2019-05-20
3-18129
Berger, Brian Michael
/litigation/apdocuments/ap-3-18129.xml
2017-08-22
34-81460
IA-4754
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/2017/34-81460.pdf
2017-08-23
AP-4992
Order Scheduling Hearing and Designating Presiding Judge
/alj/aljorders/2017/ap-4992.pdf
2017-09-06
AP-5023
Postponement Order
/alj/aljorders/2017/ap-5023.pdf
2017-10-04
AP-5134
Order to Show Cause
/alj/aljorders/2017/ap-5134.pdf
2017-10-25
ID-1203
Initial Decision Making Findings and Imposing Sanction by Default
/alj/aljdec/2017/id1203cff.pdf
2017-12-15
AP-5386
Order
/alj/aljorders/2017/ap-5386.pdf
2018-01-05
Letter dated 1 /4/18 from Division to ALJ requesting that she ratify all prior actions
made in this proceeding, with proposed Order
/litigation/apdocuments/3-18129-event-10.pdf
2018-01-22
AP-5481
Order
/alj/aljorders/2018/ap-5481.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
2018-09-18
AP-6001
Order Following Reassignment
/alj/aljorders/2018/ap-6001.pdf
2018-10-11
AP-6167
Order Regarding Service
/alj/aljorders/2018/ap-6167.pdf
2018-10-23
AP-6246
Order Finding Service and Directing Respondent to Show Cause
/alj/aljorders/2018/ap-6246.pdf
2018-11-20
AP-6353
Order Scheduling Prehearing Conference
/alj/aljorders/2018/ap-6353.pdf
2018-11-30
AP-6378
Order Setting Briefing Schedule
/alj/aljorders/2018/ap-6378.pdf
2019-02-05
ID-1346
Initial Decision of Default
/alj/aljdec/2019/id1346jeg.pdf
2019-05-20
34-85893
IA-5239
Notice That Initial Decision Has Become Final
/alj/aljdec/2019/34-85893.pdf