Administrative Proceeding File No. 3-18276

Respondents

Baccam, Patric Ken a/k/a Khanh Sengpraseuth
Release Date Release Number Other Release Numbers Name of Document
34-84922
  • IA-5092
 Order Making Findings and Imposing Remedial Sanctions Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940
AP-6336 Order Extending Stay
AP-6184 Stay Order
AP-6104 Order Following Reassignment
AP-6106 Order Following Reassignment
AP-5955 Chief Administrative Law Judge's Order Assigning Proceedings Post Lucia v. SEC
AP-5954 Notice from the Chief Administrative Law Judge
1246 Initial Decision of Default
AP-5430 Order Finding Respondent in Default
AP-5406 Order to Show Cause
AP-5259 Notice to the Parties and Order Ratifying Prior Actions and Scheduling Prehearing Conference
AP-5235 Order Postponing Hearing and Directing the Division of Enforcement to File Declaration of Service
AP-5223 Order Scheduling Hearing and Designating Presiding Judge
34-82030
  • IA-4809
 Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and 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 Sanctons Against Respondent Patric Ken Baccam, Declaration of Nicholas C. Margida in Support, and Ex. 1-12
Initial Decision of Default
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing
Order Making Findings and Imposing Remedial Sanctions Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940
Order Scheduling Hearing and Designating Presiding Judge
Order Postponing Hearing and Directing the Division of Enforcement to File Declaration of Service
Notice to the Parties and Order Ratifying Prior Actions and Scheduling Prehearing Conference
Order to Show Cause
Order Finding Respondent in Default
Notice from the Chief Administrative Law Judge
Chief Administrative Law Judge's Order Assigning Proceedings Post Lucia v. SEC
Order Following Reassignment
Order Following Reassignment
Stay Order
Order Extending Stay

Documents