Administrative Proceeding File No. 3-15626

Respondents

Bott, John P. II Falkenberg, F. Robert Parallax Investments, LLC
Release Date Release Number Other Release Numbers Name of Document
34-75625
  • IA-4159
  • IC-31741
 Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Section 15(b)(6) of the Securities Exchange Act of 1934, 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 Against Parallax Investments, LLC, John P. Bott II, and Robert Falkenberg
AP-1488 Order
AP-1389 Order
AP-1336 Stay Order
AP-1190 Prehearing Order
AP-1088 Postponement Order
AP-1073 Order Scheduling Hearing and Designating Presiding Judge
34-70944
  • IA-3726
  • IC-30810
 Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 15(b)(6) of the Securities Exchange Act of 1934, Sections 203(e), 203(f) and 203(k) of the Investment Advisers Act of 1940, and Section 9(b) of the Investmen\
t Company Act of 1940 and Notice of Hearing
Release Date Release Number Other Release Numbers Name of Document
Respondent Falkenberg's Response
Respondents Parallax Investments, LLC and Bott's Answer
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 15(b)(6) of the Securities Exchange Act of 1934, Sections 203(e), 203(f) and 203(k) of the Investment Advisers Act of 1940, and Section 9(b) of the Investmen\
t Company Act of 1940 and Notice of Hearing
Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Section 15(b)(6) of the Securities Exchange Act of 1934, 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 Against Parallax Investments, LLC, John P. Bott II, and Robert Falkenberg
Order Scheduling Hearing and Designating Presiding Judge
Postponement Order
Prehearing Order
Stay Order
Order
Order

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