Administrative Proceeding File No. 3-16353

Respondents

Spring Hill Capital Markets, LLC Spring Hill Capital Partners, LLC Spring Hill Capital Holdings, LLC White, Kevin D.
Release Date Release Number Other Release Numbers Name of Document
34-86397
  • IC-33559
 Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934 and Section 9(b) of the Investment Company Act of 1940
AP-6548 Order Extending Stay
AP-6533 Stay Order
AP-6511 Notice of Hearing Location
AP-6324 Order Regarding Corrections to Transcript of the October 23, 2018 Prehearing Conference
AP-6248 Scheduling Order
AP-6206 Order Scheduling Prehearing Conference
AP-6092 Order Following Reassignment
AP-5955 Chief Administrative Law Judge's Order Assigning Proceedings Post Lucia v. SEC
AP-5954 Notice from the Chief Administrative Law Judge
AP-5950 Order
AP-5876 Order
AP-5630 Order
AP-5400 Order
34-82205 Order Cancelling Oral Argument
34-82022 Order Rescheduling Oral Argument
34-81868 Order Changing Location of Oral Argument
34-81822 Order Rescheduling Oral Argument
34-81441 Order Scheduling Oral Argument
34-81441 Order Scheduling Oral Argument
34-77108 Extenstion Order
34-76913 Order Granting Petition for Review and Scheduling Briefs
34-76772 Extenstion Order
919 Initial Decision
AP-2623 Prehearing Order
AP-2610 Scheduling Order
AP-2499 Scheduling Order
AP-2330 Prehearing Order
AP-2313 Postponement Order
AP-2265 Order Scheduling Hearing and Designating Presiding Judge
34-74119
  • IC-31426
 Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934 and Section 9(b) of the Investment Company Act of 1940, and Notice of Hearing
Release Date Release Number Other Release Numbers Name of Document
Division of Enforcement's Expert Report by Yui M. Chan
Division of Enforcement's Motion in Limine to Preclude Respondent's from Invoking a 'Reliance On Counsel' Defense
Division of Enforcement's Prehearing Brief
Division of Enforcement's Mem. of Law in Opposition to Respondent's Motion in Limine to Exclude Evidence Pursuant to Rule 320
Respondents' Motion in Limine to Exclude Evidence Re to the Gramercy Trades That Is Irrelevant, Immaterial & Unduly Repetitious to Claims Asserted by SEC
Respondents' Objections to the SEC's Witness List
Division of Enforcement's Mem. of Law in Opposition to Respondent's Motion in Limine Relating to Statute of Limitation
Stipulations Entered Into by the Parties
Supplemental Stipulations
Respondents' Motion in Limine to Preclude All Evidence of Conduct or Actions Relating Charge That Springhill Capital Partners, LLC Acted as Unregistered Broker or to Preclude All Evidence Prior to 1/22/10 as Outside 5 Year Statue of Limitations
Respondents' Findings of Fact
Division of Enforcement's Proposed Findings of Fact and Conclusions of Law
Respondents' Post-Hearing Brief
Respondents' Reply Brief
Respondent's Notice of Filing Supplemental Authority
Respondents' Petition for Review
Division of Enforcement's Cross-Petition for Review
Division of Enforcement's Brief in Opposition to Respondents' Petition for Review, and ISO Division of Enforcement's Cross Petition for Review
Respondents' Reply Brief
Respondents' Notice of Supplemenal Authority
Respondents' Second Notice Of Supplemental Authority
Respondents' Submission Pursuant to Order Dated December 18, 2017
Respondents' Submission Pursuant to Order Dated February 26, 2018
Initial Decision
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934 and Section 9(b) of the Investment Company Act of 1940, and Notice of Hearing
Extenstion Order
Extenstion Order
Order Scheduling Oral Argument
Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Sections 15(b) 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
Postponement Order
Prehearing Order
Scheduling Order
Scheduling Order
Prehearing Order
Order
Order
Order
Order
Notice from the Chief Administrative Law Judge
Chief Administrative Law Judge's Order Assigning Proceedings Post Lucia v. SEC
Order Following Reassignment
Order Scheduling Prehearing Conference
Scheduling Order
Order Regarding Corrections to Transcript of the October 23, 2018 Prehearing Conference
Notice of Hearing Location
Stay Order
Order Extending Stay
Order Granting Petition for Review and Scheduling Briefs
Order Rescheduling Oral Argument
Order Changing Location of Oral Argument
Order Rescheduling Oral Argument
Order Cancelling Oral Argument

Documents