2018-08-21
3-18070
Lubin, David
/litigation/apdocuments/ap-3-18070.xml
2017-07-19
34-81172
Order Instituting Public Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 4C and 21C of the Securities Exchange Act of 1934 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/2017/34-81172.pdf
2017-07-21
AP-4924
Order Designating Presiding Judge
/alj/aljorders/2017/ap-4924.pdf
2017-08-09
AP-4964
Order Scheduling Prehearing Conference
/alj/aljorders/2017/ap-4964.pdf
2017-08-24
AP-4997
Order Following Prehearing Conference
/alj/aljorders/2017/ap-4997.pdf
2017-12-07
Letter dated 12/7/17 from Division to ALJ, providing a copy of the Judgment and
requesting that ALJ await receipt of the Final Judgment before scheduling a
conference, with Exhibit 1
/litigation/apdocuments/3-18070-event-12.pdf
2017-12-11
AP-5347
Notice Regarding the Securities and Exchange Commission's Order On Pending Administrative Proceedings
/alj/aljorders/2017/ap-5347.pdf
2018-02-07
AP-5577
Order Ratifying Prior Actions
/alj/aljorders/2018/ap-5577.pdf
2018-02-28
Letter of February 28, 2018 on behalf of the Division to report the parties anticipate
will shortly be filing a motion
/litigation/apdocuments/3-18070-event-15.pdf
2018-06-04
AP-5770
Stay Order
/alj/aljorders/2018/ap-5770.pdf
2018-06-28
AP-5873
Notice of Stay
/alj/aljorders/2018/ap-5873.pdf
2018-07-20
AP-5885
Notice of Extension of Stay
/alj/aljorders/2018/ap-5885.pdf
2018-08-21
34-83897
Order Instituing Public Administrative and Cease-and-Desist Proceedings Pursuant to Sections 4C and 21C of the Securities Exchange Act of 1934 and Rule 102(e)(1)(Iii) of the Commissions Rules of Practice, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
/litigation/admin/2018/34-83897.pdf
2018-08-23
AP-5954
Notice from the Chief Administrative Law Judge
/alj/aljorders/2018/ap-5954.pdf