2019-03-29
3-18508
Bercowy, Gregory M.
/litigation/apdocuments/ap-3-18508.xml
2018-05-29
IA-4916
Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing
/litigation/admin/2018/ia-4916.pdf
2018-05-30
AP-5760
Order Scheduling Hearing and Designating Presiding Judge
/alj/aljorders/2018/ap-5760.pdf
2018-06-05
AP-5773
Order Postponing Hearing
/alj/aljorders/2018/ap-5773.pdf
2018-06-25
AP-5849
Notice of Stay
/alj/aljorders/2018/ap-5849.pdf
2018-07-23
AP-5909
Notice of Extension of Stay
/alj/aljorders/2018/ap-5909.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-6012
Order
/alj/aljorders/2018/ap-6012.pdf
2018-11-29
AP-6374
Order
/alj/aljorders/2018/ap-6374.pdf
2019-03-04
AP-6476
Order Redesignating Presiding Judge
/alj/aljorders/2019/ap-6476.pdf
2019-03-05
AP-6482
Order Setting Briefing Schedule and Scheduling Prehearing Conference
/alj/aljorders/2019/ap-6482.pdf
2019-03-06
AP-6485
Order Granting Motion to Continue
/alj/aljorders/2019/ap-6485.pdf
2018-10-04
Answer and Affirmative Defenses of Respondent
/litigation/apdocuments/3-18508-event-15.pdf
2019-03-27
AP-6523
Stay Order
/alj/aljorders/2019/ap-6523.pdf
2019-03-29
IA-5216
Order Making Findings and Imposing Remedial Sanctions Pursuant to Section 203(f) of the Investment Advisers Act of 1940
/litigation/admin/2019/ia-5216.pdf