Administrative Proceeding File No. 3-17172

Respondents

Clare, Barry B.
Release Date Release Number Other Release Numbers Name of Document
34-78574
  • IC-32215
 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-3921 Stay Order
AP-3804 Order Following Prehearing Conference and Setting Procedural Schedule
AP-3765 Order Granting Extension
AP-3749 Order Postponing Hearing and Scheduling Prehearing Conference
AP-3718 Order Scheduling Hearing and Designating Presiding Judge
34-77373
  • IC-32028
 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
Respondent's Answer and Affirmative Defenses
Respondent's Answer and Amended Affirmative Defenses
Administrative Summary
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 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 Scheduling Hearing and Designating Presiding Judge
Order Postponing Hearing and Scheduling Prehearing Conference
Order Granting Extension
Order Following Prehearing Conference and Setting Procedural Schedule
Stay Order

Documents