2021-01-08
3-19024
Ascension Asset Management, LLC
Gooder, Grenville M., JR.
/litigation/apdocuments/ap-3-19024.xml
2019-03-07
IA-5121
IC-33391
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 203(e), 203(f), and 203(k) of the Investment Advisers Act of 1940 and Section 9(b) of the Investment Company Act of 1940 and Notice of Hearing
/litigation/admin/2019/ia-5121.pdf
2019-03-26
IA-5214
IC-33429
Order
/litigation/opinions/2019/ia-5214.pdf
2019-04-09
IA-5220
IC-33444
Protective Order
/litigation/opinions/2019/ia-5220.pdf
2019-04-02
Respondents' Answer of Order Instituting Proceedings
/litigation/apdocuments/3-19024-event-3.pdf
2019-05-07
IA-5230
IC-33467
Order
/litigation/opinions/2019/ia-5230.pdf
2019-05-08
AP-6567
Order Designating Presiding Judge
/alj/aljorders/2019/ap-6567.pdf
2019-05-16
AP-6575
Order
/alj/aljorders/2019/ap-6575.pdf
2019-05-21
AP-6583
Order
/alj/aljorders/2019/ap-6583.pdf
2019-07-01
AP-6619
Order
/alj/aljorders/2019/ap-6619.pdf
2019-08-05
Division of Enforcement's Response in Opposition to Respondents' Motion for
Summary Disposition and Memorandum of Law in Support.
/litigation/apdocuments/3-19024-event-21.pdf
2019-08-06
Respondent's Memorandum in Opposition to the Division of Enforcement's Motion for
Summary Disposition
/litigation/apdocuments/3-19024-event-22.pdf
2019-08-09
Supplemental Declaration of Nicholas A. Pilgrim in Support of the Division of
Enforcement's Motion for Summary Disposition Against Respondents Ascension
Asset Management. LLC and Grenville M Gooder, Jr.
/litigation/apdocuments/3-19024-event-23.pdf
2019-08-12
Supplemental Declaration of Luke A.E. Pazicky in Support of the Division of
Enforcement's Motion for Summary Disposition Against Respondents Ascension
Asset Management. LLC and Grenville M. Gooder. Jr.
/litigation/apdocuments/3-19024-event-25.pdf
2019-08-12
Division of Enforcement's Reply in Support of its Motion for Summary Disposition
Against Respondents Ascension Asset Management. LLC and Grenville M. Gooder,
Jr.
/litigation/apdocuments/3-19024-event-26.pdf
2019-08-29
AP-6665
Order
/alj/aljorders/2019/ap-6665.pdf
2019-08-29
AP-6666
Order
/alj/aljorders/2019/ap-6666.pdf
2019-09-06
AP-6672
Order
/alj/aljorders/2019/ap-6672.pdf
2019-09-05
Division of Enforcement's Pre-Hearing Brief
/litigation/apdocuments/3-19024-event-36.pdf
2019-10-21
Divsion of Enforcement's Post-Hearing Brief
/litigation/apdocuments/3-19024-event-37.pdf
2019-12-06
Division's Post Hearing Reply Brief
/litigation/apdocuments/3-19024-event-41.pdf
2020-04-03
ID-1400
Initial Decision
/alj/aljdec/2020/id1400cff.pdf
2021-01-08
IA-5665
IC-34168
Notice That Initial Decision Has Become Final
/alj/aljdec/2021/ia-5665.pdf