Administrative Proceeding File No. 3-17387

Respondents

Lathen, Donald F. ("Jay") Jr. Eden Arc Capital Management, LLC Eden Arc Capital Advisors, LLC
Release Date Release Number Other Release Numbers Name of Document
1259 Initial Decision On Equal Access to Justice Act Application
AP-5954 Notice from the Chief Administrative Law Judge
AP-5935 Notice of Extension of Stay
AP-5847 Notice of Stay
AP-5649 Order Regarding Slide Presentation
AP-5642 Order Following Oral Argument
AP-5638 Order Sealing Submission in Part
AP-5629 Order Granting Extension
AP-5601 Order Sealing Exhibits
AP-5572 Order Scheduling Oral Argument
AP-5533 Order Denying Bifurcation Request and Sealing Financial Disclosures
AP-5440 Order On Conference Results and Electronic Filing
AP-5398 Order On Equal Access to Justice Act Proceeding
AP-5336 Order Designating Presiding Judge
AP-5051 Order On Motion to Correct Manifest Errors of Fact
1161 Initial Decision
AP-4975 Order On Revisions to Record Index
AP-4879 Order On Respondents' Amended Filings
AP-4875 Order Directing Filing Under Seal
AP-4865 Order Granting in Part Respondents' Motion to File Financial Documents Under Seal and Electronically
AP-4840 Order Granting Motion to Admit Financial Disclosure Form
AP-4792 Motion to the Commission for Extension
AP-4773 Order Granting Extension
AP-4756 Order Granting Extension
AP-4723 Order On Stipulations
AP-4721 Order Granting in Part Motions to Correct Hearing Transcript
AP-4667 Order Granting Extension
AP-4646 Order On Hearing Exhibits
AP-4628 Post-Hearing Order
AP-4564 Order Regarding the Division's Motion to Compel or Preclude, and Following Further in Camera Review
AP-4551 Order Following Final Prehearing Conference, Resolving Certain Motions, and Directing Subpoena Compliance as to Ferraro
AP-4542 Order Regarding Subpoena Directed to Joseph Ferraro
AP-4533 Order Revising Hearing Location
AP-4513 Order Resolving the Division's Motion to Compel Hinckley Allen
AP-4508 Order Following Respondents' in Camera Submission Related to Kevin Galbraith
AP-4495 Order Regarding the Division's Motion to Compel Hinckley Allen
AP-4483 Clarification Order
AP-4479 Order Regarding the Division's Motion to Compel
AP-4456 Order Granting Joint Motion for Mediation
AP-4460 Third Order Revising Procedural Schedule
AP-4447 Order Denying Reconsideration and Regarding Defense-Strategy Documents
AP-4440 Order Regarding Mediation
AP-4406 Second Order Revising Procedural Schedule and Hearing Date
AP-4407 Order Following in Camera Review of Documents Withheld by the Division
AP-4395 Order Redesignating Presiding Judge
AP-4379 Order Regarding Motion for Reconsideration
AP-4371 Order Denying the Division's Second Motion to Preclude Respondents' Advice-Of-Counsel Defense
AP-4341 Order On Privilege Waiver
AP-4322 Order Requiring in Camera Submission
AP-4317 Order On the Division's Disclosures
AP-4272 Order On Motion to Preclude Advice-Of-Counsel Defense
AP-4247 Order On Motion to Quash
AP-4218 Order Revising Procedural Schedule and Hearing Date
AP-4168 Order Denying Leave for Summary Disposition
AP-4149 Order Following Prehearing Conference
AP-4094 Order Postponing Hearing and Scheduling Prehearing Conference
AP-4068 Order Scheduling Hearing and Designating Presiding Judge
33-10120
  • 34-78572
  • IA-4485
  • IC-32214
 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' Answer and Affirmative Defenses
Division of Enforcement's Motion to Preclude Respondents' Advice of Counsel Defense and to Issue Subpoenas and Mem. of Law in Support
Declaration of Alexander Janghorbani ISO Division of Enforcement's Motion to Preclude Respondents' Advice of Counsel Defense and to Issue Subpoenas
Division of Enforcement's Reply Mem. of Law in Further Support of its Motion to Preclude Respondents' Advice of Counsel Defense and to Issue Subpoenas
Division of Enforcement's Second Motion to Preclude Respondents' Advice of Counsel Defense
Respondents' Mem. of Law in Opposition to Division of Enforcement's Second Motion to Preclude Reliance on the Advice of Counsel Defense
Expert Report of Martin E. Lybecker
Declaration of Judith Weinstock in Support of the Division of Enforcement's Motion for a Finding of Privilege Waiver
Division of Enforcement's Reply Mem. in Further Support of its Motion for a Finding of Privilege Waiver
Declaration of Janna I. Berke Regarding Disclosure of the Division of Enforcement's Investigative Files
Declaration of Harlan Protass ISO the Eden Arc Respondents' Opposition to the Division of Enforcement's Motion to Quash
Division of Enforcement's Motion for a Finding of Privilege Waiver and Memorandum of Law in Support
Affirmation of Harlan Protass in Support of the Respondents' Mem. of Law in Opposition to Division of Enforcement's Second Motion to Preclude Reliance on the Advice of Counsel Defense
Division of Enforcement's Reply Mem. of Law in Further Support of its Second Motion to Preclude Respondents' Advice of Counsel Defense
Declaration of Nancy A. Brown (ISO Division of Enforcement's Reply Memorandum of Law in Further Support of its Second Motion to Preclude Respondents' Advice of Counsel Defense)
Letter dated 11/15/16 from Respondents to Administrative Law Judge in Response to Division of Enforcement's Reply Mem. in Further Support of Second Motion to Preclude Advice of Counsel Defense
The Eden Arc Respondents' Memorandum of Law in Opposition to the Division of Enforcement's Motion for a Finding of Privilege Waiver
