2019-06-19
3-17699
Neman, Shervin
Neman Financial, Inc.
/litigation/apdocuments/ap-3-17699.xml
2016-11-29
IA-4575
Order Instituting Administrative Proceedings Pursuant to Sections 203(e) and 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing
/litigation/admin/2016/ia-4575.pdf
2016-12-02
AP-4410
Order Scheduling Hearing and Designating Presiding Judge
/alj/aljorders/2016/ap-4410.pdf
2016-12-13
AP-4443
Order Postponing Hearing and Directing Division to Confer with Respondent's Counselor
/alj/aljorders/2016/ap-4443.pdf
2016-12-13
Division's Motion for Postponement of Hearing
/litigation/apdocuments/3-17699-event-4.pdf
2017-01-25
AP-4547
Order to Show Cause
/alj/aljorders/2017/ap-4547.pdf
2017-02-27
AP-4631
Order Scheduling Prehearing Conference
/alj/aljorders/2017/ap-4631.pdf
2017-03-03
AP-4649
Order Following Prehearing Conference and Setting Answer and Briefing Deadlines
/alj/aljorders/2017/ap-4649.pdf
2017-03-20
AP-4697
Order On Respondents' March 15 Filing
/alj/aljorders/2017/ap-4697.pdf
2017-04-03
AP-4729
Scheduling Order
/alj/aljorders/2017/ap-4729.pdf
2017-04-12
AP-4746
Order Scheduling Prehearing Conference
/alj/aljorders/2017/ap-4746.pdf
2017-04-19
AP-4755
Order Following Prehearing Conference
/alj/aljorders/2017/ap-4755.pdf
2017-04-03
Answer to Order Instituting Proceedings
/litigation/apdocuments/3-17699-event-18.pdf
2017-05-19
AP-4812
Order
/alj/aljorders/2017/ap-4812.pdf
2017-05-19
Division's Motion For Summary Disposition Against Respondents Shervin Neman And
Neman Financial, Inc. And Memorandum Of Law In Support
/litigation/apdocuments/3-17699-event-25.pdf
2017-07-13
Division's Reply in Support Of Motion for Summary Disposition Against Respondents Shervin Neman Financial, Inc., Certificate of Service, and Supplemental Declaration of Amy Jane Longo
/litigation/apdocuments/3-17699-event-27.pdf
2017-08-15
AP-4973
Order Scheduling Prehearing Conference
/alj/aljorders/2017/ap-4973.pdf
2017-08-25
AP-5002
Order Following Prehearing Conference
/alj/aljorders/2017/ap-5002.pdf
2017-09-08
AP-5037
Order Regarding Respondent's Letter
/alj/aljorders/2017/ap-5037.pdf
2017-11-20
ID-1227
Initial Decision
/alj/aljdec/2017/id1227jsp.pdf
2017-12-06
AP-5284
Notice to the Parties and Order Following Remand
/alj/aljorders/2017/ap-5284.pdf
2017-12-28
AP-5426
Order On Request for Release from Federal Custody
/alj/aljorders/2017/ap-5426.pdf
2017-12-27
Letter Dated 12/20/17 from Respondent to ALJ Requesting Release from Federal Prison
/litigation/apdocuments/3-17699-event-38.pdf
2018-01-05
Letter dated 1/5/18 from Division to ALJ requesting that he ratify all prior actions made in this proceeding, with proposed Order
/litigation/apdocuments/3-17699-event-40.pdf
2018-02-13
AP-5584
Order Ratifying Prior Actions
/alj/aljorders/2018/ap-5584.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
2018-09-28
AP-6120
Order
/alj/aljorders/2018/ap-6120.pdf
2018-12-18
AP-6410
Order to Show Cause
/alj/aljorders/2018/ap-6410.pdf
2019-02-14
AP-6456
Order
/alj/aljorders/2019/ap-6456.pdf
2019-03-18
ID-1369
Initial Decision Making Findings and Imposing Sanction by Default
/alj/aljdec/2019/id1369cff.pdf
2019-06-19
IA-5257
Notice That Initial Decision Has Become Final
/alj/aljdec/2019/ia-5257.pdf