Administrative Proceeding File No. 3-18894

Respondents

Prentice, Thomas Christophe
Release Date Release Number Other Release Numbers Name of Document
34-96769 Opinion of the Commission
34-96370 Order Extending Time to Issue Decision
34-95578 Order Extending Time to Issue Decision
34-94968 Order Extending Time to Issue Decision
34-94289 Order Extending Time to Issue Decision
34-93657 Order Extending Time to Issue Decision
34-92730 Order Extending Time to Issue Decision
34-91978 Order Extending Time to Issue Decision
34-91176 Order Extending Time to Issue Decision
34-90511 Order Extending Time to Issue Decision
34-89617 Order Consolidating Appeals
34-88038 Order Scheduling Briefs
34-88032 Order Severing Proceedings
34-87615 Order Consolidating Appeals
34-85509 Order Consolidating Proceedings and Postponing Further Briefing
34-84886 Order Scheduling Briefs
Release Date Release Number Other Release Numbers Name of Document
FINRA's Motion to Expedite Appeal of Bart Steven Kaplow and Stay the Proceedings in the Other Pending Arbitration Expungement Appeals
Applicant's Brief on Commission's Jurisdiction Over This Appeal, w/Ex. A
Application for Review
FINRA's Response to Applicant's Initial Brief on the Issue of Jurisdiction
Applicant's Reply to FINRA's Response to Applicant's Initial Brief on the Issue of
Jurisdiction
Applicant's Reply Brief
FINRA's Response to Applicant's Supplemental Brief
Prentice's Reply Brief to FINRA's Response
Order Consolidating Proceedings and Postponing Further Briefing
Order Consolidating Appeals
Order Severing Proceedings
Order Consolidating Appeals
Order Extending Time to Issue Decision
Order Extending Time to Issue Decision
Order Extending Time to Issue Decision
Order Extending Time to Issue Decision
Order Extending Time to Issue Decision
Order Extending Time to Issue Decision
Order Extending Time to Issue Decision
Order Extending Time to Issue Decision
Order Extending Time to Issue Decision
Opinion of the Commission

Documents