Administrative Proceeding File No. 3-14081

Respondents

Flannery, John P. Hopkins, James D.
Release Date Release Number Other Release Numbers Name of Document
33-9689
  • 34-73840
  • IA-3981
  • IC-31374
 Opinion of the Commission
33-9580
  • 34-72059
  • IA-3827
  • IC-31036
 Order Scheduling Oral Argument
33-9307
  • 34-66695
  • IA-3387
  • IC-30023
 ORDER DENYING MOTIONS FOR SUMMARY AFFIRMANCE, GRANTING PETITION FOR REVIEW, AND SCHEDULING BRIEFS
438 id438bpm.pdf
33-9239 33-9239.pdf
3-14081 Motion to the Commission for Extension
3-14081 ap662bpm.pdf
33-9147 Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Section 21C of the Securities Exchange Act of 1934, Section 203(f) of the Investment Advisers Act of 1940, and Section 9(B) of the \
Investment Company Act of 1940
Release Date Release Number Other Release Numbers Name of Document
Resp Hopkins' Answer
Resp Flannery's Answer
Resp Hopkins' Motion for Leave to File Motion for Summary Disposition, Motion for Summary Disposition, Memorandum in Support, Affidavit of John F. Sylvia in Support, and Motion for Oral Argument
Resp Flannery's Motion for Leave to File Motion for Summary Disposition, Motion for Summary Disposition, Memorandum in Support, and Affidavit of Peter M. Acton, Jr. in Support
Div's Opposition to Resps' Motion for Leave to File Motions for Summary Disposition
Resp Hopkins' Reply to the Div's Opposition to Resps' Motions for Leave to File Motions for Summary Disposition
Resp Flannery's Reply to Div's Opposition to Resps' Motions for Leave to File Motions for Summary Disposition
Resp Hopkins' Pre-Trial Brief
Resp Flannery's Pre-Hearing Memorandum
Div's Prehearing Brief
Resp Hopkins' Post-Hearing Brief
Div's Post-Hearing Brief
Resp Flannery's Post-Hearing Memorandum
Div's Reply to Resp Hopkins' Post-Hearing Brief
Div's Reply to Resp Flannery's Post-Hearing Brief
Resp Flannery's Post-Hearing Reply Brief, with Appendices a and B
Resp Hopkins' Reply to the Div's Post-Hearing Brief
Div's Petition for Review of Initial Decision
Resp Flannery's Motion for Summary Affirmance
Resp Hopkins' Motion for Summary Affirmance
Div's Opposition to Resp Flannery's Motion for Summary Affirmance
Div's Opposition to Resp Hopkins' Motion for Summary Affirmance
Resp Flannery's Reply Memorandum in Support of Resp Flannery's Motion for Sum Mary Affirmance
Resp Hopkins' Reply to the Div's Opposition to Resp Hopkins' Motion for Summary Affirmance
Div's Brief in Support
Resp Hopkins' Opposition to the Div's Brief in Support of Its Petition for Review
Resp Flannery's Opposition to the Div's Brief in Support of Its Petition for Review
Div's Reply Brief in Support of Its Petition for Review
id438bpm.pdf
ORDER DENYING MOTIONS FOR SUMMARY AFFIRMANCE, GRANTING PETITION FOR REVIEW, AND SCHEDULING BRIEFS
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Section 21C of the Securities Exchange Act of 1934, Section 203(f) of the Investment Advisers Act of 1940, and Section 9(B) of the \
Investment Company Act of 1940
ap662bpm.pdf
Motion to the Commission for Extension
33-9239.pdf
Order Scheduling Oral Argument
Opinion of the Commission

Documents