2018-10-01
3-17963
Zipper, Bruce; Dakota Securities International
/litigation/apdocuments/ap-3-17963.xml
2017-04-24
Letter dated 4/16/17 from Bruce Zipper (Dakota Securities International) requesting
review of 4/22/16 AWC with FINRA
/litigation/apdocuments/3-17963-event-1.pdf
2017-05-30
FINRA's Motion To Dismiss Zipper's Application for Review and to Stay Briefing Schedule
/litigation/apdocuments/3-17963-event-6.pdf
2017-05-30
Letter dated 5/18/17 from Applicant to OS re-sending Exhibit D
/litigation/apdocuments/3-17963-event-7.pdf
2017-06-07
FINRA's Reply In Support Of Its Motion To Dismiss Zipper's Application For Review And To Stay Briefing Schedule, with Ex. A
/litigation/apdocuments/3-17963-event-8.pdf
2017-06-08
Applicant's Motion In Response To FINRA's Motion To Dismiss Application For
Review
/litigation/apdocuments/3-17963-event-9.pdf
2017-06-12
Bruce Zipper's Motion Objecting To FINRA's Motion To Dismiss Application For
Review and To Stay Briefing Schedule
/litigation/apdocuments/3-17963-event-10.pdf
2017-06-29
Respondent's letter dated 6/22/17 in response to FINRA's 6/7/17 Reply Motion to Dismiss regarding application for review and to stay briefing schedule
/litigation/apdocuments/3-17963-event-12.pdf
2017-09-29
34-81788
Opinion of the Commission
/litigation/opinions/2017/34-81788.pdf
2018-01-11
34-82486
Order Requesting Additional Written Submissions
/litigation/opinions/2018/34-82486.pdf
2018-01-17
34-82526
Extension Order
/litigation/opinions/2018/34-82526.pdf
2017-10-10
Letter dated 10/3/17 from Applicant Zipper requesting reconsideration of the Commission's 9/29/17 Opinion
/litigation/apdocuments/3-17963-event-14.pdf
2018-02-05
Applicant's Response to FINRA's Brief in Response to the Commission's Order
Requesting Additional Written Submissions w/Exhibits A-C
/litigation/apdocuments/3-17963-event-20.pdf
2018-03-09
FINRA's Opposition to Zipper's Motion to Adduce Additional Evidence
/litigation/apdocuments/3-17963-event-23.pdf
2018-03-09
Bruce Zipper's Response to FINRA's Objection and Opposition to Zipper's Motion to Adduce Additional Evidence
/litigation/apdocuments/3-17963-event-24.pdf
2018-03-09
Bruce Zipper's Response to FINRA's Objection and Opposition to Zipper's Motion to Adduce Additional Evidence
/litigation/apdocuments/3-17963-event-24b.pdf
2018-10-01
34-84324
Order Denying Request for Reconsideration
/litigation/opinions/2018/34-84324.pdf