Administrative Proceeding File No. 3-16198

Respondents

Penna, Gaeton S. Della


Release Date	Release Number	Name of Document
March 27, 2015	757	Initial Decision
Jan. 13, 2015	AP-2211	Order Denying Motion for Stay
Dec. 12, 2014	AP-2128	Order Extending Time to Answer
Dec. 5, 2014	AP-2103	Order Following Prehearing Conference
Nov. 10, 2014	AP-1996	Order Postponing Hearing and Scheduling Prehearing Conference
Oct. 20, 2014	AP-1917	Order Scheduling Hearing and Designating Presiding Judge
Oct. 15, 2014	IA-3949	ORDER INSTITUTING PUBLIC ADMINISTRATIVE PROCEEDINGS PURSUANT TO SECTION 203(f) OF THE INVESTMENT ADVISERS ACT OF 1940 AND NOTICE OF HEARING


Release Date	Release Number	Other Release Numbers	Name of Document
Dec. 15, 2014			Letter of 12/11/14 to OS from Respondent Requesting an Extension of Time to File His Answer
Jan. 12, 2015			Respondent's Motion for a Stay of the Proceedings
Jan. 16, 2015			Division's Notice Regarding Order Denying Motion to Stay.
Feb. 6, 2015			Division's Motion for Summary Disposition, with Declaration of Raynette R. Nicoleau, with Exhibits A-J, and Declaration of Conrad Penner, with Exhibits A-D, Declaration of A. Louis Parker, with Exhibits A-F Attached.
Feb. 6, 2015			Division's Motion for Summary Disposition (Cont'd).
March 27, 2015			Initial Decision
Oct. 15, 2014			ORDER INSTITUTING PUBLIC ADMINISTRATIVE PROCEEDINGS PURSUANT TO SECTION 203(f) OF THE INVESTMENT ADVISERS ACT OF 1940 AND NOTICE OF HEARING
May 8, 2015			Notice That Initial Decision Has Become Final
Oct. 20, 2014			Order Scheduling Hearing and Designating Presiding Judge
Nov. 10, 2014			Order Postponing Hearing and Scheduling Prehearing Conference
Dec. 5, 2014			Order Following Prehearing Conference
Dec. 12, 2014			Order Extending Time to Answer
Jan. 13, 2015			Order Denying Motion for Stay