Administrative Proceeding File No. 3-16294
Respondents
Murphy, Phillip Dennis
| Release Date | Release Number | Other Release Numbers | Name of Document |
|---|---|---|---|
| 34-84145 |
|
Order Vacating Municipal Securities Dealer and Transfer Agent Bars | |
| 34-76702 |
|
Order Vacating Nationally Recognized Statistical Rating Organization and Municipal Advisor Bars | |
| 34-73968 |
|
Order Making Findings and Imposing Remedial Sanctions Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940 | |
| AP-2165 | Stay Order | ||
| AP-2153 | Order Following Prehearing Conference | ||
| AP-2141 | Order Postponing Hearing and Scheduling Prehearing Conference | ||
| AP-2091 | Order Scheduling Hearing and Designating Presiding Judge | ||
| 34-73724 |
|
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 |