Administrative Proceeding File No. 3-15006

Respondents

Raymond J. Lucia Companies, Inc. Lucia, Raymond J., Sr.
Release Date Release Number Other Release Numbers Name of Document
34-89078
  • IA-5523
  • IC-33895
 Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Sections 203(e), 203(f), and 203(k) of the Investment Advisers Act of 1940, and Section 9(b) of \
the Investment Company Act of 1940
AP-6740 Stay Order
AP-6736 Order
AP-6735 Order
AP-6710 Order
AP-6657 Order
AP-6652 Order
AP-6644 Prehearing Order
AP-6639 Order
AP-6628 Order
AP-6387 Order
AP-6133 Order
AP-5955 Chief Administrative Law Judge's Order Assigning Proceedings Post Lucia v. SEC
AP-5954 Notice from the Chief Administrative Law Judge
34-76241
  • IA-4239
  • IC-31880
 Partial Stay Order
34-75837
  • IA-4190
  • IC-31806
 In the Matter of Raymong J. Lucia Companies, Inc. and Raymond J. Lucia, Sr.
34-75262
  • IA-4125
  • IC-31685
 Order Granting Motion to Postpone Oral Argument and Permit Additional Briefing
IA-4117
  • IC-31671
 Order Regarding Motion to Stay Appeal and for Leave to Submit Additional Briefing
34-75011
  • IA-4092
  • IC-31614
 Order Scheduling Oral Argument
34-71601
  • IA-3784
  • IC-30922
 Order Granting Petitions for Review and Scheduling Briefs
540 Initial Decision On Remand
AP-780 Order on Motion to Correct Manifest Errors of Fact
495 Initial Decision
34-67781
  • IA-3456
  • IC-30193
 ORDER INSTITUTING ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS PURSUANT TO SECTION 15(b) OF THE SECURITIES EXCHANGE ACT OF 1934, SECTIONS 203(e), 203(f), AND 203(k) OF THE INVESTMENT ADVISERS ACT OF 1940, AND SECTION 9(b) OF THE INVESTMENT CO\
MPANY ACT OF 1940, AND NOTICE OF HEARING
Release Date Release Number Other Release Numbers Name of Document
Division of Enforcement's Prehearing Brief
Division of Enforcement's Post Hearing Brief
Respondent Raymond J. Lucia, Sr.'s Answer
Respondents' Petition for Review of Initial Decision On Remand
Division of Enforcement's Cross-Petition for Review of Initial Decision of Remand
Division of Enforcement's Post-Hearing Reply Brief
Respondent's Brief in Support of Petition for Review On Remand
Division of Enforcement's Mem. of Points and Authorities in Opposition to Petition for Review Filed by Respondents and in Support of Cross-Petition for Review On Remand
Respondents' Reply Brief in Support of Petition for Review On Remand
Motion to Stay Appeal and for Leave to Submit Additional Briefing
Joint Motion and Stipulation to Stay Oral Argument and Proposed Schedule for Additional Briefing
Respondents' Motion for an Order Dismissing the Proceedings and Memorandum of Law in Support
Division of Enforcement's Opposition to Respondents' Motion for an Order Dismissing the Proceedings
Respondents' Reply to Division of Enforcement's Opposition to Respondents' Motion to Dismiss
Division of Enforcement's Response in Opposition to Respondents' Motion for Certification forInterlocutory Review
Division of Enforcement's Opposition to Respondent's Motion for a More Definite Statement
Respondents' Motion for Stay Pending Appeal and in the Alternative for Certification for Interlocutory Appeal
Division of Enforcement's Response in Opposition to Respondents' Motion for Stay Pending Appealand, in the Alternative, for Certification for Interlocutory Review
Initial Decision
Initial Decision On Remand
ORDER INSTITUTING ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS PURSUANT TO SECTION 15(b) OF THE SECURITIES EXCHANGE ACT OF 1934, SECTIONS 203(e), 203(f), AND 203(k) OF THE INVESTMENT ADVISERS ACT OF 1940, AND SECTION 9(b) OF THE INVESTMENT CO\
MPANY ACT OF 1940, AND NOTICE OF HEARING
Order Granting Petitions for Review and Scheduling Briefs
Order Scheduling Oral Argument
Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Sections 203(e), 203(f), and 203(k) of the Investment Advisers Act of 1940, and Section 9(b) of \
the Investment Company Act of 1940
Order on Motion to Correct Manifest Errors of Fact
Order
Order
Order
Order
Prehearing Order
Order
Order
Order
Order
Order
Stay Order
Order Granting Motion to Postpone Oral Argument and Permit Additional Briefing
In the Matter of Raymong J. Lucia Companies, Inc. and Raymond J. Lucia, Sr.
Partial Stay Order
Order Regarding Motion to Stay Appeal and for Leave to Submit Additional Briefing

Documents