Skip to search field Skip to main content
U.S. flag

An official website of the United States government

Here’s how you know

Dot gov

Official websites use .gov
A .gov website belongs to an official government organization in the United States.

Https

Secure .gov websites use HTTPS
A lock (LockA locked padlock) or https:// means you’ve safely connected to the .gov website. Share sensitive information only on official, secure websites.

SEC homepage U.S. Securities and Exchange Commission U.S. Securities and Exchange Commission
U.S. Securities and Exchange Commission
  • Search Filings

    • Full Text Search
    • Latest Filings
    • Mutual Fund Search
    • Variable Insurance Products Search
    • SIC Codes
    • CIK Lookup
    • Public Dissemination Service (PDS)
    • Search Assistance
  • Submit Filings

    • EDGAR Filer Management Portal
    • EDGAR Filing Portal
    • Online Forms Management Portal
    • EDGAR Next
    • Forms Index
    • Filer Support & Resources
  • Data & Research

    • SEC & Markets Data
    • Taxonomies
    • Statistics & Data Visualizations
    • Investment Management Data
    • Rules & Regulations

      • Rulemaking Activity
      • Statutes & Regulations
      • Staff Guidance
      • No-Action, Interpretive, and Exemptive Letters
      • Self-Regulatory Organization Rulemaking
      • Public Petitions for Rulemaking
    • Enforcement & Litigation

      • Litigation Releases
      • Administrative Proceedings
      • Administrative Law Judge Orders and Initial Decisions
      • Trading Suspensions
      • Distributions to Harmed Investors
      • Receiverships
    • Compliance

      • Examination Priorities
      • Risk Alerts
      • Compliance Outreach Program
      • Proposed Rules
      • What's New
      • Whistleblower Program
  • Featured Topics

    • Crypto Task Force
    • Cybersecurity
    • Market Structure Analytics
    • Saving and Investing for Military Personnel
    • Saving and Investing for Teachers
    • SEC-CFTC Harmonization Initiative
    • Treasury Clearing Implementation
  • About

    • Mission
    • Commissioners
    • Divisions & Offices
    • Division & Office Directors
    • Advisory Committees
    • Budget & Performance
    • Reports & Publications
    • Commission Votes
    • Contact the SEC
    • Careers
  • Submit a Tip or Complaint
  • Newsroom
  • |
  • Investors
  • Small Businesses
  • Whistleblowers
  • Newsroom
  • |
  • Investors
  • Small Businesses
  • Whistleblowers

  • Enforcement & Litigation
  • Litigation Releases
  • Administrative Proceedings
    • Information for Respondents in Administrative Proceedings 
    • Open Litigated Administrative Proceedings
    • Closed Litigated Administrative Proceedings
    • Commission Opinions and Adjudicatory Orders
    • Delinquent Filings
    • Stop Orders
  • Administrative Law Judge Orders and Initial Decisions
  • Trading Suspensions
  • Distributions to Harmed Investors
  • Receiverships
  • Electronic Filings in Administrative Proceedings (eFAP)
  • Rules of Practice
  • Applications for Reentry
  • Reports of Investigations
  • Whistleblower Program
  • Public Alert: Unregistered Soliciting Entities (PAUSE)
  • SEC Action Lookup - Individuals (SALI)
  • Enforcement Data Delivery Standards
  • Small Businesses
  • Appellate Briefs
  • Amicus / Friend of the Court Briefs
  • Enforcement & Litigation
  • Litigation Releases
  • Administrative Proceedings
    • Information for Respondents in Administrative Proceedings 
    • Open Litigated Administrative Proceedings
    • Closed Litigated Administrative Proceedings
    • Commission Opinions and Adjudicatory Orders
    • Delinquent Filings
    • Stop Orders
  • Administrative Law Judge Orders and Initial Decisions
  • Trading Suspensions
  • Distributions to Harmed Investors
  • Receiverships
  • Electronic Filings in Administrative Proceedings (eFAP)
  • Rules of Practice
  • Applications for Reentry
  • Reports of Investigations
  • Whistleblower Program
  • Public Alert: Unregistered Soliciting Entities (PAUSE)
  • SEC Action Lookup - Individuals (SALI)
  • Enforcement Data Delivery Standards
  • Small Businesses
  • Appellate Briefs
  • Amicus / Friend of the Court Briefs
  1. Home
  2. Enforcement and Litigation
  3. Administrative Proceedings
  4. 3-15701

Administrative Proceeding File No. 3-15701

Respondents

Lane, Jeffrey G. and Lane, Robert Marcus
Release Date Release Number Other Release Numbers Name of Document
Aug. 14, 2023 34-98124 Order Denying Motion for Reconsideration
Feb. 13, 2015 34-74269 Opinion of the Commission
Feb. 18, 2014 34-71566 Order Scheduling Briefs
Release Date Release Number Other Release Numbers Name of Document
Jan. 28, 2014 Application for Review (Jeffrey G. Lane)
Jan. 28, 2014 Application for Review (Robert Marcus Lane)
March 20, 2014 Letter of 3/14/14 from Applicant Marcus Lane to OS (Brief in Support of Application for Review)
March 20, 2014 Jeffrey Lane's Brief in Support of Application to Review Action Taken by the Financial Industry Regulatory Authority
April 22, 2014 FINRA's Brief in Opposition to Application for Review
May 5, 2014 Jeffrey Lane's Answer to FINRA's Opposition Brief
May 12, 2014 Robert Marcus Lane's Response to FINRA's Opposition Brief
Feb. 18, 2014 Order Scheduling Briefs
Feb. 13, 2015 Opinion of the Commission
April 25, 2023 Robert Marcus Lane's Motion for Reconsideration of Commission's Opinion

Documents

Return to top
SEC homepage U.S. Securities and Exchange Commission
  • About the SEC

    • Budget & Performance
    • Careers
    • Commission Votes
    • Contact
    • Contracts
  • Transparency

    • Accessibility & Disability
    • Artificial Intelligence
    • FOIA
    • Inspector General
    • No FEAR Act Data
    • Ombuds
    • SEC Excess Personal Property Guidance
  • Websites

    • Investor.gov
    • Related Sites
    • USA.gov
  • Site Information

    • Plain Writing
    • Privacy & Security
    • Site Map

Stay connected. Sign up for email updates.

U.S. Securities and Exchange Commission
  • X
  • Facebook
  • Instagram
  • RSS
  • YouTube
  • Email Updates