Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Sections 4C, 15(b), 15B(c)(4), and 21C of the Securities Exchange Act of 1934, Section 9(b) of the Investment Company Act of 1940, and Rule 102(e) of the Commission's Rules of Practice, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order, and Notice of Hearing

2018-02-06 3-17902 Lynch, John T., Jr. /litigation/apdocuments/ap-3-17902.xml 2017-04-05 33-10335 34-80377 IC-32592 Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Sections 4C, 15(b), 15B(c)(4), and 21C of the Securities Exchange Act of 1934, Section 9(b) of the Investment Company Act of 1940, and Rule 102(e) of the Commission's Rules of Practice, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order, and Notice of Hearing /litigation/admin/2017/33-10335.pdf 2017-04-07 AP-4739 Order Scheduling Hearing and Designating Presiding Judge /alj/aljorders/2017/ap-4739.pdf 2017-04-13 AP-4748 Order Postponing Hearing and Scheduling Prehearing Conference /alj/aljorders/2017/ap-4748.pdf 2017-05-02 AP-4780 Order Following Prehearing Conference /alj/aljorders/2017/ap-4780.pdf 2017-05-25 AP-4829 Order Granting Extension /alj/aljorders/2017/ap-4829.pdf 2017-06-26 Division's Motion for Summary Disposition and Declaration of David Tutor in Support, with Ex 1-3 /litigation/apdocuments/3-17902-event-12.pdf 2017-08-04 Division's Reply Brief in Further Support of Motion for Summary Disposition, with Ex 1-2 /litigation/apdocuments/3-17902-event-14.pdf 2017-08-22 AP-4989 Order Denying Motion for Summary Disposition /alj/aljorders/2017/ap-4989.pdf 2017-08-29 AP-5011 Order Following Prehearing Conference /alj/aljorders/2017/ap-5011.pdf 2017-09-08 AP-5036 Order Adopting Prehearing Schedule /alj/aljorders/2017/ap-5036.pdf 2017-07-28 Respondent's Opposition to the Division's Motion for Summary Disposition, Deel. of Jacob A. w/Ex. 1-8, Deel of John T. Lynch, Jr., Deel. of John W. Loofbourrow /litigation/apdocuments/3-17902-event-13.pdf 2017-09-21 AP-5083 Order Extending Deadline for Depositions /alj/aljorders/2017/ap-5083.pdf 2017-11-01 AP-5211 Order Extending Certain Prehearing Deadlines /alj/aljorders/2017/ap-5211.pdf 2017-11-29 AP-5242 Stay Order /alj/aljorders/2017/ap-5242.pdf 2017-12-08 AP-5342 Notice to the Parties and Order Ratifying Stay /alj/aljorders/2017/ap-5342.pdf 2018-02-06 34-82634 IC-33001 Order Making Findings and Imposing Remedial Sanctions Pursuant to Sections 15(b) and 15B(c) of the Securities Exchange Act of 1934, and Section 9(b) of the Investment Company Act of 1940 /litigation/admin/2018/34-82634.pdf