2022-01-25
3-19631
KJM Securities, Inc.
/litigation/apdocuments/ap-3-19631.xml
2020-01-07
Applicant's Motion to Stay
/litigation/apdocuments/3-19631-event-4.pdf
2020-01-17
FINRA's Opposition to Motion to Stay
3-19631-event-6.pdf
2020-01-27
34-88053
Order Denying Stay
/litigation/opinions/2020/34-88053.pdf
2019-12-23
Application for Review
/litigation/apdocuments/3-19631-event-2.pdf
2020-01-28
34-88065
Order Scheduling Briefs
/litigation/opinions/2020/34-88065.pdf
2020-02-04
KJM Securities, Inc. Response to FINRA's Opposition to the Motion to Stay
/litigation/apdocuments/3-19631-event-7.pdf
2020-02-27
KJM Securities, Inc. Brief in Support of the Application for Review
/litigation/apdocuments/3-19631-event-10.pdf
2020-03-27
FlNRA's Brief in Opposition to the Application for Review
/litigation/apdocuments/3-19631-event-11_redacted.pdf
2020-04-13
KJM Securities, Inc. Response to FINRA's Brief in Opposition to the Application for Review
/litigation/apdocuments/3-19631-event-applicants-response-to-finra.pdf
2020-12-14
34-90662
Order Extending Time to Issue Decision
/litigation/opinions/2020/34-90662.pdf
2021-03-15
34-91328
Order Extending Time to Issue Decision
/litigation/opinions/2021/34-91328.pdf
2021-06-14
34-92178
Order Extending Time to Issue Decision
/litigation/opinions/2021/34-92178.pdf
2021-09-13
34-92964
Order Extending Time to Issue Decision
/litigation/opinions/2021/34-92964.pdf
2021-12-13
34-93762
Order Extending Time to Issue Decision
/litigation/opinions/2021/34-93762.pdf
2022-01-25
34-94059
Opinion of the Commission
/litigation/opinions/2022/34-94059.pdf