2017-08-30
3-17686
Lee, James Y.
/litigation/apdocuments/ap-3-17686.xml
2016-11-17
IA-4571
Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing
/litigation/admin/2016/ia-4571.pdf
2016-11-18
AP-4374
Order Scheduling Hearing and Designating Presiding Judge
/alj/aljorders/2016/ap-4374.pdf
2016-12-12
AP-4435
Order Postponing Hearing and Scheduling Prehearing Conference
/alj/aljorders/2016/ap-4435.pdf
2016-12-28
AP-4488
Order Following Prehearing Conference
/alj/aljorders/2016/ap-4488.pdf
2017-01-11
AP-4516
Order to Show Cause
/alj/aljorders/2017/ap-4516.pdf
2017-01-31
Division's Motion for Default and Imposition of Sanctions Against Respondent James
Y. Lee
/litigation/apdocuments/3-17686-event-11.pdf
2017-01-31
Declaration of Jennifer Peltz in Support of Division's Motion for Default and Imposition
of Sanctions Against Respondent James Y. Lee
/litigation/apdocuments/3-17686-event-12.pdf
2017-05-22
ID-1140
Initial Decision On Default
/alj/aljdec/2017/id1140bpm.pdf
2017-08-30
IA-4760
Notice That Initial Decision Has Become Final
/alj/aljdec/2017/ia-4760.pdf