2018-12-12
3-18535
Kessler, Richard W.
/litigation/apdocuments/ap-3-18535.xml
2018-06-07
IA-4938
Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, and Notice of Hearing
/litigation/admin/2018/ia-4938.pdf
2018-06-08
AP-5783
Order Scheduling Hearing and Designating Presiding Judge
/alj/aljorders/2018/ap-5783.pdf
2018-06-18
AP-5806
Order Finding Service, Postponing Hearing, and Scheduling Prehearing Conference
/alj/aljorders/2018/ap-5806.pdf
2018-07-02
AP-5880
Notice of Stay Order
/alj/aljorders/2018/ap-5880.pdf
2018-07-23
AP-5908
Notice of Extension of Stay
/alj/aljorders/2018/ap-5908.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
2018-09-24
AP-6069
Order Following Reassignment
/alj/aljorders/2018/ap-6069.pdf
2018-10-12
AP-6177
Order Scheduling Prehearing Conference
/alj/aljorders/2018/ap-6177.pdf
2018-10-22
AP-6233
Order Following Prehearing Conference
/alj/aljorders/2018/ap-6233.pdf
2018-11-07
AP-6305
Order to Show Cause
/alj/aljorders/2018/ap-6305.pdf
2018-12-12
IA-5073
Order Making Findings and Imposing Remedial Sanctions
/litigation/admin/2018/ia-5073.pdf