2021-01-07
3-17693
Finn, Sean P.
M. Dwyer LLC
/litigation/apdocuments/ap-3-17693.xml
2016-11-21
34-79367
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 15(b) of the Securities Exchange Act of 1934
/litigation/admin/2016/34-79367.pdf
2016-11-22
AP-4384
Order Scheduling Hearing and Designating Presiding Judge
/alj/aljorders/2016/ap-4384.pdf
2016-12-08
AP-4425
Postponement Order
/alj/aljorders/2016/ap-4425.pdf
2017-03-07
AP-4658
Order to Show Cause
/alj/aljorders/2017/ap-4658.pdf
2017-04-21
ID-1126
Initial Decision Making Findings and Imposing Sanction by Default
/alj/aljdec/2017/id1126cff.pdf
2017-12-15
AP-5390
Order
/alj/aljorders/2017/ap-5390.pdf
2018-01-12
AP-5458
Order
/alj/aljorders/2018/ap-5458.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
2018-09-18
AP-6002
Order Following Reassignment
/alj/aljorders/2018/ap-6002.pdf
2018-10-12
AP-6180
Order Scheduling Prehearing Conference
/alj/aljorders/2018/ap-6180.pdf
2018-10-23
AP-6241
Order Following Prehearing Conference
/alj/aljorders/2018/ap-6241.pdf
2018-11-05
AP-6292
Order Finding Service, Directing Respondents to Show Cause, and Setting Deadline for Motions
/alj/aljorders/2018/ap-6292.pdf
2018-12-18
AP-6409
Order Granting Extension
/alj/aljorders/2018/ap-6409.pdf
2019-02-01
AP-6435
Order Granting Further Extension
/alj/aljorders/2019/ap-6435.pdf
2019-05-08
ID-1375
Initial Decision of Default
/alj/aljdec/2019/id1375jeg.pdf
2019-05-08
Division's Motion for Summary Disposition and Imposition of Sanctions against
Respondents w/ Exhibits
/litigation/apdocuments/3-17693-event-33.pdf
2019-05-13
Respondent Sean Finn's Response to SEC's Division of Enforcement's Motion for
Summary Disposition and Imposition of Sanctions
/litigation/apdocuments/3-17693-event-35-redacted.pdf
2019-07-10
AP-6623
Notice Regarding Respondents' Filing
/alj/aljorders/2019/ap-6623.pdf
2019-09-23
34-87057
Order Remanding Proceeding
/litigation/opinions/2019/34-87057.pdf
2019-09-27
AP-6691
Order Following Remand
/alj/aljorders/2019/ap-6691.pdf
2019-12-04
Division of Enforcement's Reply to Respondent's May 2019 Filing
/litigation/apdocuments/3-17693-event-39.pdf
2020-02-18
ID-1396
Initial Decision of Default
/alj/aljdec/2020/id1396jeg.pdf
2021-01-07
34-90871
Notice That Initial Decision Has Become Final
/alj/aljdec/2021/34-90871.pdf