2021-05-27
3-18414
Terracciano, Eugene
/litigation/apdocuments/ap-3-18414.xml
2018-03-28
34-82958
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934, Section 203(f) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940 and Notice of Hearing
/litigation/admin/2018/34-82958.pdf
2018-03-28
AP-5663
Order Scheduling Hearing and Designating Presiding Judge
/alj/aljorders/2018/ap-5663.pdf
2018-04-18
AP-5687
Order
/alj/aljorders/2018/ap-5687.pdf
2018-04-30
AP-5706
Order
/alj/aljorders/2018/ap-5706.pdf
2018-06-28
AP-5875
Notice
/alj/aljorders/2018/ap-5875.pdf
2018-07-06
34-83604
IA-4956
IC-33151
Order Making Findings, Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934, Section 203(f) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940, and Ordering Continuation of Proceedings
/litigation/admin/2018/34-83604.pdf
2018-07-25
AP-5951
Notice
/alj/aljorders/2018/ap-5951.pdf
2018-08-23
AP-5954
Notice from the Chief Administrative Law Judge
/alj/aljorders/2018/ap-5954.pdf
2018-09-07
Parties' Joint Agreement on Alternative Procedures
/litigation/apdocuments/3-18414-event-16.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-6139
Order
/alj/aljorders/2018/ap-6139.pdf
2018-11-15
AP-6323
Order
/alj/aljorders/2018/ap-6323.pdf
2018-11-19
AP-6343
Prehearing Order
/alj/aljorders/2018/ap-6343.pdf
2019-02-14
AP-6458
Scheduling Order
/alj/aljorders/2019/ap-6458.pdf
2019-03-28
AP-6527
Order
/alj/aljorders/2019/ap-6527.pdf
2019-04-03
Division's Reply Brief in Support of its Motion for Sanctions
/litigation/apdocuments/3-18414-event-33.pdf
2019-10-22
ID-1388
Initial Decision
/alj/aljdec/2019/id1388cff.pdf
2021-01-04
34-90842
IA-5659
IC-34160
Notice That Initial Decision Has Become Final
/litigation/admin/2021/34-90842.pdf
2021-05-27
34-92054
IA-5740
IC-34288
Order Regarding Suspension
/litigation/opinions/2021/34-92054.pdf