2021-01-08
3-17874
Harris, Talman
/litigation/apdocuments/ap-3-17874.xml
2017-03-10
34-80197
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Notice of Hearing
/litigation/admin/2017/34-80197.pdf
2017-03-13
AP-4675
Order Consolidating Proceedings and Designating Presiding Judge
/alj/aljorders/2017/ap-4675.pdf
2017-04-10
AP-4741
Order Postponing Hearing, Directing Division to File Declaration of Service, and Scheduling Prehearing Conference
/alj/aljorders/2017/ap-4741.pdf
2017-04-24
AP-4763
Order Directing Division of Enforcement to File Supplemental Declaration of Service and Rescheduling Prehearing Conference
/alj/aljorders/2017/ap-4763.pdf
2017-05-26
AP-4834
Order Following Prehearing Conference and to Show Cause as to Respondent Alfaya
/alj/aljorders/2017/ap-4834.pdf
2017-06-21
AP-4880
Order Discharging Order to Show Cause as to Respondent Alfaya
/alj/aljorders/2017/ap-4880.pdf
2017-06-19
Division's Motion for Summary Disposition Against Respondent Talman Harris, Memorandum Support of Motion, and Declaration of John 0. Enright
/litigation/apdocuments/3-17874-event-11.pdf
2017-06-20
Answer of Respondent Victor Alfaya
/litigation/apdocuments/3-17874-event-12.pdf
2017-10-30
ID-1213
Initial Decision
/alj/aljdec/2017/id1213ce.pdf
2017-12-01
Letter dated 11/6/17 from Respondent Talman Harris to ALJ regarding the service of
orders and initial decision
/litigation/apdocuments/3-17874-event-19.pdf
2017-12-04
AP-5248
Notice to the Parties and Order Following Remand
/alj/aljorders/2017/ap-5248.pdf
2018-01-05
Division's Response to Respondent Harris' 11 /6/17 Letter, with Declaration of Howard A. Fischer in Support, and Exhibits A-G
/litigation/apdocuments/3-17874-event-22.pdf
2018-01-29
AP-5548
Order Ratifying Actions
/alj/aljorders/2018/ap-5548.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-6121
Order
/alj/aljorders/2018/ap-6121.pdf
2019-04-01
AP-6531
Order
/alj/aljorders/2019/ap-6531.pdf
2019-04-01
AP-6532
Order to Show Cause
/alj/aljorders/2019/ap-6532.pdf
2019-04-23
Division's Motion for Summary Disposition Against Respondent Harris and Opposition
to Respondent's Motion for Summary Disposition, Memorandum of Law in Support of
the Motion, the Declaration of John O. Enright in Support
/litigation/apdocuments/3-17874-event-35.pdf
2019-06-28
ID-1380
Initial Decision as to Talman Harris
/alj/aljdec/2019/id1380cff.pdf
2019-06-28
ID-1381
Initial Decision as to Victor Alfaya Making Findings and Imposing Sanction by Default
/alj/aljdec/2019/id1381cff.pdf
2019-09-30
34-87162
Notice That Initial Decision Has Become Final
/alj/aljdec/2019/34-87162.pdf
2019-10-30
34-87425
Order Remanding Proceeding
/litigation/opinions/2019/34-87425.pdf
2019-12-09
AP-6716
Order
/alj/aljorders/2019/ap-6716.pdf
2020-02-05
AP-6730
Order
/alj/aljorders/2020/ap-6730.pdf
2020-03-05
Notice of Resting on Prior Briefing
/litigation/apdocuments/3-17874-event-44.pdf
2020-09-02
ID-1402
Supplemental Initial Decision Talman Harris And Victor Alfaya
/alj/aljdec/2020/id1402cff.pdf
2021-01-08
34-90881
Notice That Initial Decision Has Become Final
/alj/aljdec/2021/34-90881.pdf