2019-07-12
3-18130
Gainer, Jeffrey
/litigation/apdocuments/ap-3-18130.xml
2017-08-22
34-81461
IA-4755
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/2017/34-81461.pdf
2017-08-23
AP-4996
Order Scheduling Hearing and Designating Presiding Judge
/alj/aljorders/2017/ap-4996.pdf
2017-09-15
AP-5054
Postponement Order
/alj/aljorders/2017/ap-5054.pdf
2017-10-16
AP-5176
Order to Show Cause
/alj/aljorders/2017/ap-5176.pdf
2017-11-02
ID-1221
Initial Decision Making Findings and Imposing Sanction by Default
/alj/aljdec/2017/id1221cff.pdf
2017-12-15
AP-5389
Order
/alj/aljorders/2017/ap-5389.pdf
2018-01-22
AP-5506
Order
/alj/aljorders/2018/ap-5506.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/3-18130-event-10.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
2018-09-26
AP-6090
Order Following Reassignment
/alj/aljorders/2018/ap-6090.pdf
2018-10-19
AP-6230
Scheduling Prehearing Conference
/alj/aljorders/2018/ap-6230.pdf
2018-11-16
AP-6335
Order Following Prehearing Conference
/alj/aljorders/2018/ap-6335.pdf
2019-02-15
AP-6464
Order to Show Cause
/alj/aljorders/2019/ap-6464.pdf
2019-04-10
ID-1372
Initial Decision of Default
/alj/aljdec/2019/id1372jeg.pdf
2019-07-12
34-86366
IA-5298
Notice That Initial Decision Has Become Final
/alj/aljdec/2019/34-86366.pdf