Administrative Proceeding File No. 3-15628

Respondents

Imperato, Daniel
Release Date Release Number Other Release Numbers Name of Document
34-86261 Order Vacating Investment Adviser, Municipal Securities Dealer, Municipal Advisor, Transfer Agent, and Nationally Recognized Statistical Rating Organization Bars
34-74886 Order Denying Request for Reconsideration
34-74596 Opinion of the Commission Broker-Dealer Proceeding Grounds for Remedial Action
Injunction
34-72974 Order Granting Petition for Review and Scheduling Briefs
628 Initial Decision
AP-1270 ORDER DENYING RESPONDENT'S SUBPOENA REQUEST AND REGARDING RESPONDENT'S CLARIFICATION REQUEST
AP-1253 Clarification Order
AP-1231 Order Finding That Respondent Has Shown Good Cause for the Delay in Filing a Timely Answer
AP-1209 Order Finding Respondent in Violation of Orders, Rejecting Respondent's E-Mail and Telephone Communications, Andwarning of Possible Sanctions and Default
AP-1204 Order to Show Cause
AP-1161 Order
AP-1142 Order Following Prehearing Conference
AP-1117 Order Striking Respondent's Filings Dated December 7 and 11, 2013
AP-1100 Order Postponing Hearing and Scheduling Prehearing Conference
AP-1077 Order Scheduling Hearing and Designating Presiding Judge
34-70959 Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Notice of Hearing
Release Date Release Number Other Release Numbers Name of Document
Respondent's Answer
Division's Motion for Summary Disposition and Appendix in Support
Respondent's Motion for Summary Disposition, with Exhibits a and Ab
Respondent's Opposition to Division's Motion for Summary Disposition
Division's Response in Opposition to Respondent's Motion for Summary Disposition
Respondent's Reply to Division's Motion for Summary Disposition
Petition for Review
Respondent's Brief in Support of Petition for Review ('Petition Brief Not to Affirm")
Division's Response and Brief in Opposition to Respondent's Petition for Review.
Respondent's Reply Brief
Respondent's Motion for Reconsideration of Opinion and Order Imposing Remedial Sanctions Dated 3/27/15
Initial Decision
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Notice of Hearing
Order Scheduling Hearing and Designating Presiding Judge
Order Postponing Hearing and Scheduling Prehearing Conference
Order Striking Respondent's Filings Dated December 7 and 11, 2013
Order Following Prehearing Conference
Order
Order to Show Cause
Order Finding Respondent in Violation of Orders, Rejecting Respondent's E-Mail and Telephone Communications, Andwarning of Possible Sanctions and Default
Order Finding That Respondent Has Shown Good Cause for the Delay in Filing a Timely Answer
Clarification Order
ORDER DENYING RESPONDENT'S SUBPOENA REQUEST AND REGARDING RESPONDENT'S CLARIFICATION REQUEST
Order Granting Petition for Review and Scheduling Briefs
Opinion of the Commission Broker-Dealer Proceeding Grounds for Remedial Action
Injunction
Order Denying Request for Reconsideration
Order Vacating Investment Adviser, Municipal Securities Dealer, Municipal Advisor, Transfer Agent, and Nationally Recognized Statistical Rating Organization Bars

Documents