2019-07-11
3-17828
Herman, Rosalind
/litigation/apdocuments/ap-3-17828.xml
2017-02-07
IA-4643
Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, and Notice of Hearing
/litigation/admin/2017/ia-4643.pdf
2017-02-08
AP-4593
Order Scheduling Hearing and Designating Presiding Judge
/alj/aljorders/2017/ap-4593.pdf
2017-02-28
AP-4635
Postponement Order
/alj/aljorders/2017/ap-4635.pdf
2017-03-09
AP-4665
Prehearing Order
/alj/aljorders/2017/ap-4665.pdf
2017-04-27
AP-4774
Prehearing Order
/alj/aljorders/2017/ap-4774.pdf
2017-06-29
AP-4900
Prehearing Order
/alj/aljorders/2017/ap-4900.pdf
2017-07-20
Division's Motion For Summary Disposition Against Respondent, Memorandum of Law in Support, Declaration of Kathleen Shields in Support
/litigation/apdocuments/3-17828-event-10_redacted.pdf
2017-09-08
AP-5038
Order
/alj/aljorders/2017/ap-5038.pdf
2017-10-05
AP-5138
Order
/alj/aljorders/2017/ap-5138.pdf
2017-11-01
AP-5213
Order
/alj/aljorders/2017/ap-5213.pdf
2017-11-27
AP-5239
Order
/alj/aljorders/2017/ap-5239.pdf
2017-12-19
AP-5410
Order
/alj/aljorders/2017/ap-5410.pdf
2017-10-24
Answer to Order Instituting Proceedings Pursuant to Section 203, of the Investment
Advisor Act of 1940, and Notice of Hearing
/litigation/apdocuments/3-17828-event-18.pdf
2018-01-05
Letter dated 1/3/18 from Division to ALJ requesting that she ratify all prior actions
made in this proceeding, with proposed order
/litigation/apdocuments/3-17828-event-30.pdf
2018-01-26
AP-5537
Order
/alj/aljorders/2018/ap-5537.pdf
2018-01-19
Division of Enforcement's Response to Respondent Rosalind Herman's Recent
Pleadings
/litigation/apdocuments/3-17828-event-32.pdf
2018-02-15
AP-5602
Order
/alj/aljorders/2018/ap-5602.pdf
2017-12-22
Division's Reply Brief In Support of Motion for Summary Disposition, with
Supplemental Declaration of Kathleen Shields
/litigation/apdocuments/3-17828-event-28.pdf
2017-12-27
Respondent's Answer
/litigation/apdocuments/3-17828-event-29.pdf
2018-03-16
AP-5650
Order
/alj/aljorders/2018/ap-5650.pdf
2018-03-19
Respondent's Motion to Dismiss Division's Reply Memorandum of Law in Support of
Its Motion for Summary Disposition Against Respondent Rosalind Herman
/litigation/apdocuments/3-17828-event-42.pdf
2018-04-17
ID-1249
Initial Decision
/alj/aljdec/2018/id1249cff.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
2018-09-14
AP-5973
Order Scheduling Prehearing Conference
/alj/aljorders/2018/ap-5973.pdf
2018-09-18
AP-6013
Reassignment Order
/alj/aljorders/2018/ap-6013.pdf
2018-09-20
AP-6047
Order Following Reassignment
/alj/aljorders/2018/ap-6047.pdf
2018-10-16
AP-6199
Order Setting Motions Schedule and Scheduling Prehearing Conference
/alj/aljorders/2018/ap-6199.pdf
2018-11-02
AP-6286
Order Following Prehearing Conference
/alj/aljorders/2018/ap-6286.pdf
2018-11-13
Division of Enforcement's Memorandum of Law in Support of its Motion for Summary
Disposition Against Respondent Rosalind Herman
/litigation/apdocuments/3-17828-event-65.pdf
2018-11-13
Divison of Enforcement's Motion for Summary Disposition Against Respondent Rosalind Herman
/litigation/apdocuments/3-17828-event-64-redacted.pdf
2019-02-01
AP-6438
Order Granting Extension
/alj/aljorders/2019/ap-6438.pdf
2019-04-05
ID-1371
Initial Decision
/alj/aljdec/2019/id1371jeg.pdf
2019-07-11
IA-5297
Notice That Initial Decision Has Become Final
/alj/aljdec/2019/ia-5297.pdf