2020-12-23
3-19951
Stewart, Sean R.
/litigation/apdocuments/ap-3-19951.xml
2020-09-01
34-89720
IA-5567
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/2020/34-89720.pdf
2020-09-11
Respondent's Answer to Order Instituting Administrative Proceedings
/litigation/apdocuments/3-19951-2020-09-11-respondents-answer-to-order-instituting-administrative-proceedings.pdf
2020-10-19
34-90220
IA-5616
Scheduling Order
/litigation/opinions/2020/34-90220.pdf
2020-11-13
Division's Motion for Summary Disposition and Memorandum of Law in Support
/litigation/apdocuments/3-19951-2020-11-13-divisions-motion-for-summary-disposition-and-memorandum-of-law-in-support.pdf
2020-11-13
Declaration of Julia C. Green in Support of Division's Motion for Summary Disposition
/litigation/apdocuments/3-19951-2020-11-13-declaration-of-julia-c-green.pdf
2020-11-13
Respondent's Motion for Summary Disposition with Exhibits 1-8
/litigation/apdocuments/3-19951-2020-11-13-respondents-motion-for-summary-disposition.pdf
2020-12-04
Division's Opposition to Respondent's Motion for Summary Disposition
/litigation/apdocuments/3-19951-2020-12-04-divisions-opposition-to-respondents-motion-for-summary-disposition.pdf
2020-12-04
Respondent's Opposition to the Division's Motion for Summary Disposition
/litigation/apdocuments/3-19951-2020-12-04-respondents-opposition-to-the-divisions-motion-for-summary-disposition.pdf
2020-12-18
Division's Reply Memorandum of Law in Further Support of its Motion for Summary Disposition
/litigation/apdocuments/3-19951-2020-12-18-divisions-reply-memorandum-of-law.pdf
2020-12-18
Respondent's Reply in Support of Motion for Summary Disposition
/litigation/apdocuments/3-19951-2020-12-18-respondents-reply-in-support-of-motion-for-summary-disposition.pdf