Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing

2018-04-23 3-18127 Shkreli, Martin /litigation/apdocuments/ap-3-18127.xml 2017-08-22 IA-4753 Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing /litigation/admin/2017/ia-4753.pdf 2017-08-23 AP-4991 Order Scheduling Hearing and Designating Presiding Judge /alj/aljorders/2017/ap-4991.pdf 2017-09-05 AP-5020 Order Postponing Hearing and Scheduling Prehearing Conference /alj/aljorders/2017/ap-5020.pdf 2017-09-06 Respondent's Answer /litigation/apdocuments/3-18127-event-5.pdf 2017-09-21 AP-5076 Order Following Prehearing Conference /alj/aljorders/2017/ap-5076.pdf 2017-10-06 AP-5144 Order Setting Hearing Date and Location /alj/aljorders/2017/ap-5144.pdf 2017-10-12 Division's Motion for Summary Disposition Against Respondent Martin Shkreli and Memorandum of Law In Support /litigation/apdocuments/3-18127-event-9.pdf 2017-11-13 Reply Memorandum of Law In Support of the Division's Motion for Summary Disposition and In Opposition to Respondent's Request for a Stay /litigation/apdocuments/3-18127-event-12.pdf 2017-11-17 AP-5233 Order On Motion for Summary Disposition /alj/aljorders/2017/ap-5233.pdf 2017-11-29 AP-5243 Order Denying Motion for Stay /alj/aljorders/2017/ap-5243.pdf 2017-12-05 AP-5266 Notice to the Parties and Order Postponing Hearing /alj/aljorders/2017/ap-5266.pdf 2018-01-12 AP-5457 Order Scheduling Prehearing Conference /alj/aljorders/2018/ap-5457.pdf 2018-01-05 Letter dated 1/5/18 from Division to ALJ requesting that he ratify all prior actions made in this proceeding, with proposed Order /litigation/apdocuments/3-18127-event-19.pdf 2018-02-01 AP-5563 Order Following Prehearing Conference /alj/aljorders/2018/ap-5563.pdf 2018-02-14 AP-5596 Order Ratifying Prior Actions and Denying Motion for Reconsideration /alj/aljorders/2018/ap-5596.pdf 2018-02-09 Div's Motion for Reconsideration of Decision on Motion for Summary Disposition against Respondent, Declaration of Eric M. Schmidt in Support, and Exhibits G-L /litigation/apdocuments/3-18127-event-22.pdf 2018-02-28 AP-5635 Order Setting Hearing Date and Location /alj/aljorders/2018/ap-5635.pdf 2018-03-19 AP-5654 Order Requesting Response to Request to File Notice of Deposition /alj/aljorders/2018/ap-5654.pdf 2018-03-26 Letter Dated 3/23/18 from Respondent to ALJ Requesting Acceptance of Letter Submitted in Lieu of a Formal Memo in Opposition to the Division's Request for a Deposition with Exhibit A /litigation/apdocuments/3-18127-event-27.pdf 2018-03-28 AP-5662 Order Regarding Notice of Deposition and Document Subpoena Directed to Respondent /alj/aljorders/2018/ap-5662.pdf 2018-04-06 AP-5676 Stay Order /alj/aljorders/2018/ap-5676.pdf 2018-04-23 IA-4895 Order Making Findings and Imposing Remedial Sanctions Pursuant to Section 203(f) of the Investment Advisers Act of 1940 /litigation/admin/2018/ia-4895.pdf