2023-03-30
3-18346
Holder, Cynthia, CPA
Wada, Jeffrey, CPA
Middendorf, David, CPA
Whittle, Thomas, CPA
Britt, David, CPA
/litigation/apdocuments/ap-3-18346.xml
2023-03-29
/litigation/apdocuments/3-18346-docket-2023-03-29.pdf
2018-01-22
34-82556
AAER-3918
Order Instituting Public Administrative and Cease-and-Desist Proceedings Pursuant to Sections 4C and 21C of the Securities Exchange Act of 1934 and Rule 102(e) of the Commission's Rules of Practice, and Notice of Hearing
/litigation/admin/2018/34-82556.pdf
2018-01-23
AP-5511
Order Scheduling Hearing and Designating Presiding Judge
/alj/aljorders/2018/ap-5511.pdf
2018-01-29
AP-5546
Order Postponing Hearing, Granting U.S. Attorney Leave to Intervene for Limited Purpose, and Directing Response to Motion to Stay
/alj/aljorders/2018/ap-5546.pdf
2018-01-31
AP-5558
Order Tolling Time to Commence Production of Investigative File
/alj/aljorders/2018/ap-5558.pdf
2018-02-06
AP-5573
Stay Order
/alj/aljorders/2018/ap-5573.pdf
2018-01-31
Division's Motion to Toll the Time to Produce Its Investigative File During the
Pendency of the Motion to Stay Administrative Proceedings
/litigation/apdocuments/3-18346-event-7.pdf
2018-01-26
United States Department of Justice's Motion to Intervene and Stay Administrative
Proceedings and Memorandum of Law in Support
/litigation/apdocuments/3-18346-event-4.pdf
2018-06-25
AP-5834
Notice of Stay
/alj/aljorders/2018/ap-5834.pdf
2018-07-20
AP-5889
Notice of Extension of Stay
/alj/aljorders/2018/ap-5889.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
2018-10-03
AP-6137
Order
/alj/aljorders/2018/ap-6137.pdf
2019-11-29
34-87642
AAER-4103
Order Making Findings and Imposing Remedial Sanctions and And- and a Cease-and-Desist Order Pursuant to Sections 4C and 21C of the Securities Exchange Act of 1934 and Rule 102(e) of the Commission's Rules of Practice
/litigation/admin/2019/34-87642.pdf
2020-01-15
34-87969
AAER-4112
Order of Suspension Pursuant to Rule 102(e)(2) of the Commission's Rules of Practice
/litigation/admin/2020/34-87969.pdf
2020-01-15
34-87970
AAER-4113
Order of Suspension Pursuant to Rule 102(e)(2) of the Commission's Rules of Practice
/litigation/admin/2020/34-87970.pdf
2021-01-07
AP-6806
Order
/alj/aljorders/2021/ap-6806.pdf
2021-04-19
AP-6822
Order
/alj/aljorders/2021/ap-6822.pdf
2021-07-28
34-92513
AAER-4234
Order Making Findings and Imposing Remedial Sanctions and And- and a Cease-and-Desist Order Pursuant to Sections 4C and 21C of the Securities Exchange Act of 1934 and Rule 102(e) of the Commission's Rules of Practice
/litigation/admin/2021/34-92513.pdf
2021-07-28
34-92514
AAER-4235
Order Making Findings and Imposing Remedial Sanctions and And- and a Cease-and-Desist Order Pursuant to Sections 4C and 21C of the Securities Exchange Act of 1934 and Rule 102(e) of the Commission's Rules of Practice
/litigation/admin/2021/34-92514.pdf
2023-06-02
33-11198
34-97640
IA-6323
IC-34933
AAER-4413
Order Dismissing Proceedings
/litigation/opinions/2023/33-11198.pdf