Administrative Proceeding File No. 3-15574

Respondents

Harding Advisory LLC Chau, Wing F.
Release Date Release Number Other Release Numbers Name of Document
33-10705
  • IA-5376
  • IC-33649
 Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Section 8A of the Securities Act of 1933, Sections 203(e), 203(f), and 203(k) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment\
Company Act of 1940
AP-6625 Stay Order
AP-6597 Order Following Prehearing Conference
AP-6586 Order Scheduling Prehearing Conference
AP-6565 Order Following Reassignment
AP-6553 Order Designating Presiding Judge
33-10617
  • IA-5204
  • IC-33405
 Order
33-10549
  • IA-5032
  • IC-33236
 Order Vacating Broker, Dealer, Municipal Securities Dealer, and Transfer Agent Bars
33-10330
  • IA-4674
  • IC-32583
 Partial Stay Order
33-10277
  • IA-4600
  • IC-32415
 Opinion of the Commission
33-10117
  • IA-4467
  • IC-32200
 Order Denying Motion for Additional Time for Oral Argument
33-10097
  • IA-4427
  • IC-32150
 Order Rescheduling Oral Argument
33-10083
  • IA-4395
  • IC-32128
 Order Scheduling Oral Argument
33-9763
  • IA-4075
  • IC-31588
 Order Directing the Filing of Supplemental Briefs
33-9761
  • IA-4071
  • IC-31583
 Extension Order
33-9736
  • IA-4041
  • IC-31500
 Order Granting in Part Motion for Extension of Time and Denying Motion to Exceed Word Limit
33-9731
  • IA-4031
  • IC-31468
  • IC-31467
 Order Granting Petition for Review and Scheduling Briefs
734 Initial Decision
33-9632
  • IA-3901
  • IC-31219
 Order Granting Extension
AP-1709 Order
AP-1690 Motion for Extension
AP-1670 Order On Joint Motion to Correct Transcript
AP-1627 Order
AP-1496 Order Amending Post-Hearing Schedule
AP-1479 Order Setting Post-Hearing Conference
AP-1411 Post-Hearing Scheduling Order
AP-1408 Protective Order
AP-1312 Order Following Prehearing Conference
33-9561
  • IA-3796
  • IC-30892
 Order Denying Petition for Interlocutory Review and Emergency Motion to Stay the Hearing and Prehearing Deadlines
AP-1295 Order Scheduling Prehearing Conference
AP-1259 Order Resetting Hearing Location
AP-1256 Order Granting in Part Respondents' Subpoena Request
AP-1252 Order Denying Respondents' Motion for Reconsideration
AP-1239 Order Denying Respondents' Motion for More Definite Statement
AP-1230 Order Setting Briefing Schedule for Motion to Quash Subpoenas
AP-1195 Order Denying Respondents' Motion for Adjournment
AP-1180 Order Granting Extension of Time
AP-1131 Order
AP-1085 Order On Motion for Extension of Time
AP-1048 Order Setting Prehearing Schedule
AP-1049 General Prehearing Order
AP-1037 Order Scheduling Prehearing Conference
AP-977 Order Scheduling Hearing and Designating Presiding Judge
33-9467
  • IA-3696
  • IC-30746
 Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8a of the Securities Act of 1933, Sections 203(e), 203(f), and 203(k) 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
Respondents Harding Advisory LLC and Wing F. Chau's Answer
Respondents' Petition for Interlocutory Review and Emergency Motion to Stay the Hearing and Prehearing Deadlines
Declaration of Ashley Baynham in Support of Respondents' Petition for Interlocutory Review
Respondents' Reply in Further Support of Petition for Interlocutory Review and Emergency Motion to Stay the Hearing and Prehearing Deadlines
Division's Opposition to Respondents' Petition for Interlocutory Review and Emergency Motion to Stay Hearing and Prehearing Deadlines
Division's Pre Hearing Brief
Respondents' Prehearing Brief
Respondents' Corrected Prehearing Brief
Division's Posthearing Brief
Respondents' Post Hearing Brief
Resp's Corrected Post Hearing Brief ("Memorandum of Points and Authorities")
Division's Posthearing Reply Brief
Letter of 7/17/14 to ALJ Elliot from Respondents
Resp's Post Hearing Memorandum of Points and Authorities (Second Corrected)
