2018-12-21
3-18276
Baccam, Patric Ken a/k/a Khanh Sengpraseuth
/litigation/apdocuments/ap-3-18276.xml
2017-11-08
34-82030
IA-4809
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/2017/34-82030.pdf
2017-11-08
AP-5223
Order Scheduling Hearing and Designating Presiding Judge
/alj/aljorders/2017/ap-5223.pdf
2017-11-20
AP-5235
Order Postponing Hearing and Directing the Division of Enforcement to File Declaration of Service
/alj/aljorders/2017/ap-5235.pdf
2017-12-05
AP-5259
Notice to the Parties and Order Ratifying Prior Actions and Scheduling Prehearing Conference
/alj/aljorders/2017/ap-5259.pdf
2017-12-19
AP-5406
Order to Show Cause
/alj/aljorders/2017/ap-5406.pdf
2018-01-02
AP-5430
Order Finding Respondent in Default
/alj/aljorders/2018/ap-5430.pdf
2018-01-30
Division's Motion for Sanctons Against Respondent Patric Ken Baccam, Declaration of Nicholas C. Margida in Support, and Ex. 1-12
/litigation/apdocuments/3-18276-event-11.pdf
2018-03-23
ID-1246
Initial Decision of Default
/alj/aljdec/2018/id1246jeg.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
2018-09-27
AP-6104
Order Following Reassignment
/alj/aljorders/2018/ap-6104.pdf
2018-09-27
AP-6106
Order Following Reassignment
/alj/aljorders/2018/ap-6106.pdf
2018-10-15
AP-6184
Stay Order
/alj/aljorders/2018/ap-6184.pdf
2018-11-16
AP-6336
Order Extending Stay
/alj/aljorders/2018/ap-6336.pdf
2018-12-21
34-84922
IA-5092
Order Making Findings and Imposing Remedial Sanctions Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940
/litigation/admin/2018/34-84922.pdf