2019-05-23
3-18288
Penn, Lawrence E., III
/litigation/apdocuments/ap-3-18288.xml
2017-11-20
IA-4811
Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing
/litigation/admin/2017/ia-4811.pdf
2017-11-20
AP-5237
Order Scheduling Hearing and Designating Presiding Judge
/alj/aljorders/2017/ap-5237.pdf
2017-12-05
AP-5270
Order
/alj/aljorders/2017/ap-5270.pdf
2017-12-18
AP-5397
Prehearing Order
/alj/aljorders/2017/ap-5397.pdf
2018-01-03
Respondent's Answer and Motion for More Definitive Statement
/litigation/apdocuments/3-18288-event-8.pdf
2018-01-12
AP-5459
Order
/alj/aljorders/2018/ap-5459.pdf
2018-01-10
Division's Motion for Summary Disposition Against Respondent Lawrence E. Penn, Ill, with Memorandum of Law in Support, Declaration of Karen E. Willenken and Exhibits 1-16
/litigation/apdocuments/3-18288-event-10.pdf
2018-02-26
Respondent's Opposition to Motion for Summary Disposition with Memorandum of
Law Exhibits A - H
/litigation/apdocuments/3-18288-event-13.pdf
2018-06-20
ID-1258
Initial Decision
/alj/aljdec/2018/id1258cff.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-5991
Order Following Reassignment
/alj/aljorders/2018/ap-5991.pdf
2018-10-11
AP-6161
Order Scheduling Prehearing Conference
/alj/aljorders/2018/ap-6161.pdf
2018-10-26
AP-6260
Order Following Prehearing Conference
/alj/aljorders/2018/ap-6260.pdf
2018-11-13
Respondent's Amended Answer
/litigation/apdocuments/3-18288-event-25.pdf
2018-11-21
AP-6356
Order Correcting Prehearing Conference Transcript
/alj/aljorders/2018/ap-6356.pdf
2018-11-28
Division of Enforcement's Motion for Summary Disposition Against Respondent and
Supporting Memorandum of Law in Support of the Division of Enforcement's Motion
for Summary Disposition; and declaration of Karen R. Willenken w/ exhibit 1 -23
/litigation/apdocuments/3-18288-event-28.pdf
2019-01-28
Reply Memorandum of Law in Support of The Division of Enforcement's Motion For
Summary Disposition
/litigation/apdocuments/3-18288-event-33.pdf
2019-01-21
Respondent's Opposition to Motion for Summary Disposition
/litigation/apdocuments/3-18288-event-31.pdf
2019-02-22
ID-1357
Initial Decision
/alj/aljdec/2019/id1357jeg.pdf
2019-03-26
AP-6517
Order Denying Motion to Correct Manifest Error of Fact
/alj/aljorders/2019/ap-6517.pdf
2019-05-23
IA-5240
Notice That Initial Decision Has Become Final
/alj/aljdec/2019/ia-5240.pdf