Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934, and Section 9(b) of the Investment Company Act of 1940, and Notice of Hearing

2017-02-22 3-17657 Smith, Gregory J. /litigation/apdocuments/ap-3-17657.xml 2016-11-01 34-79207 IC-32345 Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934, and Section 9(b) of the Investment Company Act of 1940, and Notice of Hearing /litigation/admin/2016/34-79207.pdf 2016-11-07 AP-4328 Order Scheduling Hearing and Designating Presiding Judge /alj/aljorders/2016/ap-4328.pdf 2016-12-01 AP-4405 Order Directing Parties to Hold a Prehearing Conference /alj/aljorders/2016/ap-4405.pdf 2016-12-14 AP-4451 Order On Prehearing Schedule /alj/aljorders/2016/ap-4451.pdf 2016-12-20 AP-4471 Stay Order /alj/aljorders/2016/ap-4471.pdf 2017-02-22 34-80083 IC-32505 Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934, and Section 9(b) of the Investment Company Act of 1940 /litigation/admin/2017/34-80083.pdf