2018-12-21
3-17848
Griffin, James P.
/litigation/apdocuments/ap-3-17848.xml
2017-02-16
34-80054
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Notice of Hearing
/litigation/admin/2017/34-80054.pdf
2017-02-17
AP-4612
Order Scheduling Hearing and Designating Presiding Judge
/alj/aljorders/2017/ap-4612.pdf
2017-03-09
AP-4668
Order Postponing Hearing and Scheduling Prehearing Conference
/alj/aljorders/2017/ap-4668.pdf
2017-03-22
AP-4701
Order
/alj/aljorders/2017/ap-4701.pdf
2017-03-28
AP-4714
Order Following Prehearing Conference
/alj/aljorders/2017/ap-4714.pdf
2017-05-01
AP-4779
Order Granting Extension
/alj/aljorders/2017/ap-4779.pdf
2017-04-19
Division's Notice of Motion for Summary Disposition, Memorandum of Law in Support,
in Declaration of Christopher J. Dunnigan
/litigation/apdocuments/3-17848-event-12.pdf
2017-08-11
ID-1160
Initial Decision
/alj/aljdec/2017/id1160bpm.pdf
2017-12-05
AP-5275
Notice to the Parties and Order Following Remand
/alj/aljorders/2017/ap-5275.pdf
2018-01-22
AP-5483
Order Ratifying Prior Actions
/alj/aljorders/2018/ap-5483.pdf
2018-01-09
Letter dated 1/5/18 from Division to ALJ requesting that she ratify all prior actions
made in this proceeding, with proposed Order
/litigation/apdocuments/3-17848-event-21.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
2018-09-19
AP-6026
Order Following Reassignment
/alj/aljorders/2018/ap-6026.pdf
2018-10-09
AP-6151
Stay Order
/alj/aljorders/2018/ap-6151.pdf
2018-11-01
AP-6279
Order Finding Service and Setting Deadline for Amended Answer
/alj/aljorders/2018/ap-6279.pdf
2018-11-21
AP-6355
Second Stay Order
/alj/aljorders/2018/ap-6355.pdf
2018-12-21
34-84915
Order Making Findings and Imposing Remedial Sanctions Pursuant to Section 15(b) of the Securities Exchange Act of 1934
/litigation/admin/2018/34-84915.pdf