Administrative Proceeding File No. 3-16336

Respondents

Williams, Guy Andrew


Release Date	Release Number	Name of Document
Dec. 21, 2015	IA-4297	Order Modifying Sanctions and Notice That Initial Decision, as Modified, Has Become Final
June 3, 2015	805	Initial Decision of Default
April 28, 2015	AP-2598	Order Directing Supplemental Briefing and Additional Evidence
Feb. 24, 2015	AP-2345	Order to Show Cause
Feb. 11, 2015	AP-2305	Order Following Prehearing Conference
Feb. 2, 2015	AP-2272	Order Postponing Hearing and Scheduling Prehearing Conference
Jan. 16, 2015	AP-2227	Order Scheduling Hearing and Designating Presiding Judge
Jan. 13, 2015	IA-3995	Order Instituting 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
Feb. 2, 2015			Division's Motions for Adjournment of Hearing and Prehearing Conference
Feb. 2, 2015			Division's Brief in Support of Motions for Adjournment of Hearing and Prehearing Conference
March 16, 2015			Division's Motion for Sanctions Against Respondent
March 16, 2015			Declaration of Melissa Ai Buckhalter-Honore in Support of Division's Motion for Sanctions Against Respondent
June 3, 2015			Initial Decision of Default
Jan. 13, 2015			Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing
Jan. 16, 2015			Order Scheduling Hearing and Designating Presiding Judge
Feb. 2, 2015			Order Postponing Hearing and Scheduling Prehearing Conference
Feb. 11, 2015			Order Following Prehearing Conference
Feb. 24, 2015			Order to Show Cause
April 28, 2015			Order Directing Supplemental Briefing and Additional Evidence
Dec. 21, 2015			Order Modifying Sanctions and Notice That Initial Decision, as Modified, Has Become Final