Administrative Proceeding File No. 3-17878

Respondents

Parthemer, Aaron R.
Release Date Release Number Other Release Numbers Name of Document
34-81471
  • IA-4756
  • IC-32794
 Order Making Findings and Imposing Sanctions Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Section 203(f) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940
AP-4863 Order Extending Stay
AP-4760 Stay Order
AP-4740 Order Extending Time to Hold Prehearing Conference
AP-4710 Order Postponing Hearing and Directing the Parties to Hold an Initial Prehearing Conference
AP-4695 Order Scheduling Hearing and Designating Presiding Judge
34-80221
  • IA-4664
  • IC-32531
 Order Instituting Administrative and Cease-and-Desist Proceedings and Notice of Hearing Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934, Sections 203(f) and 203(k) of the Investment Advisers Act of 1940, and Section 9(b) \
of the Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order and Notice of Hearing
Release Date Release Number Other Release Numbers Name of Document
Order Making Findings and Imposing Sanctions Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Section 203(f) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940
Order Instituting Administrative and Cease-and-Desist Proceedings and Notice of Hearing Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934, Sections 203(f) and 203(k) of the Investment Advisers Act of 1940, and Section 9(b) \
of the Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order and Notice of Hearing
Order Scheduling Hearing and Designating Presiding Judge
Order Postponing Hearing and Directing the Parties to Hold an Initial Prehearing Conference
Order Extending Time to Hold Prehearing Conference
Stay Order
Order Extending Stay

Documents