2020-06-22
3-18637
Acosta, Gregory
/litigation/apdocuments/ap-3-18637.xml
2018-08-13
Application for Review
/litigation/apdocuments/3-18637-event-1.pdf
2018-08-20
34-83886
IA-4989
Order Instituting Administrative and Cease-And- Desist Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Sections 203(e) and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease- And-Desist Order
/litigation/admin/2018/34-83886.pdf
2018-09-17
34-84165
Order Scheduling Briefs
/litigation/opinions/2018/34-84165.pdf
2018-10-19
Applicant's Brief in Support of Application for Review
/litigation/apdocuments/3-18637-event-6.pdf
2018-11-16
FINRA's Brief on Jurisdiction
/litigation/apdocuments/3-18637-event-7.pdf
2018-11-20
Acosta's Reply Brief in Support of Jurisdiction Pursuant to Section 19(d)(2) of the
Exchange Act of 1934
/litigation/apdocuments/3-18637-event-8.pdf
2018-11-20
Declaration of Glynnis Kirchmeier
/litigation/apdocuments/3-18637-event-9.pdf
2019-03-06
34-85257
Order Requesting Additional Briefing
/litigation/opinions/2019/34-85257.pdf
2019-05-06
FINRA's Brief in Response to Commission's Order Requesting Additional Briefing and
Declaration of Christopher Dragos
/litigation/apdocuments/3-18637-event-12.pdf
2019-05-21
Reply Brief in Response to Order Requesting Addition Briefing
/litigation/apdocuments/3-18637-event-13.pdf
2019-03-25
Applicant's Reponse to Order Requesting Additional Briefing
/litigation/apdocuments/3-18637-event-11.pdf
2019-08-09
Letter dated 8/6/19 from counsel for applicant to Secretary Countryman requesting
that the Commission issue an order on the issue of jurisdiction or proceed with the
application for review
/litigation/apdocuments/3-18637-event-14.pdf
2019-11-12
34-87509
Order Requesting Additional Briefing
/litigation/opinions/2019/34-87509.pdf
2019-11-27
Brief in Support of Expedited Review
/litigation/apdocuments/3-18637-event-17.pdf
2020-03-23
34-88451
Order Extending Time to Issue Decision
/litigation/opinions/2020/34-88451.pdf
2020-05-21
34-88922
Order Extending Time to Issue Decision
/litigation/opinions/2020/34-88922.pdf
2020-06-22
34-89121
Opinion of the Commission
/litigation/opinions/2020/34-89121.pdf