Administrative Proceeding File No. 3-16130

Respondents

Cooper, Sean C.
Release Date Release Number Other Release Numbers Name of Document
IA-4063
  • IC-31554
 Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Sections 203(f) and 203(k) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940
AP-2311 Stay Order
AP-2241 Order Modifying Prehearing Schedule
AP-2204 Order Setting Locations for Hearing and Prehearing Conference
AP-2087 Order Regarding Application to Quash Subpoena
AP-2040 Order Regarding Application to Quash Subpoena
AP-1977 Order Setting Prehearing Schedule
AP-1903 Order
AP-1822 Order Scheduling Hearing and Designating Presiding Judge
IA-3920
  • IC-31252
 Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 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
Respondent's Answer and Affirmative Defenses
Third Party Westend Capital Management LLC's Motion to Quash Subpoena to It for Production of Documentary Evidence.
Declaration of Britt Evangelist in Support of Motion to Quash Subpoena to Third Party Westend Capital Management LLC for Production of Documentary Evidence
Respondent's Opposition to Motion to Quash Subpoena to Third Party Westend Capital Management LLC for Production of Documentary Evidence.
Division of Enforcement's Request for Issuance of Subpoenas
Respondent's Request for Issuance of Subpoena to Testify At Hearing Pursuant to SEC Rule of Practice 232
Division of Enforcement's Exhibit List
Division of Enforcement's Witness List
Respondent's First Amended Witness and Exhibit List.
Respondent's Witness and Exhibit List
Division of Enforcement's Designation of Case-In-Chief Expert Witness
Division of Enforcement's Expert Report of M. Monica LP, CPA/CFF, CVA, CMA
Division of Enforcement's Amended Designation of Case-in-Chief Hearing Exhibits
Division of Enforcement's Request for Issuance of Subpoenas. (to George Bolton; Sean C. Cooper; Jeff Davenport; Christen Hardy; Gus Ozag; Elena Lombardi Wiley)
Joint Motion to Stay Proceedings as to Respondent Sean C. Cooper Pending Commission Consideration of Offers of Settlement.
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 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 and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Sections 203(f) and 203(k) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940
Order Scheduling Hearing and Designating Presiding Judge
Order
Order Setting Prehearing Schedule
Order Regarding Application to Quash Subpoena
Order Regarding Application to Quash Subpoena
Order Setting Locations for Hearing and Prehearing Conference
Order Modifying Prehearing Schedule
Stay Order

Documents