Administrative Proceeding File No. 3-15124

Respondents

Bandimere, David F. Young, John O.
Release Date Release Number Other Release Numbers Name of Document
34-97122 Order Directing Disbursement of Fair Fund
34-93425 Order Approving Plan of Distribution
34-92825 Notice of Proposed Plan of Distribution and Opportunity for Comment
34-92124 Second Extension Order
34-90349 Order Appointing Tax Administrator
34-89896 Extension Order
33-10728
  • 34-87605
 Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Section 8A of the Securities Act of 1933 and Sections 15(b) and 21C of the Securities Exchange Act of 1934
AP-6671 Stay Order
AP-6662 Order Following Final Prehearing Conference
AP-6658 Order Regarding Evidentiary Motions and Objections
AP-6656 Order Granting Extension
AP-6655 Order Denying Respondent's Motion for Sanctions
AP-6630 Notice of Hearing Location
AP-6574 Order Concerning Division Production of Documents
AP-6568 Order Extending Time for Motion to Quash
AP-6557 Order On Respondent's Motion to Strike
AP-6535 Scheduling Order
AP-6520 Order Certifying Ruling for Interlocutory Review
AP-6524 Order Correcting Prehearing Conference Transcript
AP-6521 Order On Respondent's Motion for Judgment On the Pleadings
AP-6513 Order Granting Extension
AP-6497 Order Following Prehearing Conference
AP-6500 Order Granting in Part Motion for More Definite Statement
AP-6483 Order Scheduling Prehearing Conference
AP-6473 Order Redesignating Presiding Judge
AP-6132 Order
AP-5955 Chief Administrative Law Judge's Order Assigning Proceedings Post Lucia v. SEC
AP-5954 Notice from the Chief Administrative Law Judge
33-9972
  • 34-76308
 Opinion of the Commission
33-9883
  • 34-75651
 Order Granting Motion for Submission of Additional Evidence and Permitting Supplemental Briefing
33-9549
  • 34-71564
  • IA-3780
  • IC-30920
 Extension Order
33-9512 Order Denying Motion for Summary Affirmance, Granting Petition for Review, and Scheduling Briefs
AP-975 Order as to Respondent John O. Young
508 id508ce.pdf
507 Initial Decision as to David F. Bandimere
506 Initial Decision as to John O. Young
AP-920 Order as to Respondent John O. Young
AP-759 ORDER ON MOTION TO COMPEL PRODUCTION OF DOCUMENTS
AP-753 ORDER ON MOTION FOR CERTIFICATION FOR INTERLOCUTORY REVIEW
AP-752 ORDER
AP-749 Order on Motions for a More Definite Statement
AP-746 Order on Motion to Quash Subpoena
33-9372
  • 34-68372
  • IC-30293
  • IA-3511
 ORDER INSTITUTING ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS PURSUANT TO SECTION 8A OF THE SECURITIES ACT OF 1933, SECTIONS 15(b) AND 21C OF THE SECURITIES EXCHANGE ACT OF 1934, SECTION 9(b) OF THE INVESTMENT COMPANY ACT OF 1940, AND SECTIONS 203\
(f) AND (k) OF THE INVESTMENT ADVISERS ACT OF 1940, AND NOTICE OF HEARING
Release Date Release Number Other Release Numbers Name of Document
Respondent Bandimere's Answer
Respondent Young's Answer
Division of Enforcement's Prehearing Brief
Respondent Bandimere's Prehearing Brief
Division of Enforcement's Post Hearing Brief as to Respondent Bandimere
Respondent Bandimere's Post Hearing Brief
Division of Enforcement's Response to Respondent Bandimere's Post-Hearing Brief
Respondent Bandimere's Reply Brief to Division of Enforcement's Post Hearing Brief
Petition for Review of Respondent David F. Bandimere
Division of Enforcement's Motion for Summary Affirmance of Initial Decision
Respondent David F. Bandimere's Opposition to Division of Enforcement's Motion for Summary Affirmance of Initial Decision
Division of Enforcement's Reply ISO Motion for Summary Affirmance of Initial Decision (as to Respondent Bandimere)
Respondent Bandimere's Brief in Support of Petition for Review
Division of Enforcement's Brief in Opposition to Respondent Bandimere's Brief ISO Petition for Review
Respondent Bandimere's Reply Brief
