2022-08-10
3-19726
Worthington, Bruce C.
/litigation/apdocuments/ap-3-19726.xml
2020-03-10
34-88347
IA-5460
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/2020/34-88347.pdf
2021-07-15
34-92415
IA-5777
Order to Show Cause
/litigation/opinions/2021/34-92415.pdf
2021-07-22
34-92464
IA-5785
Amended Order to Show Cause
/litigation/opinions/2021/34-92464.pdf
2021-08-25
Division's Motion for Default Judgment and Imposition of Sanctions
/litigation/apdocuments/3-19726-2021-08-25-divisions-motion.pdf
2022-03-30
34-94557
IA-5988
Order Requesting Additional Briefing and Materials
/litigation/opinions/2022/34-94557.pdf
2022-04-29
Division Additional Evidentiary Support and Briefing in Support of Motion for Default Judgement and Imposition of Sanctions with Attachments 1 Through 5
/litigation/apdocuments/3-19726-2022-04-29-division-additional-evidentiary-support.pdf
2022-06-01
34-95019
IA-6037
Order Requesting Additional Materials
/litigation/opinions/2022/34-95019.pdf
2022-08-01
Division Additional Evidentiary Submission in Support of Motion for Entry of Findings and Imposition of Remedial Sanctions as to Respondent
/litigation/apdocuments/3-19726-2022-08-01-division-additional-evidentiary-submission.pdf