Administrative Proceeding File No. 3-15799

Respondents

Montgomery, Michael D.


Release Date	Release Number	Other Release Numbers	Name of Document
Oct. 9, 2014	688		Initial Decision
June 30, 2014	AP-1574		Order for Summary Disposition Motion
May 20, 2014	AP-1443		Order to Show Cause
April 14, 2014	AP-1373		Order Following Prehearing Conference
April 9, 2014	AP-1370		Order Scheduling Prehearing Conference
April 1, 2014	AP-1354		Order Postponing Hearing
March 20, 2014	AP-1320		Order Scheduling Hearing and Designating Presiding Judge
March 18, 2014	34-71738	IA-3798	Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940, and Notice of Hearing


Release Date	Release Number	Other Release Numbers	Name of Document
July 18, 2014			Div's Motion for Summary Disposition
July 18, 2014			Div's Memorandum in Support of Its Motion for Summary Disposition
Oct. 9, 2014			Initial Decision
March 18, 2014			Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940, and Notice of Hearing
Dec. 12, 2014			Notice That Initial Decision Has Become Final
March 20, 2014			Order Scheduling Hearing and Designating Presiding Judge
April 1, 2014			Order Postponing Hearing
April 9, 2014			Order Scheduling Prehearing Conference
April 14, 2014			Order Following Prehearing Conference
May 20, 2014			Order to Show Cause
June 30, 2014			Order for Summary Disposition Motion