Administrative Proceeding File No. 3-16057
Respondents
Pappas, John Thomas
Release Date | Release Number | Other Release Numbers | Name of Document |
---|---|---|---|
IA-3985 | Notice That Initial Decision Has Become Final | ||
695 | Initial Decision Making Findings and Imposing Sanction by Default | ||
AP-1875 | Postponement Order | ||
AP-1785 | Order Scheduling Hearing and Designating Presiding Judge | ||
IA-3912 | Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing |