Administrative Proceeding File No. 3-15141

Respondents

Riad, Mohammed Swanson, Kevin Timothy
Release Date Release Number Other Release Numbers Name of Document
34-84919
  • IA-5091
  • IC-33338
 Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Section 21C of the Securities Exchange Act of 1934, Sections 203(f) and 203(k) of the Investment Advisers Act of 1940, and Sections 9(b) and 9(f) of the\
Investment Company Act of 1940
34-78272
  • IA-4446
  • IC-32174
 Partial Stay Order
34-78252
  • IA-4445
  • IC-32172
 Order Amending Opinion
34-78049
  • IA-4420
  • IC-32146
 Opinion of the Commission; Corrected
34-77059
  • IA-4328
  • IC-31984
 Order Scheduling Oral Argument
34-76509
  • IA-4278
  • IC-31915
 Extension Order
34-72449
  • IA-3861
  • IC-31094
 Order Granting Extension to File Brief in Support of Petition for Review
34-72360
  • IA-3851
  • IC-31076
 Order Granting Petition for Review and Scheduling Briefs
AP-1437 Order
590 Initial Decision
34-71481
  • IA-3772
  • IC-30906
 Order Granting Extension
AP-871 Order
AP-875 Motion Requesting Extension of Time to File Initial Decision
AP-861 Order
AP-756 Order
34-68467 ORDER INSTITUTING ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS PURSUANT TO SECTION 21C OF THE SECURITIES EXCHANGE ACT OF 1934, SECTIONS 203(f), AND 203(k) OF THE INVESTMENT ADVISERS ACT OF 1940, AND SECTIONS 9(b) AND 9(f) OF THE INVESTMENT COMP\
ANY ACT OF 1940
Release Date Release Number Other Release Numbers Name of Document
Division of Enforcement's Prehearing Brief
Division of Enforcement's Post-Hearing Brief
Respondents' Post-Hearing Brief
Respondent's Reply to Division of Enforcement's Post-Hearing Brief
Division of Enforcement's Reply to Respondents' Post-Hearing Brief
Respondents' Petition for Review of Initial Decision
Opening Brief in Support of Respondents Mohammed Riad and Timothy Swanson's Appeal of Initial Decision by a Hearing Officer
Division of Enforcement's Brief in Opposition to Respondents' Appeal of the Initial Decision
Reply Brief in Further Support of Respondents Mohammed Riad and Kevin Timothy Swanson's Appeal of Initial Decision by a Hearing Officer.
Request to Vacate Bar(s) for Respondent Riad
Request to Vacate Bar(s) for Respondent Swanson
Respondents' Reply Brief in Support of Motion to Dismiss
Division of Enforcement's Response to Respondents' Motion to Dismiss
Respondents' Motion to Dismiss
Respondents' Brief in Support of Motion to Dismiss
Respondents Riad and Swanson's Motion to Dismiss and Brief in Support of Motion to Dismiss
Respondents' Reply Brief in Support of Motion to Dismiss
Division of Enforcement's Response to Respondents' Second Motion to Dismiss
Division of Enforcement's Response in Opposition to Respondents' Motion to Stay
Respondents Reply Brief in Support of Motion for a Stay
Initial Decision
ORDER INSTITUTING ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS PURSUANT TO SECTION 21C OF THE SECURITIES EXCHANGE ACT OF 1934, SECTIONS 203(f), AND 203(k) OF THE INVESTMENT ADVISERS ACT OF 1940, AND SECTIONS 9(b) AND 9(f) OF THE INVESTMENT COMP\
ANY ACT OF 1940
Opinion of the Commission; Corrected
Extension Order
Order Scheduling Oral Argument
Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Section 21C of the Securities Exchange Act of 1934, Sections 203(f) and 203(k) of the Investment Advisers Act of 1940, and Sections 9(b) and 9(f) of the\
Investment Company Act of 1940
Order
Order
Motion Requesting Extension of Time to File Initial Decision
Order
Order
Order Granting Extension
Order Granting Petition for Review and Scheduling Briefs
Order Granting Extension to File Brief in Support of Petition for Review
Order Amending Opinion
Partial Stay Order

Documents