2023-03-30
3-18483
Scarpino, Timothy C.
/litigation/apdocuments/ap-3-18483.xml
2023-03-29
/litigation/apdocuments/3-18483-docket-2023-03-29.pdf
2018-05-15
33-10496
33-83236
IC-33097
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Sections 15(b) and 21C of the Securities Exchange Act of 1934, and Section 9(b) of the Investment Company Act, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order and Notice of Hearing
/litigation/admin/2018/33-10496.pdf
2018-05-16
AP-5729
Order Designating Presiding Judge
/alj/aljorders/2018/ap-5729.pdf
2018-06-28
AP-5874
Notice
/alj/aljorders/2018/ap-5874.pdf
2018-07-25
AP-5952
Notice
/alj/aljorders/2018/ap-5952.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
2018-09-14
AP-5977
Order Following Reassignment
/alj/aljorders/2018/ap-5977.pdf
2018-10-04
AP-6141
Order On Procedures
/alj/aljorders/2018/ap-6141.pdf
2021-11-03
AP-6835
Order for Status Report
/alj/aljorders/2021/ap-6835.pdf
2021-11-15
AP-6836
Order Following Status Report
/alj/aljorders/2021/ap-6836.pdf
2022-05-04
AP-6847
Order Following Second Status Report
/alj/aljorders/2022/ap-6847.pdf
2022-07-28
AP-6859
Order Following Third Status Report
/alj/aljorders/2022/ap-6859.pdf
2022-09-06
AP-6865
Order Redesignating Presiding Judge
/alj/aljorders/2022/ap-6865.pdf
2022-09-30
AP-6874
Order
/alj/aljorders/2022/ap-6874.pdf
2023-06-02
33-11198
34-97640
IA-6323
IC-34933
AAER-4413
Order Dismissing Proceedings
/litigation/opinions/2023/33-11198.pdf