Administrative Proceeding File No. 3-17253

Respondents

Winkelmann, James A. Sr. Blue Ocean Portfolios, LLC
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Release Date Release Number Other Release Numbers Name of Document
33-11198
  • 34-97640
  • IA-6323
  • IC-34933
  • AAER-4413
 Order Dismissing Proceedings
33-11181
  • 34-97409
  • IA-6294
  • IC-34904
 Order Extending Time to Issue Decision
33-11152
  • 34-96770
  • IA-6226
  • IC-34822
 Order Extending Time to Issue Decision
33-11128
  • 34-96189
  • IA-6180
  • IC-34744
 Order Extending Time to Issue Decision
33-11087
  • 34-95403
  • IA-6077
  • IC-34657
 Order Extending Time to Issue Decision
33-11058
  • 34-94831
  • IA-6013
  • IC-34576
 Order Extending Time to Issue Decision
33-11026
  • 34-94105
  • IA-5952
  • IC-34490
 Order Extending Time to Issue Decision
33-11003
  • 34-93497
  • IA-5901
  • IC-34413
 Order Extending Time to Issue Decision
33-10996
  • 34-93244
  • IA-5886
  • IC-34394
 Order Extending Time to Issue Decision
33-10988
  • 34-93127
  • IA-5873
  • IC-34383
 Order Extending Time to Issue Decision
33-10982
  • 34-93053
  • IA-5866
  • IC-34375
 Order Extending Time to Issue Decision
33-10964
  • 34-92706
  • IA-5825
  • IC-34358
 Order Extending Time to Issue Decision
33-10957
  • 34-92443
  • IA-5782
  • IC-34337
 Order Extending Time to Issue Decision
33-10949
  • 34-92221
  • IA-5758
  • IC-34305
 Order Extending Time to Issue Decision
33-10939
  • 34-91624
  • IA-5727
  • IC-34247
 Order Extending Time to Issue Decision
33-10926
  • 34-91136
  • IA-5685
  • IC-34196
 Order Extending Time to Issue Decision
33-10888
  • 34-90417
  • IA-5631
  • IC-34093
 Order Extending Time to Issue Decision
33-10820
  • 34-89556
  • IA-5561
  • IC-33971
 Order Extending Time to Issue Decision
33-10657
  • 34-86284
  • IA-5278
  • IC-33541
 Order Denying Motion for Summary Affirmance, Granting Petitions for Review, and Scheduling Briefs
1261 Initial Decision Following Remand
AP-6062 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-5941 Notice of Extension of Stay
AP-5869 Notice of Stay
AP-5593 Order Extending Deadline for Decision On Ratification
AP-5407 Order Extending Briefing Deadlines
AP-5265 Notice to the Parties and Order Following Remand
33-10374
  • 34-81041
  • IA-4719
  • IC-32714
 Extension Order
33-10370
  • 34-80945
  • IA-4715
  • IC-32681
 Order Granting Leave to Adduce Additional Evidence
33-10354
  • 34-80627
  • IA-4703
  • IC-32629
 Order Granting Petitions for Review and Scheduling Briefs
1116 Initial Decision
AP-4378 Order On Transcript Corrections
AP-4350 Order On Stipulations
AP-4321 Order Extending Date to File Transcript Corrections
AP-4270 Post-Hearing Order
AP-4189 Order Following Final Prehearing Conference
AP-4144 Order Rescheduling Prehearing Conference
AP-4131 Order Redesignating Presiding Judge
AP-4002 Order
AP-3977 Scheduling Order
AP-3931 Prehearing Order
AP-3910 Order
AP-3856 Order Scheduling Hearing and Designating Presiding Judge
33-10080
  • 34-77862
  • IA-4389
  • IC-32118
 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' Motion for More Definite Statement
Respondents' Answer and Defenses
Division of Enforcement's Response in Opposition to Respondents' Motion for More Definite Statement
Respondents' Reply in Support of Their Motion for More Definite Statement
Division of Enforcement's List of Additional False and Misleading Statements Made by Respondents
Respondent's Response to the Division of Enforcement's List of Additional False and Misleading Statements Made By Respondents
Respondents' Pre-Hearing Brief
Division of Enforcement's Pre-Hearing Brief
Parties Factual Stipulations
Respondent's Post-Hearing Brief
The Division of Enforcement's Post-Hearing Brief
Respondents' Proposed Findings of Fact
The Division of Enforcement's Statement of Facts
Respondents' Response to Division of Enforcement's Post Hearing Brief
