Denver / Oklahoma City / Colorado Springs / Walla Walla / San Diego / /
Company
Company A / C. Respondent / Company A. 19 / New York Stock Exchange / Huntley Thatcher Ellsworth Ltd. / /
Country
United States / /
Currency
USD / /
Event
M&A / Reorganization / Funding / /
Facility
Enterprise Services Center Accounts Receivable Branch HQ Bldg. / Byron G. Rogers Federal Building / /
IndustryTerm
discretionary advisory services / real estate investments / bank account / real estate investment / personal real estate venture / bank / /
Organization
Asset Management Unit / Private Fund / Securities and Exchange Commission / /
Person
JASON D. HUNTLEY / Disclosing Numerous Conflicts Arising / Kurt L. Gottschall / Respondent Recommended / Jill M. Peterson / /
Position
principal underwriter / president / cashier / investment adviser / municipal securities dealer / dealer / investment adviser / Assistant Secretary / officer / director / member of an advisory board / investment adviser / broker / dealer / president of an investment / director / member of an advisory board / investment adviser / adviser / Assistant Regional Director / /
UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION INVESTMENT ADVISERS ACT OF 1940 Release No[removed]July 31, 2014