Administrative Proceeding File No. 3-17699

Respondents

Neman, Shervin Neman Financial, Inc.
Release Date Release Number Other Release Numbers Name of Document
1369 Initial Decision Making Findings and Imposing Sanction by Default
AP-6456 Order
AP-6410 Order to Show Cause
AP-6120 Order
AP-5955 Chief Administrative Law Judge's Order Assigning Proceedings Post Lucia v. SEC
AP-5954 Notice from the Chief Administrative Law Judge
AP-5584 Order Ratifying Prior Actions
AP-5426 Order On Request for Release from Federal Custody
AP-5284 Notice to the Parties and Order Following Remand
1227 Initial Decision
AP-5037 Order Regarding Respondent's Letter
AP-5002 Order Following Prehearing Conference
AP-4973 Order Scheduling Prehearing Conference
AP-4812 Order
AP-4755 Order Following Prehearing Conference
AP-4746 Order Scheduling Prehearing Conference
AP-4729 Scheduling Order
AP-4697 Order On Respondents' March 15 Filing
AP-4649 Order Following Prehearing Conference and Setting Answer and Briefing Deadlines
AP-4631 Order Scheduling Prehearing Conference
AP-4547 Order to Show Cause
AP-4443 Order Postponing Hearing and Directing Division to Confer with Respondent's Counselor
AP-4410 Order Scheduling Hearing and Designating Presiding Judge
IA-4575 Order Instituting Administrative Proceedings Pursuant to Sections 203(e) and 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing
Release Date Release Number Other Release Numbers Name of Document
Division's Motion for Postponement of Hearing
Answer to Order Instituting Proceedings
Division's Motion For Summary Disposition Against Respondents Shervin Neman And
Neman Financial, Inc. And Memorandum Of Law In Support
Division's Reply in Support Of Motion for Summary Disposition Against Respondents Shervin Neman Financial, Inc., Certificate of Service, and Supplemental Declaration of Amy Jane Longo
Letter Dated 12/20/17 from Respondent to ALJ Requesting Release from Federal Prison
Letter dated 1/5/18 from Division to ALJ requesting that he ratify all prior actions made in this proceeding, with proposed Order
Initial Decision
Initial Decision Making Findings and Imposing Sanction by Default
Order Instituting Administrative Proceedings Pursuant to Sections 203(e) and 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing
Notice That Initial Decision Has Become Final
Order Scheduling Hearing and Designating Presiding Judge
Order Postponing Hearing and Directing Division to Confer with Respondent's Counselor
Order to Show Cause
Order Scheduling Prehearing Conference
Order Following Prehearing Conference and Setting Answer and Briefing Deadlines
Order On Respondents' March 15 Filing
Scheduling Order
Order Scheduling Prehearing Conference
Order Following Prehearing Conference
Order
Order Scheduling Prehearing Conference
Order Following Prehearing Conference
Order Regarding Respondent's Letter
Notice to the Parties and Order Following Remand
Order On Request for Release from Federal Custody
Order Ratifying Prior Actions
Notice from the Chief Administrative Law Judge
Chief Administrative Law Judge's Order Assigning Proceedings Post Lucia v. SEC
Order
Order to Show Cause
Order

Documents