Administrative Proceeding File No. 3-17693

Respondents

Finn, Sean P. M. Dwyer LLC
Release Date Release Number Other Release Numbers Name of Document
1396 Initial Decision of Default
AP-6691 Order Following Remand
34-87057 Order Remanding Proceeding
AP-6623 Notice Regarding Respondents' Filing
1375 Initial Decision of Default
AP-6435 Order Granting Further Extension
AP-6409 Order Granting Extension
AP-6292 Order Finding Service, Directing Respondents to Show Cause, and Setting Deadline for Motions
AP-6241 Order Following Prehearing Conference
AP-6180 Order Scheduling Prehearing Conference
AP-6002 Order Following Reassignment
AP-5955 Chief Administrative Law Judge's Order Assigning Proceedings Post Lucia v. SEC
AP-5954 Notice from the Chief Administrative Law Judge
AP-5458 Order
AP-5390 Order
1126 Initial Decision Making Findings and Imposing Sanction by Default
AP-4658 Order to Show Cause
AP-4425 Postponement Order
AP-4384 Order Scheduling Hearing and Designating Presiding Judge
34-79367 Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 15(b) of the Securities Exchange Act of 1934
Release Date Release Number Other Release Numbers Name of Document
Division's Motion for Summary Disposition and Imposition of Sanctions against
Respondents w/ Exhibits
Respondent Sean Finn's Response to SEC's Division of Enforcement's Motion for
Summary Disposition and Imposition of Sanctions
Division of Enforcement's Reply to Respondent's May 2019 Filing
Initial Decision Making Findings and Imposing Sanction by Default
Initial Decision of Default
Initial Decision of Default
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 15(b) of the Securities Exchange Act of 1934
Notice That Initial Decision Has Become Final
Order Scheduling Hearing and Designating Presiding Judge
Postponement Order
Order to Show Cause
Order
Order
Notice from the Chief Administrative Law Judge
Chief Administrative Law Judge's Order Assigning Proceedings Post Lucia v. SEC
Order Following Reassignment
Order Scheduling Prehearing Conference
Order Following Prehearing Conference
Order Finding Service, Directing Respondents to Show Cause, and Setting Deadline for Motions
Order Granting Extension
Order Granting Further Extension
Notice Regarding Respondents' Filing
Order Following Remand
Order Remanding Proceeding

Documents