Administrative Proceeding File No. 3-15382

Respondents

Cohen, Steven A.
Release Date Release Number Other Release Numbers Name of Document
IA-4307 Order Making Findings and Imposing Remedial Sanctions Pursuant to Section 203(f) of the Investment Advisers Act of 1940
AP-3456 Order Extending Deadline
AP-3426 Order Following Prehearing Conference
AP-3415 Order Postponing Filing
AP-3361 Order Lifting Stay and Scheduling Prehearing Conference
AP-3075 Order Continuing Stay
AP-2748 Order Continuing Stay
AP-2374 Order Continuing Stay
AP-2060 Order Continuing Stay
AP-1749 Order Continuing Stay
AP-1472 Order Continuing Stay
AP-1277 Order Continuing Stay
AP-1076 Notice of Status of Related Proceedings
AP-785 Order on U.S. Attorneys Application to Intervene and Motion to Stay Proceeding
IA-3634 Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing
Release Date Release Number Other Release Numbers Name of Document
Letter of 8/26/14 to CALJ Murray from U.S. Attorney's Office of Southern District of NY updating its request for continued stay of proceedings; USAO will further update by or before 11/26, if Newman/Chiasson appeal is decided by then
Letter of 5/28/14 to CALJ Murray from U.S. Attorney's Office of Southern District of NY requests continued stay of proceedings; will update on whether stay remains warranted on or before 8/26/14, if Newman/Chiasson appeal is decided by that time
Letter of 11/25 to CALJ Murray from U.S. Atty's Office of S.D. of NY Updating Its Request for Continued Stay of Proceedings
Letter of 12/13 to Calj Murray from U.S. Atty's Office of S.D. of Ny Updating Its Request for Continued Stay of Proceedings; USAo Will Further Update On or Before 2/26/15 as Previously Directed
Letter of 2/26/15 to Calj Murray from U.S. Atty's Office of S.D. of Ny Updating Its Request for Continued Stay of Proceedings; USAo Will Further Update On or Before 5/27/15 as Previously Directed
Letter of 11/30/15 to CALJ from Asst U.S. Atty Devlin-Brown Advising That the U.S. Atty No Longer Seeks a Stay for This Proceeding
Joint Statement
Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing
Order Making Findings and Imposing Remedial Sanctions Pursuant to Section 203(f) of the Investment Advisers Act of 1940
Order on U.S. Attorneys Application to Intervene and Motion to Stay Proceeding
Notice of Status of Related Proceedings
Order Continuing Stay
Order Continuing Stay
Order Continuing Stay
Order Continuing Stay
Order Continuing Stay
Order Continuing Stay
Order Continuing Stay
Order Lifting Stay and Scheduling Prehearing Conference
Order Postponing Filing
Order Following Prehearing Conference
Order Extending Deadline

Documents