Administrative Proceeding File No. 3-17828

Respondents

Herman, Rosalind
Release Date Release Number Other Release Numbers Name of Document
1371 Initial Decision
AP-6438 Order Granting Extension
AP-6286 Order Following Prehearing Conference
AP-6199 Order Setting Motions Schedule and Scheduling Prehearing Conference
AP-6047 Order Following Reassignment
AP-6013 Reassignment Order
AP-5973 Order Scheduling Prehearing Conference
AP-5955 Chief Administrative Law Judge's Order Assigning Proceedings Post Lucia v. SEC
AP-5954 Notice from the Chief Administrative Law Judge
1249 Initial Decision
AP-5650 Order
AP-5602 Order
AP-5537 Order
AP-5410 Order
AP-5239 Order
AP-5213 Order
AP-5138 Order
AP-5038 Order
AP-4900 Prehearing Order
AP-4774 Prehearing Order
AP-4665 Prehearing Order
AP-4635 Postponement Order
AP-4593 Order Scheduling Hearing and Designating Presiding Judge
IA-4643 Order Instituting Administrative Proceedings Pursuant to Section 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 Summary Disposition Against Respondent, Memorandum of Law in Support, Declaration of Kathleen Shields in Support
Answer to Order Instituting Proceedings Pursuant to Section 203, of the Investment
Advisor Act of 1940, and Notice of Hearing
Letter dated 1/3/18 from Division to ALJ requesting that she ratify all prior actions
made in this proceeding, with proposed order
Division of Enforcement's Response to Respondent Rosalind Herman's Recent
Pleadings
Division's Reply Brief In Support of Motion for Summary Disposition, with
Supplemental Declaration of Kathleen Shields
Respondent's Answer
Respondent's Motion to Dismiss Division's Reply Memorandum of Law in Support of
Its Motion for Summary Disposition Against Respondent Rosalind Herman
Division of Enforcement's Memorandum of Law in Support of its Motion for Summary
Disposition Against Respondent Rosalind Herman
Divison of Enforcement's Motion for Summary Disposition Against Respondent Rosalind Herman
Initial Decision
Initial Decision
Order Instituting Administrative Proceedings Pursuant to Section 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
Postponement Order
Prehearing Order
Prehearing Order
Prehearing Order
Order
Order
Order
Order
Order
Order
Order
Order
Notice from the Chief Administrative Law Judge
Chief Administrative Law Judge's Order Assigning Proceedings Post Lucia v. SEC
Order Scheduling Prehearing Conference
Reassignment Order
Order Following Reassignment
Order Setting Motions Schedule and Scheduling Prehearing Conference
Order Following Prehearing Conference
Order Granting Extension

Documents