2023-03-30
3-18831
Dicken, Shawn K.
/litigation/apdocuments/ap-3-18831.xml
2023-03-29
/litigation/apdocuments/3-18831-docket-2023-03-29.pdf
2018-09-24
34-84272
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Notice of Hearing
/litigation/admin/2018/34-84272.pdf
2019-04-04
Division's Motion for Order Finding Respondent in Default and Imposing Sanctions
and Brief in Support
/litigation/apdocuments/3-18831-event-4.pdf
2019-05-03
34-85778
Order to Show Cause
/litigation/opinions/2019/34-85778.pdf
2020-08-12
34-89526
Order Requesting Additional Briefing
/litigation/opinions/2020/34-89526.pdf
2020-09-11
Declaration of John E. Birkenheier
/litigation/apdocuments/3-18831-2020-09-11-declaration-of-john-e-birkenheier.pdf
2020-09-11
Supplemental Brief of the Division of Enforcement
/litigation/apdocuments/3-18831-2020-09-11-supplemental-brief-of-the-division-of-enforcement.pdf
2020-10-16
34-90215
Order Requesting Additional Materials
/litigation/opinions/2020/34-90215.pdf
2020-10-22
Respondent’s Response to Order Requesting Additional Briefing
/litigation/apdocuments/3-18831-2020-10-22-respondents-response-to-order-requesting-additional-briefing.pdf
2020-11-04
Division's Reply Brief
/litigation/apdocuments/3-18831-2020-11-04-reply-brief-of-the-division.pdf
2020-12-10
Division's Second Supplemental Brief with Exhibit
/litigation/apdocuments/3-18831-2020-12-10-divisions-second-supplemental-brief.pdf
2021-04-08
34-91512
Second Order to Show Cause
/litigation/opinions/2021/34-91512.pdf
2021-05-27
Notice with Exhibit
/litigation/apdocuments/3-18831-2021-05-27-notice-with-exhibit.pdf
2022-09-13
34-95762
Order Discharging Order to Show Cause and Directing Prehearing Conference
/litigation/opinions/2022/34-95762.pdf
2023-03-08
34-97075
Order Regarding Prehearing Conference
/litigation/opinions/2023/34-97075.pdf
2023-03-27
34-97203
Order Making Findings and Imposing Remedial Sanctions Pursuant to Section 15(b) of the Securities Exchange Act of 1934
/litigation/admin/2023/34-97203.pdf