Order Instituting Administrative and Cease-and-Desist Proceedings and Notice of Hearing Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934, Sections 203(f) and 203(k) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order and Notice of Hearing

2017-08-23 3-17878 Parthemer, Aaron R. /litigation/apdocuments/ap-3-17878.xml 2017-03-13 34-80221 IA-4664 IC-32531 Order Instituting Administrative and Cease-and-Desist Proceedings and Notice of Hearing Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934, Sections 203(f) and 203(k) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order and Notice of Hearing /litigation/admin/2017/34-80221.pdf 2017-03-20 AP-4695 Order Scheduling Hearing and Designating Presiding Judge /alj/aljorders/2017/ap-4695.pdf 2017-03-27 AP-4710 Order Postponing Hearing and Directing the Parties to Hold an Initial Prehearing Conference /alj/aljorders/2017/ap-4710.pdf 2017-04-07 AP-4740 Order Extending Time to Hold Prehearing Conference /alj/aljorders/2017/ap-4740.pdf 2017-04-21 AP-4760 Stay Order /alj/aljorders/2017/ap-4760.pdf 2017-06-12 AP-4863 Order Extending Stay /alj/aljorders/2017/ap-4863.pdf 2017-08-23 34-81471 IA-4756 IC-32794 Order Making Findings and Imposing Sanctions Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Section 203(f) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940 /litigation/admin/2017/34-81471.pdf