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

2022-02-18 3-20400 Rockwell, David Aaron /litigation/apdocuments/ap-3-20400.xml 2021-07-15 34-92423 IA-5780 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/2021/34-92423.pdf 2022-02-15 Division Motion for Default and Other Relief with Exhibits 1 through 5 /litigation/apdocuments/3-20400-2022-02-15-division-motion.pdf 2023-02-08 34-96841 IA-6233 Order to Show Cause /litigation/opinions/2023/34-96841.pdf