Administrative Proceeding File No. 3-16349

Respondents

Duka, Barbara
Release Date Release Number Other Release Numbers Name of Document
33-10599
  • 34-84923
  • IC-33339
 Order Making Findings and Imposing Remedial Sanctions and a Cease-And- Desist Order Pursuant to Section 8A of the Securities Act of 1933, Sections 15E(d) and 21C of the Securities Exchange Act of 1934, and Section 9(b) of the Investment Company Act of\
1940
AP-6124 Order Staying Proceedings
AP-5955 Chief Administrative Law Judge's Order Assigning Proceedings Post Lucia v. SEC
AP-5954 Notice from the Chief Administrative Law Judge
AP-5442 Order Ratifying Prior Actions
AP-5325 Notice to the Parties and Order Following Remand
1167 Initial Decision
AP-4872 Order Correcting Record Index as to Division Exhibits 209 and 324
AP-4618 Order Regarding Transcript Corrections
AP-4568 Extension Order
AP-4507 Post-Hearing Order
AP-4455 Order Regarding Hearing Location
AP-4336 Order Following Prehearing Conference
AP-4324 Order On Motions to Exclude
AP-4286 Order Regarding Hearing Location
AP-4185 Order Following Prehearing Conference and Setting Procedural Schedule
AP-4158 Order Scheduling Prehearing Conference
AP-3030 Notice of Stay
AP-3006 Notice of Stay
AP-2983 Notice
AP-2969 Order Redesignating Presiding Judge
AP-2911 Order Denying Motion for Adjournment of Hearing
AP-2893 Order On Respondent's Motion for Summary Disposition
AP-2889 Order Denying Division of Enforcement's Motion for Partial Summary Disposition
AP-2728 Order Setting Hearing Location
AP-2378 Scheduling and General Prehearing Order
AP-2373 Protective Order
AP-2354 Order Following Prehearing Conference
AP-2321 Order Granting Motion for Extension of Time to Answer
AP-2304 Order On Agreed Motion to Convert Hearing Date to Telephonic Prehearing Conference
AP-2245 Order Scheduling Hearing and Designating Presiding Judge
33-9706
  • 34-74105
  • IC-31425
 Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 8A of the Securities Act of 1933, Sections 15E(d) and 21C of the Securities Exchange Act of 1934, and Section 9(b) of the Investment Company Act of 1940
Release Date Release Number Other Release Numbers Name of Document
Respondent's Answer.
Division of Enforcement's Motion for Partial Summary Disposition (Exhibits A through T)
Division of Enforcement's Motion for Partial Summary Disposition (Exhibits U through QQ)
Respondent's Motion for Summary Disposition
Respondent's Memorandum of Points and Authorities in Support of Motion for Summary Disposition
Division of Enforcement's Opposition to Respondent's Motion in Limine to Exclude CMBS Investors as Witnesses
Division of Enforcement's Opposition to Respondent's Mem. of Law ISO Her Motion in Limine to Strike Substantial Portions of the Expert Report of Peter D. Rubinstein, PHD
Mem. of Law of Respondent in Opposition to The Division of Enforcement's Motion in Limine to Exclude Test and EXs Refer the Find and Conclusions of S&P's Internal Invest and In Response to the Division of Enforcement's Objection to Respondent's Exhibits
Respondent's Pre-Hearing Brief
Division of Enforcement's Pre-hearing Brief
Motion in Limine to Exclude Testimony & Exhibits Referencing The Findings & Conclusions Of S&P's Internal Investigations
Division of Enforcement's Opposition to Motion in Limine to Exclude Testimony of CMBS Investor Ethan Penner
Letter dated 1/3/17 from Respondent's counsel to ALJ, in support of Court's ruling barring testimony of Kurt Pollem
Division of Enforcement's Post Hearing Brief
Respondent's Post Hearing Brief
Division of Enforcement's Proposed Findings of Fact and Conclusions of Law
Respondents' Proposed Findings of Fact and Conclusions of Law
Division of Enforcement's Response to Respondent's Post-Hearing Brief
Respondent's Post-Hearing Opposition Brief
Letter Dated 8/22/17 from the Division to ALJ Grimes in Response to Counsel for Respondent's to ALJ Grimes in Regards to Judge Patil's 8/16/17 Lathen Decision
Letter dated 12/20/17 from counsel for Respondent Duka to ALJ Grimes informing the court that neither Duka nor the Division of Enforcement intends to submit new evidence per the Notice to the Parties and Order Following Remand
Initial Decision
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 8A of the Securities Act of 1933, Sections 15E(d) and 21C of the Securities Exchange Act of 1934, 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 Section 8A of the Securities Act of 1933, Sections 15E(d) and 21C of the Securities Exchange Act of 1934, and Section 9(b) of the Investment Company Act of\
1940
Order Scheduling Hearing and Designating Presiding Judge
Order On Agreed Motion to Convert Hearing Date to Telephonic Prehearing Conference
Order Granting Motion for Extension of Time to Answer
Order Following Prehearing Conference
Protective Order
Scheduling and General Prehearing Order
Order Setting Hearing Location
Order Denying Division of Enforcement's Motion for Partial Summary Disposition
Order On Respondent's Motion for Summary Disposition
Order Denying Motion for Adjournment of Hearing
Order Redesignating Presiding Judge
Notice
Notice of Stay
Notice of Stay
Order Scheduling Prehearing Conference
Order Following Prehearing Conference and Setting Procedural Schedule
Order Regarding Hearing Location
Order On Motions to Exclude
Order Following Prehearing Conference
Order Regarding Hearing Location
Post-Hearing Order
Extension Order
Order Regarding Transcript Corrections
Order Correcting Record Index as to Division Exhibits 209 and 324
Notice to the Parties and Order Following Remand
Order Ratifying Prior Actions
Notice from the Chief Administrative Law Judge
Chief Administrative Law Judge's Order Assigning Proceedings Post Lucia v. SEC
Order Staying Proceedings

Documents