Administrative Proceeding File No. 3-15943

Respondents

Montanino, David J.
Release Date Release Number Other Release Numbers Name of Document
773 Initial Decision
AP-2009 Post-Hearing Order
AP-1961 Order
AP-1872 Notice of Hearing Location
AP-1728 Order On Subpoenas
AP-1677 General Prehearing Order
AP-1675 Order Setting Prehearing Schedule
AP-1645 Order Postponing Hearing and Scheduling Prehearing Conference
AP-1567 Order Scheduling Hearing and Designating Presiding Judge
33-9604
  • 34-72461
  • IA-3862
  • IC-31096
 Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Section 21C of the Securities Exchange Act of 1934, Sections 203 (f) and (k) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940
Release Date Release Number Other Release Numbers Name of Document
Answer of Respondent David Montanino
Division's Pre-Hearing Memorandum
Respondent David J. Montanino's Pre-Hearing Brief
Division's Post-Hearing Memorandum of Law
Respondent David J. Montanino's Post Hearing Memorandum
Division's Post-Hearing Reply Memorandum of Law
Respondent David J. Montanino's Rebuttal Memorandum
Initial Decision
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Section 21C of the Securities Exchange Act of 1934, Sections 203 (f) and (k) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940
Notice That Initial Decision Has Become Final
Order Scheduling Hearing and Designating Presiding Judge
Order Postponing Hearing and Scheduling Prehearing Conference
Order Setting Prehearing Schedule
General Prehearing Order
Order On Subpoenas
Notice of Hearing Location
Order
Post-Hearing Order

Documents