2023-05-01
3-19228
Pearce, Kent
/litigation/apdocuments/ap-3-19228.xml
2019-06-28
Application for Review
/litigation/apdocuments/3-19228-event-1.pdf
2019-11-25
34-87615
Order Consolidating Appeals
/litigation/opinions/2019/34-87615.pdf
2020-08-06
34-89495
Order Finding Jurisdiction
/litigation/opinions/2020/34-89495.pdf
2020-08-19
34-89617
Order Consolidating Appeals
/litigation/opinions/2020/34-89617.pdf
2020-09-04
Consolidated Arbitration Application for Review of Action Taken by FINRA
/litigation/apdocuments/3-18877-2020-09-04-consolidated-arbitration-application-for-review-of-action-taken-by-finra.pdf
2020-11-05
34-90362
Extension Order
/litigation/opinions/2020/34-90362.pdf
2021-09-09
34-92923
Order Severing Proceedings
/litigation/opinions/2021/34-92923.pdf
2021-09-13
34-92967
Order Requesting Additional Briefing
/litigation/opinions/2021/34-92967.pdf
2021-09-29
34-93190
Extension Order
/litigation/opinions/2021/34-93190.pdf
2021-11-01
Applicant Unopposed Motion to Adduce Additional Evidence with Exhibit 1
/litigation/apdocuments/3-19228-2021-11-01-applicant-unopposed-motion.pdf
2021-11-02
Applicant's Opening Brief in Support of the Commission's Jurisdiction Over His Application for Review with Exhibit 1
/litigation/apdocuments/3-19228-2021-11-02-applicants-opening-brief.pdf
2021-11-03
FINRA'S Motion to Consolidate and Postpone Briefing
/litigation/apdocuments/3-20631-2021-11-03-finra-motion-to-consolidate-and-postpone-briefing.pdf
2021-11-17
FINRA's Brief in Response to the Commission's Request for Additional Briefing Concerning Jurisdiction
/litigation/apdocuments/3-19228-2021-11-17-finra-brief-in-response.pdf
2021-12-01
Applicant Reply Brief in Support of the Commission Jurisdiction Over his Application for Review
/litigation/apdocuments/3-19228_2021-12-01-applicant-reply-brief.pdf
2022-08-01
34-95404
Order Extending Time to Issue Decision
/litigation/opinions/2022/34-95404.pdf
2022-10-31
34-96192
Order Extending Time to Issue Decision
/litigation/opinions/2022/34-96192.pdf
2023-01-30
34-96772
Order Extending Time to Issue Decision
/litigation/opinions/2023/34-96772.pdf
2023-05-01
34-97412
Order Extending Time to Issue Decision
/litigation/opinions/2023/34-97412.pdf
2023-05-08
34-97451
Opinion of the Commission
/litigation/opinions/2023/34-97451.pdf