Administrative Proceeding File No. 3-16312

Respondents

Stephan, Scott M.
Release Date Release Number Other Release Numbers Name of Document
888 Initial Decision
AP-3108 Protective Order
AP-3074 Motion to the Commission for Extension
AP-2944 Stay Order
AP-2937 Notice of Hearing Location
AP-2934 Order Scheduling Hearing
AP-2914 Order Lifting Stay, Scheduling Hearing, and Setting Prehearing Deadlines
AP-2853 Order
AP-2815 Order Granting Motion to Correct Hearing Transcript
AP-2816 Order
AP-2805 Order Extending Stay Order and Admitting Exhibit
AP-2792 Order Extending Deadline to File Stipulations as to Proposed Findings of Fact and Conclusions of Law
AP-2792 Order Extending Deadline to File Stipulations as to Proposed Findings of Fact and Conclusions of Law
AP-2778 Order Extending Deadline to File Stipulations or Motions Regarding Transcript Corrections
AP-2708 Post-Hearing Order
AP-2646 Order
AP-2641 Stay Order
AP-2627 Order Following Prehearing Conference
AP-2612 Order Regarding Respondent Dembski's Advice of Counsel Defense
AP-2606 Order Regarding Respondent Dembski's Advice of Counsel Defense and Opposition to Motions in Limine
AP-2603 Order Regarding Compliance with U.S. Court of Appeals for the Second Circuit Courtroom Requirements
AP-2601 Order Regarding Testimony
AP-2583 Order Regarding Testimony
AP-2578 Order Regarding Motions in Limine
AP-2562 Order Regarding Exhibit Lists
AP-2562 Order Regarding Exhibit Lists
AP-2553 Order Extending Prehearing Deadlines
AP-2537 Notice of Hearing Location
AP-2205 Order
AP-2168 Order Postponing Hearings
AP-2121 Order Scheduling Hearing and Designating Presiding Judge
33-9687
  • 34-73803
  • IA-3977
  • IC-31368
 Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Sections 15(b) and 21C of the Securities Exchange Act of 1934, Sections 203(f) and 203(k) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order and Notice of Hearing
Release Date Release Number Other Release Numbers Name of Document
Letter of 12/23/14 to ALJ Patil from Division Requesting That Hearings Scheduled in 3-16311 & 16312 Be Converted to One Combined Telephonic Prehearing Scheduling Conference On 1/8/15
Please refer to 3-16311 for entries after Jan. 9, 2015.
Initial Decision
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Sections 15(b) and 21C of the Securities Exchange Act of 1934, Sections 203(f) and 203(k) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order and Notice of Hearing
Notice That Initial Decision Has Become Final
Order Scheduling Hearing and Designating Presiding Judge
Order Postponing Hearings
Order
Order Regarding Testimony

Documents