Respondents' Petition for Review of the Initial Decision
Notice of Change of Address. (Atty Ashley Baynham, Formerly At Nixon Peabody LLP and as of 2/9/15 Is Now At Brown Rudnick LLP On Behalf of Respondents.)
Division's Cross-Petition for Review of the Initial Decision
Motion for Extension of Due Dates and Motion for Authority to Exceed the Word Limit
Division's Opposition to Respondents' Request for Extended Briefing Schedule and Permission to File Oversize Briefs
Respondents' Motion for Oral Argument
Respondents' Opening Brief in Support of Their Petition for Review
Division's Petition for Review
Division's Opposition to Respondents' Petition for Review of the Initial Decision
Respondents' Opposition to Division's Petition for Review of the Initial Decision
Division's Reply in Further Support of the Appeal
Respondent's Reply Brief in Further Support of Their Petition for Review
Division's Response to Respondents' Supplemental Briefing in Support of Appeal Regarding Their Due Process Claims
Respondents' Supplemental Briefing in Support of Appeal Regarding Their Due Process Claims
Respondents' Reply Brief in Further Support of Their Due Process Claims
Divisions' Response to Respondents' Motion to Submit Supplemental Briefing in Support of Respondents' Appeal Regarding Their Appointments Clause Claims & Supplemental Briefing in Support of Those Claims
Respondents' Motion to Submit Supplemental Briefing in Support of Their Appeal [Posting Excludes Exhibits]
Respondents' Reply Brief in Further Support of Their Supplemental Briefing Regarding their Appointments Clause Claim
Respondents' Motion to Stay the Commission's Order Imposing Remedial Sanctions
Pending Judicial Review
Division's Opposition to Respondents' Motion to Stay Sanctions
Initial Decision
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8a of the Securities Act of 1933, Sections 203(e), 203(f), and 203(k) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940
Extension Order
Order Granting in Part Motion for Extension of Time and Denying Motion to Exceed Word Limit
Order Denying Motion for Additional Time for Oral Argument
Order Rescheduling Oral Argument
Order Scheduling Oral Argument
Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Section 8A of the Securities Act of 1933, Sections 203(e), 203(f), and 203(k) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment\
Company Act of 1940
Order Scheduling Hearing and Designating Presiding Judge
Order Scheduling Prehearing Conference
General Prehearing Order
Order Setting Prehearing Schedule
Order On Motion for Extension of Time
Order
Order Granting Extension of Time
Order Denying Respondents' Motion for Adjournment
Order Setting Briefing Schedule for Motion to Quash Subpoenas
Order Denying Respondents' Motion for More Definite Statement
Order Denying Respondents' Motion for Reconsideration
Order Resetting Hearing Location
Order Granting in Part Respondents' Subpoena Request
Order Scheduling Prehearing Conference
Order Following Prehearing Conference
Post-Hearing Scheduling Order
Protective Order
Order Setting Post-Hearing Conference
Order Amending Post-Hearing Schedule
Order
Order On Joint Motion to Correct Transcript
Motion for Extension
Order
Order Designating Presiding Judge
Order Following Reassignment
Order Scheduling Prehearing Conference
Order Following Prehearing Conference
Stay Order
Opinion of the Commission
Partial Stay Order
Order Vacating Broker, Dealer, Municipal Securities Dealer, and Transfer Agent Bars
Order
Order Denying Petition for Interlocutory Review and Emergency Motion to Stay the Hearing and Prehearing Deadlines
Order Granting Extension
Order Granting Petition for Review and Scheduling Briefs
Order Directing the Filing of Supplemental Briefs

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