Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933 and Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order, and Notice of Hearing

2017-11-29 3-17676 OTC Global Partners, LLC Dias, Raimundo /litigation/apdocuments/ap-3-17676.xml 2016-11-14 33-10254 34-79300 Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933 and Section 15(b) 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/2016/33-10254.pdf 2016-11-16 AP-4355 Order Scheduling Hearing and Designating Presiding Judge /alj/aljorders/2016/ap-4355.pdf 2016-12-12 AP-4436 Order /alj/aljorders/2016/ap-4436.pdf 2016-12-20 AP-4472 Order /alj/aljorders/2016/ap-4472.pdf 2016-12-27 Division's Motion for Summary Disposition against Respondent Dias /litigation/apdocuments/3-17676-event-9.pdf 2017-01-24 Respondent Dias's Response to Division's Motion for Summary Disposition /litigation/apdocuments/3-17676-event-10.pdf 2017-02-17 Division's Reply in Support of its Motion for Summary Disposition against Respondent Dias /litigation/apdocuments/3-17676-event-11.pdf 2017-08-21 ID-1163 Initial Decision as to Raimundo Dias /alj/aljdec/2017/id1163cff.pdf 2017-11-29 33-10439 34-82165 Notice that Initial Decision has become Final /alj/aljdec/2017/33-10439.pdf