Administrative Proceeding File No. 3-17716

Respondents

Baker, Robert L. Herrera, Jacob B. Bowen, Michael D. Ballard, Terrence A.
Release Date Release Number Other Release Numbers Name of Document
1385 Initial Decision On Default as to Terrence A. Ballard
33-10663
  • 34-86459
  • IC-33567
 Order Making Findings and Imposing Disgorgement and Prejudgment Interest Pursuant to Section 8A of the Securities Act of 1933, Sections 15(b) and 21C of the Securities Exchange Act of 1934, and Section 9(b) of the Investment Company Act of 1940 as to \
Robert L. Baker
33-10664
  • 34-86461
  • IC-33574
 Order Making Findings and Imposing Disgorgement and Prejudgment Interest Pursuant to Section 8A of the Securities Act of 1933, Sections 15(b) and 21C of the Securities Exchange Act of 1934, and Section 9(b) of the Investment Company Act of 1940 as to \
Jacob B. Herrera
33-10665
  • 34-86462
  • IC-33575
 Order Making Findings and Imposing Disgorgement and Prejudgment Interest Pursuant to Section 8A of the Securities Act of 1933, Sections 15(b) and 21C of the Securities Exchange Act of 1934, and Section 9(b) of the Investment Company Act of 1940 as to \
Michael D. Bowen
AP-6611 Order Granting Extension
AP-6589 Stay Order and Order Requesting Motion for Default and Sanctions as to Terrence A. Ballard
AP-6587 Notice Regarding Motions to Compel and Procedural Schedule
AP-6581 Order On Motion to Compel Respondent Jacob B. Herrera's Compliance with Subpoena
AP-6559 Order Extending Prehearing Schedule
AP-6537 Order Extending Prehearing Schedule
AP-6503 Order Redesignating Presiding Judge
AP-6462 Order Adopting Proposed Amended Schedule as to Three Respondents
AP-6428 Order Requesting New Proposed Schedule
AP-6187 Order to Show Cause as to Terrence A. Ballard
AP-6186 Order Adopting Proposed Schedule as to Three Respondents
AP-6066 Order Following Reassignment as to Robert L. Baker, Jacob B. Herrera, and Michael D. Bowen
AP-6067 Order Following Reassignment as to Terrence A. Ballard
AP-5955 Chief Administrative Law Judge's Order Assigning Proceedings Post Lucia v. SEC
AP-5954 Notice from the Chief Administrative Law Judge
AP-5933 Notice of Extension of Stay
AP-5845 Notice of Stay
AP-5719 Order Adopting Proposed Schedule
AP-5715 Order Ratifying Prior Actions
AP-5657 Order Lifting Partial Stay, Allowing the Submission of New Evidence, and Directing the Parties to Hold a Prehearing Conference
33-10471
  • 34-82929
  • IC-33050
 Order Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Section 8A of the Securities Act of 1933, Sections 15(b) and 21C of the Securities Exchange Act of 1934 and Section 9(b) of the Investment Company Act of 1\
940 as to Robert L. Baker, Jacob B. Herrera, and Michael D. Bowen, and Ordering Additional Proceedings
AP-5598 Order Ratifying Prior Actions as to Terrence A. Ballard
AP-5277 Notice to the Parties, Order Ratifying Stay as to Three Respondents, and Order Allowing New Evidence as to Respondent Terrence A. Ballard
AP-4897 Protective Order
AP-4799 Stay Order
AP-4717 Scheduling Order
AP-4662 Order Extending Time to Hold Prehearing Conference
AP-4652 Order Finding Respondent Ballard in Default
AP-4625 Order Denying Respondent Herrera's Motion to Dismiss
AP-4606 Order to Show Cause
AP-4605 Order Granting Joint Motion for Extension
AP-4563 Order Directing Parties to Hold a Prehearing Conference
AP-4503 Order Postponing Hearing
AP-4454 Protective Order
AP-4431 Order Scheduling Hearing and Designating Presiding Judge
33-10264
  • 34-79507
  • IC-32383
 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, 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
Respondent Jacob Herrera's Preliminary Answer, Motion to Dismiss, or Alternatively,
Motion to Abate of Respondent Jacob B. Herrera
Division's Response in Opposition to Respondnet Herrera's Motion to Dismiss or
Abate Proceeding
Respondent Herrera's Answer
Answer of Respondent Robert L. Baker
Respondent Jacob B. Herrera's First Amended Answer
Division's Letter Regarding Ratification of all Prior Actions, with Proposed Order
Division's Motion for Default and Sanctions Against Terrence A. Ballard, with
Appendix in Support
Initial Decision On Default as to Terrence A. Ballard
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, and Section 9(b) of the Investment Company Act of 1940 and Notice of Hearing
Notice That Initial Decision Has Become Final
Order Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Section 8A of the Securities Act of 1933, Sections 15(b) and 21C of the Securities Exchange Act of 1934 and Section 9(b) of the Investment Company Act of 1\
940 as to Robert L. Baker, Jacob B. Herrera, and Michael D. Bowen, and Ordering Additional Proceedings
Order Making Findings and Imposing Disgorgement and Prejudgment Interest Pursuant to Section 8A of the Securities Act of 1933, Sections 15(b) and 21C of the Securities Exchange Act of 1934, and Section 9(b) of the Investment Company Act of 1940 as to \
Michael D. Bowen
Order Making Findings and Imposing Disgorgement and Prejudgment Interest Pursuant to Section 8A of the Securities Act of 1933, Sections 15(b) and 21C of the Securities Exchange Act of 1934, and Section 9(b) of the Investment Company Act of 1940 as to \
Jacob B. Herrera
Order Making Findings and Imposing Disgorgement and Prejudgment Interest Pursuant to Section 8A of the Securities Act of 1933, Sections 15(b) and 21C of the Securities Exchange Act of 1934, and Section 9(b) of the Investment Company Act of 1940 as to \
Robert L. Baker
Order Scheduling Hearing and Designating Presiding Judge
Protective Order
Order Postponing Hearing
Order Directing Parties to Hold a Prehearing Conference
Order Granting Joint Motion for Extension
Order to Show Cause
Order Denying Respondent Herrera's Motion to Dismiss
Order Finding Respondent Ballard in Default
Order Extending Time to Hold Prehearing Conference
Scheduling Order
Stay Order
Protective Order
Notice to the Parties, Order Ratifying Stay as to Three Respondents, and Order Allowing New Evidence as to Respondent Terrence A. Ballard
Order Ratifying Prior Actions as to Terrence A. Ballard
Order Lifting Partial Stay, Allowing the Submission of New Evidence, and Directing the Parties to Hold a Prehearing Conference
Order Ratifying Prior Actions
Order Adopting Proposed Schedule
Notice of Stay
Notice of Extension of Stay
Notice from the Chief Administrative Law Judge
Chief Administrative Law Judge's Order Assigning Proceedings Post Lucia v. SEC
Order Following Reassignment as to Terrence A. Ballard
Order Following Reassignment as to Robert L. Baker, Jacob B. Herrera, and Michael D. Bowen
Order to Show Cause as to Terrence A. Ballard
Order Adopting Proposed Schedule as to Three Respondents
Order Requesting New Proposed Schedule
Order Adopting Proposed Amended Schedule as to Three Respondents
Order Redesignating Presiding Judge
Order Extending Prehearing Schedule
Order Extending Prehearing Schedule
Order On Motion to Compel Respondent Jacob B. Herrera's Compliance with Subpoena
Notice Regarding Motions to Compel and Procedural Schedule
Stay Order and Order Requesting Motion for Default and Sanctions as to Terrence A. Ballard
Order Granting Extension

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