/2018/id1340jeg.pdf
2019-05-07
34-85792
Notice That Initial Decision Has Become Final
/alj/aljdec/2019/34-85792.pdf