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Administrative Proceeding File No. 3-15271

Respondents

Scammell, Toby G.


Release Date	Release Number	Other Release Numbers	Name of Document
July 2, 2019	IA-5272		Order Vacating Broker, Dealer, Municipal Securities Dealer, Municipal Advisor, Transfer Agent, and Nationally Recognized Statistical Rating Organization Bars
Oct. 29, 2014	IA-3961		Opinion of the Commission
Jan. 28, 2014	34-71432		Order Granting Cross-Petition for Review and Extending Briefing Schedule
Dec. 17, 2013	34-71099		Order Granting Petition for Review and Scheduling Briefs
Nov. 7, 2013	516		Initial Decision
April 10, 2013	IA-3584		ORDER INSTITUTING ADMINISTRATIVE PROCEEDINGS PURSUANT TO SECTION 203(f) OF THE INVESTMENT ADVISERS ACT OF 1940 AND NOTICE OF HEARING


Release Date	Release Number	Other Release Numbers	Name of Document
May 6, 2013			Resp's Answer to SEC's OIP
May 8, 2013			Resp's Amended Answer to SEC's OIP
Aug. 5, 2013			Resp.'s Opposition to Division's Motion for Summary Disposition w/ Toby G. Scammell's Declaration in Support, Charlene Koski Declaration in Support, and Certificate of Service
Aug. 6, 2013			Division's Memorandum of Points and Authorities in Opposition to Resp.'s Motion for Summary Disposition
Aug. 19, 2013			Supplemental Declaration of Charlene Koski in Support of Resp.'s Motion for Summary Disposition
Aug. 19, 2013			Resp.'s Reply to Division's Memorandum of Points and Authorities in Opposition to Resp.'s Motion for Summary Disposition
Aug. 21, 2013			Reply in Support of Motion by Division for Summary Disposition Pursuant to Commission Rule of Practice 250(a)
Nov. 27, 2013			Respondent Toby G. Scammell's Petition for Review
Dec. 6, 2013			Division's Cross-Petition for Review
Jan. 16, 2014			Opening Brief in Support of Toby G. Scammell's Appeal of Initial Decision by a Hearing Officer
Feb. 25, 2014			Division's Memorandum of Points and Authorities in Opposition to Petition for Review of Respondent Toby G. Scammell
March 17, 2014			Reply Brief in Support of Toby G. Scammell's Appeal of Initial Decision by a Hearing Officer
Nov. 7, 2013			Initial Decision
April 10, 2013			ORDER INSTITUTING ADMINISTRATIVE PROCEEDINGS PURSUANT TO SECTION 203(f) OF THE INVESTMENT ADVISERS ACT OF 1940 AND NOTICE OF HEARING
Dec. 17, 2013			Order Granting Petition for Review and Scheduling Briefs
Jan. 28, 2014			Order Granting Cross-Petition for Review and Extending Briefing Schedule
Oct. 29, 2014			Opinion of the Commission
July 2, 2019			Order Vacating Broker, Dealer, Municipal Securities Dealer, Municipal Advisor, Transfer Agent, and Nationally Recognized Statistical Rating Organization Bars

Documents