2021-10-18
3-20331
Gagaza, Roy Y.
/litigation/apdocuments/ap-3-20331.xml
2021-05-25
34-91993
IA-5738
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/2021/34-91993.pdf
2021-06-14
Answer to the 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/apdocuments/3-20331-2021-06-14-answer-to-the-order.pdf
2021-07-06
34-92325
IA-5766
Scheduling Order
/litigation/opinions/2021/34-92325.pdf
2021-08-16
Division of Enforcement’s Motion for Summary Disposition Against Roy Y. Gagaza with Index and Notice of Deficient Filing
/litigation/apdocuments/3-20331-2021-08-16-division-of-enforcements-motion.pdf
2021-09-10
IA-5857
Order Granting an Extension of Time
/litigation/opinions/2021/ia-5857.pdf
2021-09-14
Respondent Roy Gagaza's Response in Opposition to the Division Motion for Summary Disposition (with Exhibits A-V)
/litigation/apdocuments/3-20331-2021-09-14-respondent-roy-gagazas-response.pdf
2021-10-05
Division's Reply in Support of it's Motion for Summary Disposition Against Roy Y. Gagaza
/litigation/apdocuments/3-20331-2021-10-05-divisions-reply-in-support.pdf