Respondents' Response to Division of Enforcement's Proposed Findings of Fact
Division of Enforcement's Cross Petition for Review (of Initial Decision)
Motion For Leave To Add Additional Evidence
Respondent's Reply Motion For Leave To Add Additional Evidence
Respondents' Response to The Division of Enforcement's Brief ISO Cross-Petition for Review
Division of Enforcement's Response in Opposition to Respondents' Brief in Support of Petition for Review
Division of Enforcement's Brief ISO Its Cross-Petition for Review
Respondents' Brief In Support Of Petiton For Review
Division of Enforcement's Reply ISO Its Cross-Petition for Review
Respondents' Reply Brief In Support Of Petition For Review
Respondents' Submission of New Evidence, with Exhibits 127-128
Division of Enforcement's Response to Respondents' Submission of New Evidence
Letter dated 9/7/18 from Counsel for Respondents J. Winkelman and Blue Ocean Portfolios (Heidi Vonder Heide, Esq.) requesting alternative procedures (per ALJ order dated 8/22/18/AP-5954); election to proceed before ALJ Patil
Division of Enforcement's Petition for Review
Respondent's Motion for Summary Affirmance
Respondents' Cross-Petition for Review
Division of Enforcement's Response in Opposition to Respondents' Motion for Summary Affirmance
Division of Enforcement's Brief in Support of Its Petition for Review, with Exhibit 1
Motion for Leave to Adduce Additional Evidence
Division of Enforcement's Response to Respondent's Motion for Leave to Adduce Additional Evidence
Respondents' Reply in Support of Motion for Leave to Adduce Additional Evidence, with Exhibits
Respondents' Brief in Response to the Division of Enforcement's Opening Brief and in Support ofRespondents' Cross-Petition for Review
Division of Enforcement's Response to Respondent's Brief in Support of Cross-Petition for Review and Reply in Support of its Petition for Review
Respondent's Reply in Support of Respondents' Cross-Petition for Review
Respondent’s Reply in Support of Motion for Leave to Adduce Additional Evidence
Respondent’s Motion for Leave to Adduce Additional Evidence
Division of Enforcement’s Opposition to Respondents’ Motion to Adduce Additional Evidence
Initial Decision
Initial Decision Following Remand
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 Granting Leave to Adduce Additional Evidence
Administrative Summary
Order Scheduling Hearing and Designating Presiding Judge
Order
Prehearing Order
Scheduling Order
Order
Order Redesignating Presiding Judge
Order Rescheduling Prehearing Conference
Order Following Final Prehearing Conference
Post-Hearing Order
Order Extending Date to File Transcript Corrections
Order On Stipulations
Order On Transcript Corrections
Notice to the Parties and Order Following Remand
Order Extending Briefing Deadlines
Order Extending Deadline for Decision On Ratification
Notice of Stay
Notice of Extension of Stay
Notice from the Chief Administrative Law Judge
Chief Administrative Law Judge's Order Assigning Proceedings Post Lucia v. SEC
Order Following Reassignment
Order Granting Petitions for Review and Scheduling Briefs
Extension Order
Order Denying Motion for Summary Affirmance, Granting Petitions for Review, and Scheduling Briefs
Order Extending Time to Issue Decision
Order Extending Time to Issue Decision
Order Extending Time to Issue Decision
Order Extending Time to Issue Decision
Order Extending Time to Issue Decision
Order Extending Time to Issue Decision
Order Extending Time to Issue Decision
Order Extending Time to Issue Decision
Order Extending Time to Issue Decision
Order Extending Time to Issue Decision
Order Extending Time to Issue Decision
Order Extending Time to Issue Decision
Order Extending Time to Issue Decision
Order Extending Time to Issue Decision
Order Extending Time to Issue Decision
Order Extending Time to Issue Decision

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