Administrative Proceeding File No. 3-15691

Respondents

Rathgeber, James A.


Release Date	Release Number	Name of Document
May 30, 2014	606	Initial Decision
March 19, 2014	AP-1315	Prehearing Order
March 11, 2014	AP-1297	Postponement Order
Feb. 12, 2014	AP-1240	Postponement Order
Feb. 3, 2014	AP-1214	Order Scheduling Hearing and Designating Presiding Judge
Jan. 27, 2014	34-71399	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
March 5, 2014			Letter of 3/5/14 (Answer) from Respondent to CALJ Murray Responding to Letter Signed by OS Assistant Secretary Jill Peterson
April 25, 2014			Division's Motion for Summary Disposition
April 25, 2014			Declaration of Michelle L. Ramos in Support of Division's Motion for Summary Disposition
May 22, 2014			Division's Brief in Reply on Its Motion for Summary Disposition
May 19, 2014			Letter of 5/14/14 from Respondent Rathgeber Responding to Division's Motion for Summary Disposition
June 9, 2014			Letter of 6/3/14 from Respondent in Response to Initial Decision
May 30, 2014			Initial Decision
Jan. 27, 2014			Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, and Notice of Hearing
July 11, 2014			Notice That Initial Decision Has Become Final
Feb. 3, 2014			Order Scheduling Hearing and Designating Presiding Judge
Feb. 12, 2014			Postponement Order
March 12, 2014			Postponement Order
March 19, 2014			Prehearing Order