Administrative Proceeding File No. 3-18098

Respondents

Teran, Alfred C.
Release Date Release Number Other Release Numbers Name of Document
34-86886
  • IC-33617
 Order Making Findings and Imposing Disgorgement and Prejudgment Interest Pursuant to 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 Alfred C. Teran
AP-6608 Order Staying Proceeding
AP-6588 Order Deferring Decision On Summary Disposition Motion and Directing Supplemental Filings
AP-6504 Order Redesignating Presiding Judge
AP-6451 Second Order Extending Deadlines
AP-6436 Order Extending Deadlines
AP-6396 Order Following Settlement
34-84794
  • IC-33322
 Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to 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 Alfred C. Teran and Ordering Addi\
tional Proceedings
AP-6296 Order Setting Briefing Schedule
AP-6259 Order Lifting Stay and Scheduling Prehearing Conference
AP-6202 Order for Status Report
AP-6102 Order for Status Report
AP-5955 Chief Administrative Law Judge's Order Assigning Proceedings Post Lucia v. SEC
AP-5954 Notice from the Chief Administrative Law Judge
AP-5919 Notice of Extension of Stay
AP-5852 Notice of Stay
AP-5581 Order Ratifying Prior Actions and Staying Proceeding
AP-5435 Order Regarding Respondent's Email Submission
AP-5350 Order Following Ratification of Appointment and Modifying Prehearing Schedule
AP-5198 Order Extending Deadlines
AP-5147 Scheduling Order
AP-5112 Order Finding Service and Scheduling Prehearing Conference
AP-5000 Order Postponing Hearing and Directing Parties to Suggest a Prehearing Conference Date
AP-4949 Order Scheduling Hearing and Designating Presiding Judge
34-81308
  • IC-32773
 Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to 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
Answer and Affirmative Defenses of Alfred C. Teran
Division's Letter Regarding Ratification of All Prior Actions, with Proposed Order
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to 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
Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to 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 Alfred C. Teran and Ordering Addi\
tional Proceedings
Order Making Findings and Imposing Disgorgement and Prejudgment Interest Pursuant to 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 Alfred C. Teran
Order Scheduling Hearing and Designating Presiding Judge
Order Postponing Hearing and Directing Parties to Suggest a Prehearing Conference Date
Order Finding Service and Scheduling Prehearing Conference
Scheduling Order
Order Extending Deadlines
Order Following Ratification of Appointment and Modifying Prehearing Schedule
Order Regarding Respondent's Email Submission
Order Ratifying Prior Actions and Staying Proceeding
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 for Status Report
Order for Status Report
Order Lifting Stay and Scheduling Prehearing Conference
Order Setting Briefing Schedule
Order Following Settlement
Order Extending Deadlines
Second Order Extending Deadlines
Order Redesignating Presiding Judge
Order Deferring Decision On Summary Disposition Motion and Directing Supplemental Filings
Order Staying Proceeding

Documents