2022-08-22
3-18894
Prentice, Thomas Christophe
/litigation/apdocuments/ap-3-18894.xml
2019-01-29
Applicant's Brief on Commission's Jurisdiction Over This Appeal, w/Ex. A
/litigation/apdocuments/3-18894-event-7.pdf
2018-11-14
Application for Review
/litigation/apdocuments/3-18894-event-1_redacted.pdf
2019-01-31
FINRA's Motion to Expedite Appeal of Bart Steven Kaplow and Stay the Proceedings in the Other Pending Arbitration Expungement Appeals
/litigation/apdocuments/3-18883-event-7.pdf
2019-02-19
FINRA's Response to Applicant's Initial Brief on the Issue of Jurisdiction
/litigation/apdocuments/3-18894-event-11.pdf
2019-02-27
Applicant's Reply to FINRA's Response to Applicant's Initial Brief on the Issue of
Jurisdiction
/litigation/apdocuments/3-18894-event-12.pdf
2019-04-04
34-85509
Order Consolidating Proceedings and Postponing Further Briefing
/litigation/opinions/2019/34-85509.pdf
2019-11-25
34-87615
Order Consolidating Appeals
/litigation/opinions/2019/34-87615.pdf
2020-01-24
34-88032
Order Severing Proceedings
/litigation/opinions/2020/34-88032.pdf
2020-02-20
Applicant's Reply Brief
/litigation/apdocuments/3-18894-event-17.pdf
2020-02-20
Applicant's Reply Brief
/litigation/apdocuments/3-18894-event-17.pdf
2020-03-06
FINRA's Response to Applicant's Supplemental Brief
/litigation/apdocuments/3-18894-event-18.pdf
2020-03-24
Prentice's Reply Brief to FINRA's Response
/litigation/apdocuments/3-18894-event-19.pdf
2020-08-19
34-89617
Order Consolidating Appeals
/litigation/opinions/2020/34-89617.pdf
2020-11-24
34-90511
Order Extending Time to Issue Decision
/litigation/opinions/2020/34-90511.pdf
2021-02-22
34-91176
Order Extending Time to Issue Decision
/litigation/opinions/2021/34-91176.pdf
2021-05-24
34-91978
Order Extending Time to Issue Decision
/litigation/opinions/2021/34-91978.pdf
2021-08-23
34-92730
Order Extending Time to Issue Decision
/litigation/opinions/2021/34-92730.pdf
2021-11-23
34-93657
Order Extending Time to Issue Decision
/litigation/opinions/2021/34-93657.pdf
2022-02-22
34-94289
Order Extending Time to Issue Decision
/litigation/opinions/2022/34-94289.pdf
2022-05-23
34-94968
Order Extending Time to Issue Decision
/litigation/opinions/2022/34-94968.pdf
2022-08-22
34-95578
Order Extending Time to Issue Decision
/litigation/opinions/2022/34-95578.pdf
2022-11-21
34-96370
Order Extending Time to Issue Decision
/litigation/opinions/2022/34-96370.pdf
2023-01-30
34-96769
Opinion of the Commission
/litigation/opinions/2023/34-96769.pdf