Division of Enforcement's Response to Respondent Bandimere's Motion for Submission of Additional Evidence
Respondent Bandimere's Reply in Support of His Motion for Submission of Additional Evidence
Division of Enforcement's Response to Briefing Order On Appointments Clause Claim
Respondent David F. Bandimere's Supplemental Brief in Support of His Appointments Clause Challenge
Respondent Bandimere's Motion for Ruling on the Pleadings, w/Ex. A
Respondent Bandimere's Reply in Support of Motion for More Definite Statement
Division of Enforcement's Opposition to Respondent Bandimere's Motion for Ruling on the Pleadings
Respondent Bandimere's Reply in Support of Motion for Ruling on the Pleadings
Respondent David F. Bandimere's Petition For Interlocutory Review Of Law Judge
Germ's Failure To Rule That This Proceedings Is Not Pending Before The
Commission And Should Be Dismissed; with order attached.
Division of Enforcement's Response in Opposition to Respondent's Motion for Certification forInterlocutory Review
Division of Enforcement's Opposition to Respondent's Petition for Interlocutory Review
Respondent David F. Bandimere's Reply in Support of Petition for Interlocutory
Review
Division of Enforcement's Brief in Opposition to Respondent Bandimere's Motion for More DefiniteStatement
Division of Enforcement's Pre-Hearing Brief
Respondent David F. Bandimere's Pre-Hearing Brief
Respondent's David F. Bandimere's Motion for Sanctions for Misconduct by the
Division of Enforcement
Initial Decision as to John O. Young
Initial Decision as to David F. Bandimere
ORDER INSTITUTING ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS PURSUANT TO SECTION 8A OF THE SECURITIES ACT OF 1933, SECTIONS 15(b) AND 21C OF THE SECURITIES EXCHANGE ACT OF 1934, SECTION 9(b) OF THE INVESTMENT COMPANY ACT OF 1940, AND SECTIONS 203\
(f) AND (k) OF THE INVESTMENT ADVISERS ACT OF 1940, AND NOTICE OF HEARING
Notice that Initial Decision Has Become Final
ORDER INSTITUTING ADMINISTRATIVE PROCEEDINGS PURSUANT TO SECTION 15(b) OF THE SECURITIES EXCHANGE ACT OF 1934 AND NOTICE OF HEARING
Notice that Initial Decision Has Become Final
Distribution Plan
Distribution Plan
Extension Order
Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Section 8A of the Securities Act of 1933 and Sections 15(b) and 21C of the Securities Exchange Act of 1934
Order Appointing Tax Administrator
Order Approving Plan of Distribution
Notice of Proposed Plan of Distribution and Opportunity for Comment
Second Extension Order
Order on Motion to Quash Subpoena
Order on Motions for a More Definite Statement
ORDER
ORDER ON MOTION FOR CERTIFICATION FOR INTERLOCUTORY REVIEW
ORDER ON MOTION TO COMPEL PRODUCTION OF DOCUMENTS
Order as to Respondent John O. Young
Order as to Respondent John O. Young
Notice from the Chief Administrative Law Judge
Chief Administrative Law Judge's Order Assigning Proceedings Post Lucia v. SEC
Order
Order Redesignating Presiding Judge
Order Scheduling Prehearing Conference
Order Granting in Part Motion for More Definite Statement
Order Following Prehearing Conference
Order Granting Extension
Order Correcting Prehearing Conference Transcript
Order On Respondent's Motion for Judgment On the Pleadings
Order Certifying Ruling for Interlocutory Review
Scheduling Order
Order On Respondent's Motion to Strike
Order Extending Time for Motion to Quash
Order Concerning Division Production of Documents
Notice of Hearing Location
Order Denying Respondent's Motion for Sanctions
Order Granting Extension
Order Regarding Evidentiary Motions and Objections
Order Following Final Prehearing Conference
Stay Order
Order Denying Motion for Summary Affirmance, Granting Petition for Review, and Scheduling Briefs
Order Granting Motion for Submission of Additional Evidence and Permitting Supplemental Briefing
Opinion of the Commission

Documents