Administrative Proceeding File No. 3-16337

Respondents

Williams, Brent F.


Release Date	Release Number	Name of Document
Aug. 17, 2015	859	Initial Decision
April 13, 2015	AP-2533	Order
April 1, 2015	AP-2480	Prehearing Order
March 18, 2015	AP-2435	Scheduling Order
Feb. 2, 2015	AP-2276	Postponement Order
Jan. 15, 2015	AP-2225	Order Scheduling Hearing and Designating Presiding Judge
Jan. 13, 2015	IA-3996	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.
Feb. 18, 2015			Letter of 2/6/15 to Os from Respondent Re Proceeding and Resulting Hearing Are Premature - Given Fact That Case Is Not Fully Adjudicated, and That It Is in Appeal Process in the 9Th Circuit of the Federal Court System, with Attached Affidavit.
April 28, 2015			Division's Motion for Summary Disposition Against Respondent Pursuant to Commission Rule of Practice 250
July 24, 2015			Declaration of Melissia A. Buckhalter-Honore in Support of Reply Brief in Support of Division's Motion for Summary Disposition Against Respondent
Aug. 17, 2015			Initial Decision
Jan. 13, 2015			Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing
Oct. 13, 2015			Notice That Initial Decision Has Become Final
Jan. 15, 2015			Order Scheduling Hearing and Designating Presiding Judge
Feb. 2, 2015			Postponement Order
March 18, 2015			Scheduling Order
April 1, 2015			Prehearing Order
April 13, 2015			Order