Administrative Proceeding File No. 3-15627

Respondents

Tri-Star Advisors, Inc. Payne, William T. Vaughan, Jon C.
Release Date Release Number Other Release Numbers Name of Document
IA-4160
  • IC-31742
 Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Sections 203(e) and 203(k) of the Investment Advisers Act of 1940 and Section 9(b) of the Investment Company Act of 1940 Against All Respondents
AP-1701 Stay Order
AP-1534 Order Amending Procedural Schedule
AP-1527 Order Following Prehearing Conference Setting Procedural Schedule
AP-1478 Order Denying Summary Disposition Motions and Scheduling Prehearing Conference
AP-1274 Order Modifying Dates for Motions for Summary Disposition
AP-1225 Order Following Prehearing Conference and Setting Dates for Motions for Summary Disposition
AP-1108 Order Postponing Hearing, Scheduling Prehearing Conference, and Extending Time to Answer
AP-1072 Order Scheduling Hearing and Designating Presiding Judge
IA-3727 Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 203(e) and 203(k) of the Investment Advisers Act of 1940 and Section 9(b) of the Investment Company Act of 1940 and Notice of Hearing
Release Date Release Number Other Release Numbers Name of Document
Answer of Resps.Tri-Star Advisors, Inc., Payne, and Vaughan to Order Lnstitut Admin and C&D Proceedings Pursuant to Sees 203(e) & (k) of Investment Advisers Act of 1940 and Section 9(b) of Investment Company Act of 1940
Motion of Respondents Summary Disposition (as to All Respondents)
Division's Motion for Summary Disposition and Response in Opposition to Respondents' Motion for Summary Disposition and Brief in Support
Respondents' Reply Brief in Support of Motion for Summary Disposition
Division's Reply Brief in Support of Its Motion for Sumary Disposition
Respondents' Surreply Brief in Support of Motion for Summary Disposition
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 203(e) and 203(k) of the Investment Advisers Act of 1940 and Section 9(b) of the Investment Company Act of 1940 and Notice of Hearing
Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Sections 203(e) and 203(k) of the Investment Advisers Act of 1940 and Section 9(b) of the Investment Company Act of 1940 Against All Respondents
Order Scheduling Hearing and Designating Presiding Judge
Order Postponing Hearing, Scheduling Prehearing Conference, and Extending Time to Answer
Order Following Prehearing Conference and Setting Dates for Motions for Summary Disposition
Order Modifying Dates for Motions for Summary Disposition
Order Denying Summary Disposition Motions and Scheduling Prehearing Conference
Order Following Prehearing Conference Setting Procedural Schedule
Order Amending Procedural Schedule
Stay Order

Documents