2019-06-06
3-18271
Smith, Jeffrey D.
Carswell, Joseph
Fullard, Michael W.
/litigation/apdocuments/ap-3-18271.xml
2017-10-31
34-81983
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Notice of Hearing
/litigation/admin/2017/34-81983.pdf
2017-11-02
AP-5214
Order Scheduling Hearing and Designating Presiding Judge
/alj/aljorders/2017/ap-5214.pdf
2017-11-20
AP-5234
Order Postponing Hearing and Directing the Division of Enforcement to File Declaration of Service
/alj/aljorders/2017/ap-5234.pdf
2017-12-06
AP-5279
Order Regarding Service
/alj/aljorders/2017/ap-5279.pdf
2018-01-12
AP-5462
Order Regarding Service and Notice to the Parties
/alj/aljorders/2018/ap-5462.pdf
2018-01-24
AP-5523
Order to Show Cause, Set Motion Deadline, and Schedule the Submission of New Evidence
/alj/aljorders/2018/ap-5523.pdf
2018-02-06
AP-5569
Order Ratifying Actions
/alj/aljorders/2018/ap-5569.pdf
2018-02-27
AP-5632
Order Denying Motion for Default and Sanctions Without Prejudice, Finding Service On Jeffrey D. Smith, and Directing Him to Show Cause
/alj/aljorders/2018/ap-5632.pdf
2018-02-27
Motion by Division for a Finding That Respondents Joseph Carswell and Michael W.
Fullard Are in Default and For Imposition of Remedial Sanctions, with Exhibits A-D
/litigation/apdocuments/3-18271-event-14.pdf
2018-02-22
Division's Response to Order Requiring it to File Supplemental Declaration Regarding
Status of Service of Jeffrey D. Smith
/litigation/apdocuments/3-18271-event-12.pdf
2018-03-23
Motion by Division for a Finding That The Respondents, Jeffrey D Smith, Joseph
Carswell and Michael Fullard are in Default and for Imposition of Remedial Sanctions
/litigation/apdocuments/3-18271-event-15.pdf
2018-06-19
ID-1256
Initial Decision of Default
/alj/aljdec/2018/id1256ce.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
2018-09-28
AP-6117
Order
/alj/aljorders/2018/ap-6117.pdf
2018-10-30
AP-6269
Order to Show Cause
/alj/aljorders/2018/ap-6269.pdf
2019-03-05
ID-1362
Initial Decision Making Findings and Imposing Sanction by Default
/alj/aljdec/2019/id1362cff.pdf
2019-06-06
34-86059
Notice That Initial Decision Has Become Final
/alj/aljdec/2019/34-86059.pdf