Administrative Proceeding File No. 3-18483

Respondents

Scarpino, Timothy C.
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Release Date Release Number Other Release Numbers Name of Document
33-11198
  • 34-97640
  • IA-6323
  • IC-34933
  • AAER-4413
 Pending Administrative Proceedings (Order Dismissing Proceedings)
AP-6874 Order
AP-6865 Order Redesignating Presiding Judge
AP-6859 Order Following Third Status Report
AP-6847 Order Following Second Status Report
AP-6836 Order Following Status Report
AP-6835 Order for Status Report
AP-6141 Order On Procedures
AP-5977 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
AP-5952 Notice
AP-5874 Notice
AP-5729 Order Designating Presiding Judge
33-10496
  • 33-83236
  • IC-33097
 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, 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 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, Making Findings, and\
Imposing Remedial Sanctions and a Cease-and-Desist Order and Notice of Hearing
Order Designating Presiding Judge
Notice
Notice
Notice from the Chief Administrative Law Judge
Chief Administrative Law Judge's Order Assigning Proceedings Post Lucia v. SEC
Order Following Reassignment
Order On Procedures
Order for Status Report
Order Following Status Report
Order
Order Redesignating Presiding Judge
Order Following Third Status Report
Order Following Second Status Report

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