Administrative Proceeding File No. 3-15617

Respondents

Grossman, Larry C. Adams, Gregory J.
Release Date Release Number Other Release Numbers Name of Document
33-10659
  • 34-86293
  • IA-5281
  • IC-33542
 Order Vacating Municipal Securities Dealer and Transfer Agent Bars
33-10473
  • 34-82967
  • IA-4871
  • IC-33062
 Order in Response to Remand
33-10409
  • 34-81517
  • IA-4761
  • IC-32807
 Order Scheduling Briefs
33-10244
  • 34-79217
  • IA-4563
  • IC-32352
 Order Granting Partial Stay
33-10227
  • 34-79009
  • IA-4543
  • IC-32298
 Opinion of the Commission
33-10101
  • 34-78099
  • IA-4432
  • IC-32153
 Order Scheduling Oral Argument
33-9716
  • 34-74168
  • IA-4010
  • IC-31436
 Order Granting Petition for Review and Scheduling Briefs
727 Initial Decision
AP-2061 Posthearing Order
33-9640
  • 34-73014
  • IA-3911
  • IC-31241
 Order Extending Deadline for Filing Initial Decision
AP-1711 Order On Motion as to Gregory J. Adams
AP-1697 Motion to Commission for Extension
33-9572
  • 34-71885
  • IA-3811
  • IC-31008
 Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Section 8a of the Securities Act of 1933, Sections 15(b) and 21C of the Securities Exchange Act of 1934, Sections 203(f) and 203(k) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940, and Ordering Continuation of Proceedings Against Gregory J. Adams
AP-1289 Order for Partial Stay as to Gregory J. Adams
AP-1281 Order Redesignating Presiding Judge
AP-1284 Order for Telephonic Prehearing Conference
AP-1210 Order
AP-1207 Order
AP-1155 Scheduling Order
AP-1132 Prehearing Order
AP-1110 Postponement Order
AP-1060 AP-1060
33-9481
  • 34-70908
  • IA-3720
  • IC-30802
 Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8a of the Securities Act of 1933, Sections 15(b) and 21C of the Securities Exchange Act of 1934, Sections 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
Respondent Larry C. Grossman's Answer and Affirmative Defenses
Respondent Gregory J. Adams Answer and Affirmative Defenses
Division's Prehearing Brief
Respondent's, Larry C. Grossman's Prehearing Brief
Division's Initial Posthearing Brief and Proposed Findings of Fact and Conclusions of Law
Respondent Grossman's Post-Hearing Brief
Division's Post-Hearing Reply Brief
Division's Consent Motion for Proposed Summary Disposition Briefing Regarding Respondent Gregory J. Adams
Division's Motion for Summary Disposition Against Respondent Gregory Adams
Respondent Gregory J. Adams' Opposition to the Division's Motion for Summary Disposition
Division's Reply in Support of Its Motion for Summary Disposition Against Respondent Gregory G. Adams
Respondent Grossman's Notice of Filing with Attached Exhibits A-E.
Larry Grossman's Petition for Review of Initial Decision
Respondent Grossman's Initial Brief
Division's Brief in Opposition to Respondent Larry C. Grossman's Petition for Review of Initial Decision
Respondent Grossman's Reply Brief in Support of Application for Review
Respondent's Notice of Filing Supplemental Authority
Respondent Larry Grossman's Motion for Partial Stay of Monetary Sanctions Pending Appeal
Division's Response to Respondent Larry Grossman's Motion for Partial Stay of Monetary Sanctions Pending Appeal
Division's and Larry C. Grossman's Joint Brief
Initial Decision
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8a of the Securities Act of 1933, Sections 15(b) and 21C of the Securities Exchange Act of 1934, Sections 203(f) and 203(k) of the Investment Advisers Act of 1940,\
and Section 9(b) of the Investment Company Act of 1940
Notice That Initial Decision Has Become Final
Opinion of the Commission
Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Section 8a of the Securities Act of 1933, Sections 15(b) and 21C of the Securities Exchange Act of 1934, Sections 203(f) and 203(k) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940, and Ordering Continuation of Proceedings Against Gregory J. Adams
Order Scheduling Oral Argument
Postponement Order
Prehearing Order
Scheduling Order
Order
Order
Order for Telephonic Prehearing Conference
Order Redesignating Presiding Judge
Order for Partial Stay as to Gregory J. Adams
Motion to Commission for Extension
Order On Motion as to Gregory J. Adams
Posthearing Order
Order Granting Partial Stay
Order Scheduling Briefs
Order in Response to Remand
Order Vacating Municipal Securities Dealer and Transfer Agent Bars
Order Extending Deadline for Filing Initial Decision
Order Granting Petition for Review and Scheduling Briefs

Documents