Administrative Proceeding File No. 3-16155

Respondents

Rowe, Nicholas
Release Date Release Number Other Release Numbers Name of Document
IA-4332 Corrected Order Making Findings and Imposing Remedial Sanctions Pursuant to Section 203(f) of the Investment Advisers Act of 1940
AP-3537 Stay Order
AP-3523 Order On Prehearing Motions
AP-3505 Order Regarding Testimonial Subpoenas
AP-3502 Order Regarding Motion to Compel
AP-3485 Order Setting Briefing Schedule On Prehearing Motions
AP-3442 Order Denying Motion to Introduce Prior Sworn Testimony
AP-3418 Updated Notice of Hearing Location
AP-3379 Order On Modified Subpoenas and Procedural Matters
AP-3364 Order On Motions to Quash
AP-3322 Order On Document Subpoenas
AP-3276 Notice of Hearing Location
AP-3224 Order Following Prehearing Conference and Setting Procedural Schedule
AP-3169 Order Following Remand and Scheduling Prehearing Conference
34-75982 Order Denying Motion for Summary Affirmance and Remanding for Additional Proceedings
IA-4061 Order Granting Petition for Review and Scheduling Briefs
746 Initial Decision
AP-2111 Correction to Order Instituting Administrative Proceedings
AP-2018 Order Following Prehearing Conference
AP-1902 Order Postponing Prehearing Conference and Extending Time to Answer
AP-1899 Order Postponing Hearing and Scheduling Prehearing Conference
AP-1843 Order Scheduling Hearing and Designating Presiding Judge
IA-3930 Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940
Release Date Release Number Other Release Numbers Name of Document
Respondent's Answer to OIP
Division's Motion for Leave to File Motion for Summary Disposition
Division's Motion for Summary Disposition
Declaration of Marc C. Jones in Support of Division's Motion for Summary Disposition
Respondent's Opposition to Division's Motion for Summary Disposition
Division's Reply to Respondent Rowe's Opposition to Motion for Summary Disposition
Division's Motion for Summary Affirmance
Respondent's Arguments Against Division's Motion for Summary Disposition
Respondent's Brief in Support of Petition for Review of Initial Decision
Division's Brief in Opposition to Respondenfs Brief in Support of Petition for Review of Initial Decision
Non-Party Submission of Peter N. Tamposi in Response to Brief in Support of Respondent's Petition for Review of Initial Decision
Respondent's Consolidated Reply to Division's Consolidated Opposition to Respondent's Motions
Respondent's Reply to Declaration of Steven N. Fuller, Esq. in Response to Order Regarding Motion to Compel Subpoena Recipients to Produce Subpoenaed Documents
Division's Consolidated Opposition to Respondent's Motions
Initial Decision
Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940
Corrected Order Making Findings and Imposing Remedial Sanctions Pursuant to Section 203(f) of the Investment Advisers Act of 1940
Order Scheduling Hearing and Designating Presiding Judge
Order Postponing Hearing and Scheduling Prehearing Conference
Order Postponing Prehearing Conference and Extending Time to Answer
Order Following Prehearing Conference
Correction to Order Instituting Administrative Proceedings
Order Following Remand and Scheduling Prehearing Conference
Order Following Prehearing Conference and Setting Procedural Schedule
Notice of Hearing Location
Order On Document Subpoenas
Order On Motions to Quash
Order On Modified Subpoenas and Procedural Matters
Updated Notice of Hearing Location
Order Denying Motion to Introduce Prior Sworn Testimony
Order Setting Briefing Schedule On Prehearing Motions
Order Regarding Motion to Compel
Order Regarding Testimonial Subpoenas
Order On Prehearing Motions
Stay Order
Order Denying Motion for Summary Affirmance and Remanding for Additional Proceedings
Order Granting Petition for Review and Scheduling Briefs

Documents