2022-03-18
3-19720
Vazquez, Daniel B., Sr.
/litigation/apdocuments/ap-3-19720.xml
2020-03-03
34-88314
IA-5455
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing
/litigation/admin/2020/34-88314.pdf
2021-07-13
34-92383
IA-5774
Order Regarding Service
/litigation/opinions/2021/34-92383.pdf
2021-07-29
34-92522
IA-5809
Order Regarding Service
/litigation/opinions/2021/34-92522.pdf
2021-10-29
34-93481
IA-5899
Order to Show Cause
/litigation/opinions/2021/34-93481.pdf
2021-12-10
Division Motion for Entry of Default Judgement and Remedial Sanctions
/litigation/apdocuments/3-19720-2021-12-10-division-motion.pdf
2021-12-22
Division's Notice of Non-Receipt of Opposition to Motion for Entry of Default Judgment and Sanctions
/litigation/apdocuments/3-19720-2021-12-22-divisions-notice.pdf
2022-01-05
34-93912
IA-5937
Order Requesting Additional Briefing and Materials
/litigation/opinions/2022/34-93912.pdf
2022-02-04
Declaration of Patricia Pei in Support of Division Motion for Entry of Default Judgment and Remedial Sanctions
/litigation/apdocuments/3-19720-2022-02-04-declaration-of-patricia-pei.pdf
2022-02-04
Declaration of Christopher Conte in Support of Division Motion for Entry of Default Judgment and Remedial Sanctions with Exhibits 1 and 2
/litigation/apdocuments/3-19720-2022-02-04-declaration-of-christopher-conte.pdf
2022-02-04
Division's Supplemental Brief and Authorities in Support of it's Motion for Entry of Default Judgment and Remedial Sanctions
/litigation/apdocuments/3-19720-2022-02-04-divisions-supplemental-brief.pdf
2022-02-04
Declaration of Lynn M. Dean in Support of Division Motion for Entry of Default Judgment and Remedial Sanctions with Exhibits 1 through 3
/litigation/apdocuments/3-19720-2022-02-04-declaration-of-lynn-m-dean.pdf
2022-02-04
Supplemental Declaration of Lynn M Dean in Support of Division Motion for Entry of Default Judgment and Remedial Sanctions with Exhibits 1 through 23
/litigation/apdocuments/3-19720-2022-02-04-supplemental-declaration-of-lynn-m-dean.pdf
2022-03-15
Division Notice of Non-Receipt of Opposition to Motion for Entry of Default Judgement and Sanctions
/litigation/apdocuments/3-19720-2022-03-15-division-notice.pdf