Administrative Proceeding File No. 3-16554

Respondents

Gray Financial Group, Inc. Gray, Laurence O. Hubbard, Robert C., IV
Release Date Release Number Other Release Numbers Name of Document
34-91255 Order Authorizing the Transfer to the U.S. Treasury of the Remaining Funds and Any Funds Returned to the Fair Fund in the Future, Discharging the Fund Administrator, and Terminating the Fair Fund
34-87895 Order Directing Disbursement of Fair Fund
34-87284 Order Approving Plan of Distribution
34-86738 Notice of Proposed Plan of Distribution and Opportunity for Comment
34-85091 Extension Orders
34-83172 Order Appointing Tax Administrator
IA-4812
  • IC-32905
 Order Making Findings and Imposing Remedial Sanctions and Cease and Desist Order
AP-5063 Stay Order
AP-5055 Order Postponing Hearing
AP-5050 Order On Atlanta Hearing Location
AP-5049 Order On New York Hearing Location
AP-5029 Order Granting Respondents' Motion to Supplement Exhibit List and Revising the Hearing Schedule
AP-5025 Order Scheduling Prehearing Conference
AP-5019 Order Quashing Subpoena and Providing for Second Hearing Location
AP-5016 Order Regarding Motion to Modify Subpoena
AP-5014 Order Granting Division's Motion to Supplement Exhibit List
AP-5004 Order Following Final Prehearing Conference
AP-4982 Order Concerning Final Prehearing Conference
AP-4942 Order Granting Motion to Modify Prehearing Schedule
AP-4940 Order On Hearing Location
AP-4927 Order On Motion to Broaden Waiver of Attorney-Client Privilege
AP-4913 Order Granting Motion to Modify Prehearing Schedule
AP-4749 Order Granting Motion for Modification of Scope of Discovery
AP-4738 Order Adopting Joint Proposed Scheduling Order
AP-4718 Order Following Prehearing Conference and Denying Pending Motions as Moot
AP-4706 Order Scheduling Prehearing Conference
AP-4681 Order Granting Extension
AP-4676 Order Granting Extension
AP-4650 Order Vacating Order to Show Cause and Directing Notices of Appearance and Withdrawal
AP-4626 Order Denying Division's Motion for Leave to Contact Former Gray Financial Employees as Moot
AP-4621 Order Denying Motion for Certification and to Stay
AP-4619 Order Deeming Attorney-Client Privilege Waived and to Show Cause
AP-4615 Order Denying Motion to Stay
AP-4592 Order Granting Extension
AP-4562 Order Postponing Hearing and Setting Schedule for Briefing On Waiver of Attorney-Client Privilege
AP-4549 Order Regarding Division's Motions to Strike
AP-4550 Order Regarding Interview Notes
AP-4543 Order Denying Respondents' Motion for Reconsideration
AP-4545 Order On Division's Subpoena to Produce Documents
AP-4530 Order On Division's Witness Subpoenas
AP-4519 Order Modifying Prehearing Schedule
AP-4509 Order Regarding Opposition to Division's Witness Subpoenas and Regarding Hearing Location
AP-4473 Order Granting in Part Respondents' Motion for Production
AP-4466 Order Denying Respondents' Motion to Compel
AP-4442 Order Denying Without Prejudice Respondents' Motion to Reconsider
AP-4428 Order Granting in Part Motion to Quash
AP-4402 Order Regarding Motion to Quash
AP-4228 Order Adopting Joint Proposed Scheduling Order
AP-4224 Order Following Prehearing Conference
AP-4177 Order Scheduling Second Prehearing Conference
AP-3939 Notice
AP-3014 Notice
AP-2972 Scheduling Order
AP-2881 Order Following Prehearing Conference and Scheduling Hearing
AP-2882 General Prehearing Order
AP-2841 Order On Stay Motion
AP-2787 Order On Consent Motion
AP-2776 Order Postponing Hearing and Scheduling Prehearing Conference
AP-2714 Order Scheduling Hearing and Designating Presiding Judge
33-9789
  • 34-75021
  • IA-4094
  • IC-31643
 Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Section 21C of the Securities Exchange Act of 1934, 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
Respondents' Unopposed Motion to Stay Administrative Proceeding
Respondents' Brief in Support of Unopposed Motion to Stay Administrative Proceeding, with Exhibits 1-5
Letter dated 6/21/16 from Respondent's Counsel to ALJ regarding response to Divisions letter dated 6/17/16 regarding procedure & substance that decision of 11th Circuit is not considered final until the Court's mandate issue, which has not occurred at ...
Letter dated 6/17 /16 to ALJ from Division re Decision Issued by the US Court of Appeals for the Eleventh Circuit
Notice of Dismissal of District Court Action
Division of Enforcement's Response to Court's Order of 11/29/16
Respondents' Opposition to Motion to Quash or Modify Documents Subpoena Issued to Seward & issel, LLP Robert Van Grover and Alexandra Segal
