Administrative Proceeding File No. 3-16316

Respondents

Pollack, Paul J. Montgomery Street Research, LLC
Release Date Release Number Other Release Numbers Name of Document
34-75583
  • IC-31733
 Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934 and Section 9(b) of the Investment Company Act of 1940
AP-2971 Second Stay Order
AP-2958 Order Rescheduling Prehearing Conference
AP-2952 Order Lifting Stay and Scheduling Prehearing Conference
AP-2685 Stay Order
AP-2683 Order Following Final Prehearing Conference
AP-2258 General Prehearing Order
AP-2248 Order Following Prehearing Conference
AP-2233 Order Following Prehearing Conference
AP-2203 Order Postponing Hearing and Scheduling Prehearing Conference
AP-2145 Order Scheduling Hearing and Designating Presiding Judge
34-73844
  • IC-31375
 Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934 and Section 9(b) of the Investment Company Act of 1940, and Notice of Hearing
Release Date Release Number Other Release Numbers Name of Document
Notice of Appearance
Division's Notice of Service of OIP & C&D Proceedings On Respondents
Division's Motion for Adjournment of Hearing and Request for Prehearing Conference
Division's Brief in Support of Motion for Adjournment of Hearing and Request for Prehearing Conference
Proposed Stipulation Setting Pre-Hearing Schedule
Stipulation On Use of Documents
Division's Request for Subpoenas
Respondents' Answer
Division's Notice of Filing of Expert Report of Rona T. Seams
Respondents' Request for Issuance of Subpoena (to Donald W. Prosser)
Division's Motion in Limine to Exclude Certain Testimony and Exhibits
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934 and Section 9(b) of the Investment Company Act of 1940, and Notice of Hearing
Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934 and Section 9(b) of the Investment Company Act of 1940
Order Scheduling Hearing and Designating Presiding Judge
Order Postponing Hearing and Scheduling Prehearing Conference
Order Following Prehearing Conference
Order Following Prehearing Conference
General Prehearing Order
Order Following Final Prehearing Conference
Stay Order
Order Lifting Stay and Scheduling Prehearing Conference
Order Rescheduling Prehearing Conference
Second Stay Order

Documents