Administrative Proceeding File No. 3-17319

Respondents

Helen, Jan E.
Release Date Release Number Other Release Numbers Name of Document
33-10291
  • 34-79870
  • IA-4623
  • IC-32434
 Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Section 8A of the Securities Act of 1933, Section 15(b) of the Securities Exchange Act of 1934, Section 203(f) of the Investment Advisers Act of 1940, and \
Section 9(b) of the Investment Company Act of 1940
AP-4323 Order Staying Proceeding
AP-4312 Order Following Second Prehearing Conference
AP-4204 Order On Motion
AP-4077 Order On Motion
AP-4026 Order Following Prehearing Conference
AP-3978 Order Postponing Hearing and Scheduling Prehearing Conference
AP-3958 Order Scheduling Hearing and Designating Presiding Judge
33-10108
  • 34-78185
  • IA-4440
  • IC-32165
 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(f) and 203(k) of the Investment Advisers Act of 1940 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
Proposed Stipulated Pre-hearing Schedule
Respondent's Answer
Respondent's Motion for Reconsideration of Sua Sponte Dismissal of Affirmative Defenses
Letter from Division to David Zisser regarding Write to Clarify Matter Raised during the July 26, 2016 Pre-Hearing Conference
Division's Opposition to Respondent's Motion for Reconsideration of Sua Sponte Dismissal of Affirmative Defenses
Joint Motion For Stay Of Proceedings Pending Commission Consideration Of An Offer Settlement
Administrative Summary
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(f) and 203(k) of the Investment Advisers Act of 1940 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 Section 8A of the Securities Act of 1933, Section 15(b) of the Securities Exchange Act of 1934, Section 203(f) of the Investment Advisers Act of 1940, 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 On Motion
Order On Motion
Order Following Second Prehearing Conference
Order Staying Proceeding

Documents