Respondents' Motion for Partial Reconsideration and/or Clarification of Order Granting in Part Motion to Quash
Division of Enforcement's Response to Respondents' Motion for Privilege Log, Brady Material and Jencks Material
Respondents' Reply In Further Support Of Motion For Production Of Privilege Log, Brady Materials, And Jencks Materials
Respondents' Corrected Pre-Hearing Brief
Respondents' Opposition to Motion for Order Striking Respondents' Exhibit List or
Directing Respondents To File A Supplemental List
Affidavit of Linda D. Jellum
Respondents' Supplemental Brief in Support of Motion for Reconsideration to Correct
Additional Inaccuracies and Misleading Statements by the Division
Division of Enforcement's Motion in Limine to Strike Respondents' Expert (Jellum) Report and toPreclude Her From Further Testimony
Division of Enforcement's Pre-Hearing Brief
Respondents' Pre-Hearing Brief
Division of Enforcement's Reply to Respondents' Response to Division of Enforcement's Motion for Order DefiningExtent of Attorney Client Waiver and Addressing Potential Disqualfication of Counsel
Respondents' Motion and Supporting Brief For Production Of Privilege Log, Brady
Materials, and Jencks Materials
Division of Enforcement's Motion for Leave to Contact Former Employees of Gray Financial Group, Inc.
Respondents Response and Opposition to Division of Enforcement's Motion for Order Defining Extent of Attorney-Client Waiver and Addressing Potential Disqualification of Counsel
Respondents' Restated Prehearing Brief
Initial Stipulations of the Parties
Distribution Plan
Proposed Distribution Plan
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Section 21C of the Securities Exchange Act of 1934, 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 and Imposing Remedial Sanctions and Cease and Desist Order
Order Appointing Tax Administrator
Order Approving Plan of Distribution
Notice of Proposed Plan of Distribution and Opportunity for Comment
Extension Orders
Order Authorizing the Transfer to the U.S. Treasury of the Remaining Funds and Any Funds Returned to the Fair Fund in the Future, Discharging the Fund Administrator, and Terminating the Fair Fund
Order Scheduling Hearing and Designating Presiding Judge
Order Postponing Hearing and Scheduling Prehearing Conference
Order On Consent Motion
Order On Stay Motion
General Prehearing Order
Order Following Prehearing Conference and Scheduling Hearing
Scheduling Order
Notice
Notice
Order Scheduling Second Prehearing Conference
Order Following Prehearing Conference
Order Adopting Joint Proposed Scheduling Order
Order Regarding Motion to Quash
Order Granting in Part Motion to Quash
Order Denying Without Prejudice Respondents' Motion to Reconsider
Order Denying Respondents' Motion to Compel
Order Granting in Part Respondents' Motion for Production
Order Regarding Opposition to Division's Witness Subpoenas and Regarding Hearing Location
Order Modifying Prehearing Schedule
Order On Division's Witness Subpoenas
Order On Division's Subpoena to Produce Documents
Order Denying Respondents' Motion for Reconsideration
Order Regarding Interview Notes
Order Regarding Division's Motions to Strike
Order Postponing Hearing and Setting Schedule for Briefing On Waiver of Attorney-Client Privilege
Order Granting Extension
Order Denying Motion to Stay
Order Deeming Attorney-Client Privilege Waived and to Show Cause
Order Denying Motion for Certification and to Stay
Order Denying Division's Motion for Leave to Contact Former Gray Financial Employees as Moot
Order Vacating Order to Show Cause and Directing Notices of Appearance and Withdrawal
Order Granting Extension
Order Granting Extension
Order Scheduling Prehearing Conference
Order Following Prehearing Conference and Denying Pending Motions as Moot
Order Adopting Joint Proposed Scheduling Order
Order Granting Motion for Modification of Scope of Discovery
Order Granting Motion to Modify Prehearing Schedule
Order On Motion to Broaden Waiver of Attorney-Client Privilege
Order On Hearing Location
Order Granting Motion to Modify Prehearing Schedule
Order Concerning Final Prehearing Conference
Order Following Final Prehearing Conference
Order Granting Division's Motion to Supplement Exhibit List
Order Regarding Motion to Modify Subpoena
Order Quashing Subpoena and Providing for Second Hearing Location
Order Scheduling Prehearing Conference
Order Granting Respondents' Motion to Supplement Exhibit List and Revising the Hearing Schedule
Order On New York Hearing Location
Order On Atlanta Hearing Location
Order Postponing Hearing
Stay Order

Documents