Administrative Proceeding File No. 3-16037

Respondents

Page, Edgar R. PageOne Financial Inc.
Release Date Release Number Other Release Numbers Name of Document
IA-4454
  • IC-32177
 Order Denying Motion for Reconsideration
IA-4416
  • IC-32143
 Order Denying Stay in Light of Pending Reconsideration Motion
IA-4400
  • IC-32131
  • ID-822
 Opinion of the Commission
IA-4331
  • IC-31987
 Order Scheduling Order Scheduling
IA-4157
  • IC-31739
 Order Granting Review and Scheduling Briefs
822 Initial Decision
AP-2742 Order Sealing Certain Unredacted Filings and Striking One Filing
AP-2696 Order Temporarily Sealing Filings
AP-2695 Order Granting Respondents' Request to Amend Filing
AP-2670 Corrected Order Setting Prehearing Conference
AP-2666 Order Granting Motion to Correct Transcript
AP-2660 Order Closing Hearing Record
AP-2658 Order Setting Response Deadlines
AP-2629 Post-Hearing Order
AP-2519 Order Denying Respondents' Request for Extensions and Setting Deadline for Prehearing Briefs
AP-2485 Order Setting Prehearing Schedule
AP-2418 Order Setting Hearing Date
IA-4044
  • IC-31503
 Order Making Findings, Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to 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, and Ordering Continuation of Proceedings
AP-2274 Stay Order
AP-2262 Order
AP-2239 Post-Final Prehearing Conference Order
AP-2216 Order On Motions in Limine
AP-2213 Order Regarding Respondents' Reliance On Advice Defenses
AP-2199 Order Regarding Peterson Testimony Date
AP-2162 Order Granting in Part Respondents' Motion
AP-1960 Notice of Hearing Location
AP-1954 Order Amending OIP and Permitting Filing of Second Answer
AP-1855 Order Setting Prehearing Schedule
AP-1850 Order Redesignating Presiding Judge
AP-1765 Postponement Order
AP-1735 Order Scheduling Hearing and Designating Presiding Judge
IA-3904
  • IC-31223
 Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to 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
Release Date Release Number Other Release Numbers Name of Document
Answer of Edgar R. Page and PageOne Financial, Inc.
Division of Enforcement's Request the Issuance of Trial Subpoenas Ad Testificandum (ArenaJ, BurkeS, CookJ, JacksonR, MadiganH, MilkiewiczP, PageER, PetersonJ, QuinnT, TobiaR, Van BusKirkB, and XifarasM)
Motion to Extend Hearing as Witness Is Unavailable Until February 18, 2015 or, in Alternative, Permit Witness to Be Deposed Prior to Hearing and to Have That Deposition Introduced as Evidence At the Hearing
Witness List and Exhibit List of Edgar R. Page and Pageone Financial, Inc.
Ltr of 12/20 to ALJ Patil from Resps Requesting the Issuance of Subpoenas (to Joseph Arena; Keith Axelrod; Bill Benson; Gordon D'angelo; Michael Del Giudice; Bryan Harrison; Frank Healy; Edgar Page; John Peterson; Ira Stier; Steven Thel; Michael Xifaras)
Letter of 12/30/14 to ALJ Patil from Division of Enforcement Attorney Eric Schmidt Requesting the Issuance of a Trial Subpoena Ad Testificandum (to Robert Tobia)
Respondents' Expert Report of Steve Thel
Division of Enforcement's Expert Report of Arthur B. Laby
Prehearing Brief of Edgar R. Page and Pageone Financial, Inc.
Respondents' Supplemental Trial Exhibit List
Respondents Rebuttal Expert Report of Steve Thel
Respondents' Motion in Limine to Exclude Certain Testimony of Arthur B. Laby
Division of Enforcement's Prehearing Brief
Division of Enforcement's Motion and Memorandum of Law in Support of Its Motion in Limine No.1 to Preclude Respondents from Offering Evidence or Argument in Support of Their Defense That They Relied On Advice of Counsel and Other Experts
Division of Enforcement's Motion and Memorandum of Law in Support of Its Motion in Limine No. 2 to Preclude Report or Testimony of Professor Steve Thel
Division of Enforcement's Motion and Memorandum of Law in Support of Its Motion in Limine No.3 to Preclude Irrelevant Evidence of Transactions Not At Issue in This Case
Division of Enforcement's Motion and Memorandum of Law in Support of Its Motion in Limine No.4 to Preclude Respondents from Offering Any Evidence_or Argument That Division Failed to Comply with Section 929U of Dodd-Frank
