Administrative Proceeding File No. 3-16801

Respondents

Bennett Group Financial Services, LLC Bennett, Dawn J.
Release Date Release Number Other Release Numbers Name of Document
33-10606
  • 34-85151
  • IA-5113
  • IC-33376
 Order
33-10375
  • 34-81043
  • IA-4720
  • IC-32715
 Stay Order
33-10351
  • 34-80526
  • IA-4692
  • IC-32612
 Order Denying Respondents' Motion for Leave to File Supplemental Brief
33-10331
  • 34-80347
  • IA-4676
  • IC-32586
 Opinion of the Commission
33-10126
  • 34-78637
  • IA-4491
  • IC-32222
 Order Granting Petition for Review and Scheduling Briefs
1033 Initial Decision of Default
AP-3835 Order Granting in Part Joint Motion to Correct Record Index
AP-3780 Order Admitting Corrected Exhibit 360
AP-3656 Order On Rule 235 Motion
AP-3588 Order Granting Motion to Admit Johnston Testimony
AP-3561 Post-Hearing Order
AP-3529 Order Postponing Hearing
AP-3507 Order On Witness List
AP-3494 Order Denying Motion to Stay or Dismiss This Proceeding
AP-3453 Order Following Prehearing Conference
AP-3363 Order Granting Motion for Leave to File Notice Under Seal
AP-3269 Scheduling Order
AP-3234 Order Granting Motion to Extend Time to Answer
AP-3205 Scheduling Order
AP-3199 Order Postponing Prehearing Conference
AP-3170 Order Granting Motion to Extend Time to Answer
AP-3163 Order Postponing Hearing and Scheduling Prehearing Conference
AP-3112 Order Scheduling Hearing and Designating Presiding Judge
33-9910
  • 34-75864
  • IA-4191
  • IC-31810
 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(e), 203(f), and 203(k) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940
Release Date Release Number Other Release Numbers Name of Document
Respondents' Answer to Order Instituting Proceedings and Affirmative Defenses
Letter of 1/6/16 to ALJ Grimes from counsel for Respondents moving to have the Administrative Proceeding declared unconstitutional and requesting a stay of the proceeding
Division's Proposed Findings of Fact and Conclusions of Law
Division's Opening Post-Hearing Brief
Declaration of Michael J. Rinaldi, with Attachments A-D
Respondent's Petition for Review of Initial Decision
Respondent's Brief in Support of Petition for Review
Division's Brief in Opposition to Respondent's Petition for Review
Respondents' Reply Brief
Respondents Motion for Leave To File Supplemental Brief
Motion for a Stay of the Commission's Order Imposing Remedial Sanctions Pending
Judicial Review
Division's Opposition to Respondents' Motion to Stay Sanctions
Initial Decision of Default
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(e), 203(f), and 203(k) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940
Opinion of the Commission
Order Scheduling Hearing and Designating Presiding Judge
Order Postponing Hearing and Scheduling Prehearing Conference
Order Granting Motion to Extend Time to Answer
Order Postponing Prehearing Conference
Scheduling Order
Order Granting Motion to Extend Time to Answer
Scheduling Order
Order Granting Motion for Leave to File Notice Under Seal
Order Following Prehearing Conference
Order Denying Motion to Stay or Dismiss This Proceeding
Order On Witness List
Order Postponing Hearing
Post-Hearing Order
Order Granting Motion to Admit Johnston Testimony
Order On Rule 235 Motion
Order Admitting Corrected Exhibit 360
Order Granting in Part Joint Motion to Correct Record Index
Order Granting Petition for Review and Scheduling Briefs
Order Denying Respondents' Motion for Leave to File Supplemental Brief
Stay Order
Order

Documents