Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Section 203(f) of the Investment Advisers Act of 1940, and Notice of Hearing Order of Suspension Pursuant to Rule 102(e)(2) of the Commission's Rules of Practice

2017-04-13 3-17685 Mark D. Holt (a/ka Mark D. Holthusen) /litigation/apdocuments/ap-3-17685.xml 2016-11-17 34-79338 IA-4569 Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Section 203(f) of the Investment Advisers Act of 1940, and Notice of Hearing Order of Suspension Pursuant to Rule 102(e)(2) of the Commission's Rules of Practice /litigation/admin/2016/34-79338.pdf 2016-11-18 AP-4370 Order Scheduling Hearing and Designating Presiding Judge /alj/aljorders/2016/ap-4370.pdf 2016-12-14 AP-4453 Order Postponing Hearing and Scheduling Prehearing Conference /alj/aljorders/2016/ap-4453.pdf 2016-12-20 AP-4470 Order Following Prehearing Conference /alj/aljorders/2016/ap-4470.pdf 2016-12-21 AP-4476 Order Scheduling Prehearing Conference /alj/aljorders/2016/ap-4476.pdf 2017-01-11 AP-4517 Order Following Prehearing Conference /alj/aljorders/2016/ap-4517.pdf 2017-02-02 AP-4580 Order Following Prehearing Conference /alj/aljorders/2017/ap-4580.pdf 2017-03-03 AP-4653 Stay Order /alj/aljorders/2017/ap-4653.pdf 2017-04-13 34-80459 IA-4686 Order Making Findings and Imposing Remedial Sanctions Pursuant to Section 15(b)(6) of the Securities Exchange Act of 1934, and Section 203(f) of the Investment Advisers Act of 1940 /litigation/admin/2017/34-80459.pdf