Division of Enforcement's Objections to Respondents' Exhibits and Witnesses
Rebuttal Report of Arthur B. Laby
Division of Enforcement's List of Rebuttal Witnesses and Supplemental Exhibits
Respondents' Mem. in Opposition to the Division of Enforcement's Motion in Limine No. 2 to Preclude the Report or Testimony of Professor Thel
Respondents' Offer of Proof in Opposition to the Division of Enforcement's Motion in Limine No. 3 to Preclude Irrelevant Evidence of Transcations Not At Issue in This Case
Ltr of 1/15/15 to OS from MKLohman, Iseman, Cunningham, Riester & Hyde, LLP Regarding Respondent's Revised Trail Exhibit List Correcting Errors Contained in the Original Exhibit List Filed On 12/22/14
Ltr of 1/23 to ALJ Patil from Counsel for Resps Stating Resps Shouldn't Be Precluded from Introducing Proof of Mere Engage & Involvement of Counsel B/C Evidence Is Relevant Not Prejudicial & Doesn't Put Any Privileged Commun or Substance of Legal Advice
Respondents' Stipulation of Facts
Ltr of 1/26/15 to ALJ from Div Re Court Requested Briefg as to Whether Resps Can Offer Evidence That Attys Were Present During the Negotia of United Group's Acquisition of PageOne to Show Resps' Good Faith, Mental State & Scienter, w/o Waiving Privilege
Joint Motion to Stay Proceeding Pending Commission Consideration of Offer of Settlement.
Respondents' Post-Remedies Hearing Brief
Division of Enforcement's REDACTED Brief in Response to Respondents' Post Remedies Hearing Brief
Division of Enforcement's REDACTED Post Hearing Brief Seeking Relief Against Respondents
Division of Enforcement's REDACTED Proposed Findings of Fact and Conclusions of Law
Respondents' REDACTED Amended Proposed Findings of Fact and Conclusions
of Law
Division of Enforcement's REDACTED Response to Respondents' Finding of Fact and Conclusions of Law
Respondents' REDACTED Post-Remedies Hearing Brief
Memorandum of Law in Support of Petition for Review of Initial Decision of Respondents Edgar R. Page and PageOne Financial, Inc.
Division of Enforcement's Mem. of Law in Opposition to Respondents' Appeal and ISO the Division's Cross-Appeal from Initial Decision No. 822
Reply in Mem. of Law in Further Support of Petition for Review of Initial Decision of Respondents and in Opposition to the Division of Enforcement's Cross-Appeal
Respondents' Notice of Supplemental Developments
Division of Enforcement's Opposition to Respondents' Notice of Supplemental Developments
Respondents' Memorandum of Law in Support of Motion to Reconsider and Stay
Initial Decision
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to 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 Making Findings, Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to 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, and Ordering Continuation of Proceedings
Order Scheduling Order Scheduling
Order Scheduling Hearing and Designating Presiding Judge
Postponement Order
Order Redesignating Presiding Judge
Order Setting Prehearing Schedule
Order Amending OIP and Permitting Filing of Second Answer
Notice of Hearing Location
Order Granting in Part Respondents' Motion
Order Regarding Peterson Testimony Date
Order Regarding Respondents' Reliance On Advice Defenses
Order On Motions in Limine
Post-Final Prehearing Conference Order
Order
Stay Order
Order Setting Hearing Date
Order Setting Prehearing Schedule
Order Denying Respondents' Request for Extensions and Setting Deadline for Prehearing Briefs
Post-Hearing Order
Order Setting Response Deadlines
Order Closing Hearing Record
Corrected Order Setting Prehearing Conference
Order Granting Motion to Correct Transcript
Order Temporarily Sealing Filings
Order Granting Respondents' Request to Amend Filing
Order Sealing Certain Unredacted Filings and Striking One Filing
Order Granting Review and Scheduling Briefs
Opinion of the Commission
Order Denying Stay in Light of Pending Reconsideration Motion
Order Denying Motion for Reconsideration

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