2018-12-26
3-17883
Nadel, Warren D.
/litigation/apdocuments/ap-3-17883.xml
2017-03-16
34-80263
IA-4668
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing
/litigation/admin/2017/34-80263.pdf
2017-03-17
AP-4693
Order Scheduling Hearing and Designating Presiding Judge
/alj/aljorders/2017/ap-4693.pdf
2017-04-25
AP-4766
Order Postponing Hearing and Scheduling Prehearing Conference
/alj/aljorders/2017/ap-4766.pdf
2017-05-23
AP-4818
Order Following Prehearing Conference
/alj/aljorders/2017/ap-4818.pdf
2017-06-16
Division's Motion For Summary Disposition; Declaration of Jore Tenreiro; Memorandum of Law of its Motion for Summary Disposition
/litigation/apdocuments/3-17883-event-11.pdf
2017-07-13
AP-4916
Notice of Filing
/alj/aljorders/2017/ap-4916.pdf
2017-07-17
Division's Reply Memorandum of Law in Further Support of it's Motion For Summary Disposition Against Respondent Warren D. Nadel
/litigation/apdocuments/3-17883-event-13_redacted.pdf
2017-08-04
ID-1158
Initial Decision
/alj/aljdec/2017/id1158ce.pdf
2017-12-07
AP-5330
Notice to the Parties and Order Following Remand
/alj/aljorders/2017/ap-5330.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/3-17883-event-19.pdf
2018-01-16
Division's Response to the January 5, 2018 Submission of Respondent Warren D.
Nadel
/litigation/apdocuments/3-17883-event-20.pdf
2018-02-01
AP-5561
Order Scheduling Prehearing Conference
/alj/aljorders/2018/ap-5561.pdf
2018-02-06
AP-5570
Order Ratifying Actions
/alj/aljorders/2018/ap-5570.pdf
2018-01-23
Respondent's Brief in Response to Order
/litigation/apdocuments/3-17883-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
2018-09-28
AP-6119
Order
/alj/aljorders/2018/ap-6119.pdf
2018-10-19
Respondent's Amended Answer Due October 19, 2018, with attachments
/litigation/apdocuments/3-17883-event-31.pdf
2018-11-15
AP-6325
Order
/alj/aljorders/2018/ap-6325.pdf
2018-11-20
AP-6346
Stay Order
/alj/aljorders/2018/ap-6346.pdf
2018-12-26
34-84962
IA-5094
Order Making Findings and Imposing Remedial Sanctions Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940
/litigation/admin/2018/34-84962.pdf