2019-09-05
3-18098
Teran, Alfred C.
/litigation/apdocuments/ap-3-18098.xml
2017-08-03
34-81308
IC-32773
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934 and Section 9(b) of the Investment Company Act of 1940 and Notice of Hearing
/litigation/admin/2017/34-81308.pdf
2017-08-04
AP-4949
Order Scheduling Hearing and Designating Presiding Judge
/alj/aljorders/2017/ap-4949.pdf
2017-08-24
AP-5000
Order Postponing Hearing and Directing Parties to Suggest a Prehearing Conference Date
/alj/aljorders/2017/ap-5000.pdf
2017-09-28
AP-5112
Order Finding Service and Scheduling Prehearing Conference
/alj/aljorders/2017/ap-5112.pdf
2017-10-06
AP-5147
Scheduling Order
/alj/aljorders/2017/ap-5147.pdf
2017-10-24
AP-5198
Order Extending Deadlines
/alj/aljorders/2017/ap-5198.pdf
2017-12-11
AP-5350
Order Following Ratification of Appointment and Modifying Prehearing Schedule
/alj/aljorders/2017/ap-5350.pdf
2018-01-05
AP-5435
Order Regarding Respondent's Email Submission
/alj/aljorders/2018/ap-5435.pdf
2018-01-11
Answer and Affirmative Defenses of Alfred C. Teran
/litigation/apdocuments/3-18098-event-16.pdf
2018-01-05
Division's Letter Regarding Ratification of All Prior Actions, with Proposed Order
/litigation/apdocuments/3-18098-event-14.pdf
2018-02-12
AP-5581
Order Ratifying Prior Actions and Staying Proceeding
/alj/aljorders/2018/ap-5581.pdf
2018-06-25
AP-5852
Notice of Stay
/alj/aljorders/2018/ap-5852.pdf
2018-07-23
AP-5919
Notice of Extension of Stay
/alj/aljorders/2018/ap-5919.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
2018-09-27
AP-6102
Order for Status Report
/alj/aljorders/2018/ap-6102.pdf
2018-10-17
AP-6202
Order for Status Report
/alj/aljorders/2018/ap-6202.pdf
2018-10-26
AP-6259
Order Lifting Stay and Scheduling Prehearing Conference
/alj/aljorders/2018/ap-6259.pdf
2018-11-05
AP-6296
Order Setting Briefing Schedule
/alj/aljorders/2018/ap-6296.pdf
2018-12-11
34-84794
IC-33322
Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934 and Section 9(b) of the Investment Company Act of 1940 as to Alfred C. Teran and Ordering Additional Proceedings
/litigation/admin/2018/34-84794.pdf
2018-12-12
AP-6396
Order Following Settlement
/alj/aljorders/2018/ap-6396.pdf
2019-02-01
AP-6436
Order Extending Deadlines
/alj/aljorders/2019/ap-6436.pdf
2019-02-11
AP-6451
Second Order Extending Deadlines
/alj/aljorders/2019/ap-6451.pdf
2019-03-18
AP-6504
Order Redesignating Presiding Judge
/alj/aljorders/2019/ap-6504.pdf
2019-05-30
AP-6588
Order Deferring Decision On Summary Disposition Motion and Directing Supplemental Filings
/alj/aljorders/2019/ap-6588.pdf
2019-06-14
AP-6608
Order Staying Proceeding
/alj/aljorders/2019/ap-6608.pdf
2019-09-05
34-86886
IC-33617
Order Making Findings and Imposing Disgorgement and Prejudgment Interest Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934 and Section 9(b) of the Investment Company Act of 1940 as to Alfred C. Teran
/litigation/admin/2019/34-86886.pdf