Administrative Proceeding File No. 3-17560

Respondents

Springsteen-Abbott, Kimberly
Release Date Release Number Other Release Numbers Name of Document
34-88156 Opinion of the Commission
34-87913 Order Extending Time to Issue Decision
34-87702 Order Extending Time to Issue Decision
34-87456 Order Extending Time to Issue Decision
34-86849 Order Extending Time to Issue Decision
34-86281 Order Extending Time to Issue Decision
34-85789 Corrected Order Extending Time to Issue Decision
34-85050 Order Extending Time to Issue Decision
34-84726 Order Extending Time to Issue Decision
34-80360 Opinion of the Commission
34-79302 Extension Order
34-79099 Order Scheduling Briefs
Release Date Release Number Other Release Numbers Name of Document
Application for Review
Order Scheduling Briefs
Extension Order
Applicant's Motion for Oral Argument
FINRA's Brief in Opposition to the Application for Review
Appellants Reply Memorandum of Law; Oral Argument Requested
Letter dated 11/29/16 to Office of the Secretary from Respondent's Counsel JEDavidson regarding Motion to Submit Additional Evidence to Supplement Record, and Applicant is Seeking Reversal of a Decision by the NAC
FINRA's Opposition to Applicant's Motion to Submit Additional Evidence to
Supplement the Record
Applicant's Reply Memorandum in Support of Motion to Submit Additional Evidence to
Supplement the Record
Applicant's Brief in Support of Application for Review (Oral Argument Requested)
Notice of Appeal of NAC Decision; Oral Argument Requested
Applicant's Memoranum of Law in Support of her Appeal
FINRA's Brief in Opposition to the Application for Review
Applicant's Reply Memorandum of Law
Letter Dated 12/11/17 from FINRA to Secretary Fields Requesting Briefing Schedule on New Arguments Applicant Made in her Reply Brief, Regarding Kokesh v. SEC and Saad V. SEC
FINRA's Response Brief Concerning the Relevance, if any, of the Kokesh and Saad II Decisions to this Appeal
Appellant's Reply Brief Concerning the Relevance of the Kokesh and Saad II
Decisions
Extension Order
Order Scheduling Briefs
Opinion of the Commission
Order Extending Time to Issue Decision
Order Extending Time to Issue Decision
Corrected Order Extending Time to Issue Decision
Order Extending Time to Issue Decision
Order Extending Time to Issue Decision
Order Extending Time to Issue Decision
Order Extending Time to Issue Decision
Order Extending Time to Issue Decision
Opinion of the Commission

Documents