Filed
Mar 13, 2025
Status Updated
Mar 12, 2026
Parties
2
Timeline Entries
16
Petitioner
CFA Institute
Counsel: MEGAN MICHAELS
NEW YORK, NY, US
CFA INSTITUTE JOURNAL REVIEW
SN 88978627
Reg 6202373
CFA
SN 75788219
Reg 2495459
C.F.A.
SN 72368023
Reg 935504
CFA INSTITUTE
SN 85651366
Reg 4389314
CFA INSTITUTE INVESTMENT FOUNDATIONS
SN 87434575
Reg 5350022
CFA INSTITUTE
SN 78411289
Reg 3202615
CFA THE INSTITUTE OF CHARTERED FINANCIAL ANALYSTS
SN 75788223
Reg 2580663
CFA SOCIETY
SN 86568631
Reg 4850185
CFA INSTITUTE
SN 85478638
Reg 4296372
CFA INSTITUTE
SN 85137642
Reg 4768863
CFA CHARTERED FINANCIAL ANALYST
SN 75788557
Reg 2661114
CFA
SN 75788563
Reg 2493899
Respondent
LL Global, Inc.
Counsel: AUSTIN PADGETT
ATLANTA, GA, US
MFA
SN 97893436
Reg 7430686
MFA MASTER FINANCIAL ADVISOR
SN 97502825
Reg 7032939
Prosecution History
| Date | Entry |
|---|---|
| Mar 12, 2026 | COMMR ORDER CANCELLING REG |
| Mar 12, 2026 | TERMINATED |
| Mar 9, 2026 | BD DECISION: CAN GRANTED |
| Mar 6, 2026 | VOLUNTARY SURRENDER OF REGISTRATION |
| Dec 22, 2025 | PROCEEDINGS RESUMED |
| Nov 4, 2025 | SUSP PEND DISP OF OUTSTNDNG MOT |
| Nov 3, 2025 | P MOT TO STRIKE |
| Oct 13, 2025 | ANSWER |
| Sep 13, 2025 | PROCEEDINGS RESUMED |
| Jun 9, 2025 | D REPLY IN SUPPORT OF MOTION |
| May 19, 2025 | P OPP/RESP TO MOTION |
| May 9, 2025 | SUSP PEND DISP OF OUTSTNDNG MOT |
| Apr 28, 2025 | D MOT FOR MORE DEFINITE STATEMENT |
| Mar 17, 2025 | NOTICE AND TRIAL DATES SENT; ANSWER DUE: |
| Mar 17, 2025 | INSTITUTED |
| Mar 13, 2025 | FILED AND FEE |