Administrative Proceeding File No. 3-17686
Respondents
Lee, James Y.
Release Date | Release Number | Other Release Numbers | Name of Document |
---|---|---|---|
1140 | Initial Decision On Default | ||
AP-4516 | Order to Show Cause | ||
AP-4488 | Order Following Prehearing Conference | ||
AP-4435 | Order Postponing Hearing and Scheduling Prehearing Conference | ||
AP-4374 | Order Scheduling Hearing and Designating Presiding Judge | ||
IA-4571 | Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing |