2019-06-14
3-18126
Reyes, Gerardo E.
/litigation/apdocuments/ap-3-18126.xml
2017-08-22
34-81458
IA-4752
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/2017/34-81458.pdf
2017-08-23
AP-4993
Order Scheduling Hearing and Designating Presiding Judge
/alj/aljorders/2017/ap-4993.pdf
2017-09-11
AP-5041
Order Postponing Hearing and to Clarify Service
/alj/aljorders/2017/ap-5041.pdf
2017-11-06
AP-5220
Order Directing Respondent to Show Cause and Scheduling Prehearing Conference
/alj/aljorders/2017/ap-5220.pdf
2017-11-28
AP-5240
Order Setting Motion Schedule
/alj/aljorders/2017/ap-5240.pdf
2017-11-30
AP-5245
Order Setting Second Prehearing Conference
/alj/aljorders/2017/ap-5245.pdf
2017-12-12
AP-5366
Order Following Prehearing Conference
/alj/aljorders/2017/ap-5366.pdf
2017-12-21
AP-5415
Order Setting New Motions Schedule
/alj/aljorders/2017/ap-5415.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/3-18126-event-16.pdf
2018-01-22
AP-5503
Order Ratifying Prior Actions
/alj/aljorders/2018/ap-5503.pdf
2018-01-17
Division's Motion for Summary Disposition, with Memorandum of Law and Exh. 1-4
/litigation/apdocuments/3-18126-event-18.pdf
2018-04-05
ID-1248
Initial Decision
/alj/aljdec/2018/id1248bpm.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
2018-09-24
AP-6070
Order Following Reassignment
/alj/aljorders/2018/ap-6070.pdf
2018-10-15
AP-6185
Order to Show Cause
/alj/aljorders/2018/ap-6185.pdf
2019-03-15
ID-1367
Initial Decision of Default
/alj/aljdec/2019/id1367ce.pdf
2019-06-14
34-86114
IA-5253
Notice That Initial Decision Has Become Final
/alj/aljdec/2019/34-86114.pdf