2019-05-20
3-17888
Bucci, William D.
/litigation/apdocuments/ap-3-17888.xml
2017-03-22
34-80299
IA-4670
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/2017/34-80299.pdf
2017-03-23
AP-4705
Order Scheduling Hearing and Designating Presiding Judge
/alj/aljorders/2017/ap-4705.pdf
2017-04-11
AP-4743
Postponement Order
/alj/aljorders/2017/ap-4743.pdf
2017-05-16
AP-4800
Order to Show Cause
/alj/aljorders/2017/ap-4800.pdf
2017-06-14
ID-1144
Initial Decision Making Findings and Imposing Sanction by Default
/alj/aljdec/2017/id1144cff.pdf
2017-10-03
34-81800
IA-4785
Notice That Initial Decision Has Become Final
/alj/aljdec/2017/34-81800.pdf
2017-12-15
AP-5392
Order
/alj/aljorders/2017/ap-5392.pdf
2018-01-23
AP-5512
Order
/alj/aljorders/2018/ap-5512.pdf
2018-01-05
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/3-17888-event-15.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-5979
Order Following Reassignment
/alj/aljorders/2018/ap-5979.pdf
2018-10-18
AP-6225
Order Finding Service, Directing Respondent to Show Cause, and Scheduling Prehearing Conference
/alj/aljorders/2018/ap-6225.pdf
2018-11-09
AP-6317
Order Following Prehearing Conference
/alj/aljorders/2018/ap-6317.pdf
2019-02-12
ID-1349
Initial Decision of Default
/alj/aljdec/2019/id1349jeg.pdf
2018-12-07
Motion for Default and Sanctions declaration of Christopher R. Kelly
/litigation/apdocuments/3-17888-event-27.pdf
2019-05-20
34-85894
Notice That Initial Decision Has Become Final
/alj/aljdec/2019/34-85894.pdf