Affirmation of Harlan Protass in Support of The Eden Arc Respondents' Memorandum of Law in Opposition to the Division of Enforcement's Motion for a Finding of Privilege Waiver
Division of Enforcement's Mem. of Law in Opposition to Respondent's Motion for Leave to Move for Summary Disposition
The Eden Arc Respondents' Mem. of Law in Further Support of their Motion for Reconsideration of this Court's "Order on Privilege Waiver"
Letter dated 12/1/16 from Division to ALJ Patil, apprising the court of matters relevant to Respondent's Motion for Reconsideration of the Order on Privilege Waiver, with undesignated exhibits attached
Division of Enforcement's Motion to Compel Respondents' Compliance with Court's 10/18, 11/10 and 12/14 Orders or to Preclude Resps from Offering Testimony or Evidence Regarding their Reliance on the Advice of Kevin Galbraith
Division of Enforcement's Motion to Compel Third Party Hinckley Allen to Comply with the Subpoena, or to Preclude Respondents from Offering Testimony or Evidence Regarding their Reliance on Advice of Hinckley Allen
Declaration of Nancy Brown in Support of Division of Enforcement's Motion to Compel Third Party Hinckley Allen to Comply with the Subpoena, or to Preclude Respondents from Offering Testimony or Evidence Regarding their Reliance on Advice of Hinckley Allen
The Eden Arc Respondents' Mem. of Law in Opposition to Division of Enforcement's Motion to Compel
Division of Enforcement's Memorandum of Law in Support of its Motion in Limine to Preclude Respondents from Offering Testimony or Evidence on Advice Received from Attorney Kevin Galbraith
Declaration of Janna Berke in Support of Division of Enforcement's Motion in Limine to Preclude Respondents from Offering Testimony or Evidence on Advice Received from Attorney Kevin Galbraith
Division of Enforcement's Memorandum of Law in Support of its Motion in Limine to Preclude Irrelevant Evidence & Argument Regarding Reliance on Advice of Counsel
Declaration of Judith Weinstock ISO of Division of Enforcement's Motion in Limine to Preclude Irrelevant Evidence & Argument Regarding Reliance on Advice of Counsel
Mem. of Law ISO the Division of Enforcement's Motion in Limine to Preclude Certain Evidence and Testimony
Declaration of Lindsay S. Moilanen ISO Division of Enforcement's Motion in Limine to Preclude Certain Evidence and Testimony
Hinckley, Allen & Snyder, LLP's Objection to the Division of Enforcement's Motion to Compel
Division of Enforcement's Reply Mem. in Further Support of its Motion to Compel Third Party Hinckley Allen to Comply w/Subpoena or to Preclude
Declaration of Nancy A. Brown in Support of Division of Enforcement's Reply Mem. in Further Support of its Motion to Compel Third Party Hinckley Allen to Comply w/Subpoena or to Preclude
Letter dated 1/4/17 from Division to ALJ in response to letter from Mr. Protass dated 12/30/16 regarding Respondents' in camera submission ordered by the Court on 12/23/16
The Eden Arc Respondents' Mem. of Law in Opposition to Division of Enforcement's Motion to Compel Third Party Hinckley, Allen & Snyder LLP
Affirmation of Harlan Protass ISO The Eden Arc Respondents' Mem. of Law in Opposition to Division of Enforcement's Motion to Compel Third Party Hinckley, Allen & Snyder LLP
Letter dated 1/17/17 from Division of Enforcement to ALJ Regarding its Motion in Limine to Preclude Respondents from Offering Testimony/Evidence/Advice Received from Kevin Galbraith
Division of Enforcement's Prehearing Brief
The Eden Arc Respondents' Mem. of Law in Opposition to Division of Enforcement's Motion in Limine to Preclude Evidence Regarding Advice of Counsel
Affirmation of Harlan Protass ISO The Eden Arc Respondents' Mem. of Law in Opposition to Division of Enforcement's Motion in Limine to Preclude Evidence Regarding Advice of Counsel
The Eden Arc Respondents' Mem. of Law in Opposition to Division of Enforcement's Motion in Limine to Preclude Certain Evidence
The Eden Arc Respondents' Mem. of Law in Opposition to Division of Enforcement's Motion in Limine to Preclude Evidence or Testimony on Advice Received from Kevin Galbraith
Affirmation of Harlan Protass in Support of the Eden Arc Respondents' Mem. of Law in Opposition to Division of Enforcement's Motion in Limine to Preclude Evidence or Testimony on Advice Received from Kevin Galbraith
Respondents' Prehearing Brief
Declaration of Nancy Brown ISO Division of Enforcement's Motion to Compel Respondents' Compliance with Court's 10/18, 11/10 and 12/14 Orders or to Preclude Resps from Offering Testimony or Evidence Regarding their Reliance on the Advice of Kevin Galbraith
Letter dated 12/20/16 from Division of Enforcement to ALJ Enclosing and Discussing Privilege log sent by Respondents' Attorney in Response to Division's Motion to Compel
Letter dated 3/2/17 from Division of Enforcement to ALJ Objecting to Respondents' Arguments
The Parties' Factual Stipulations
Division of Enforcement's Post-Hearing Brief
Letter dated 5/8/17 from Division of Enforcement to ALJ to Bring a Matter Before the Court that was Disclosed to the Division of Enforcement
Division of Enforcement's Supplemental Statement of Facts
Division of Enforcement's Responses to Respondents' Proposed Findings of Fact in Support of their Inability to Pay Defense
Division of Enforcement's Post-Hearing Reply Brief
Division of Enforcement's Responses to Respondents' Proposed Findings of Fact
Letter dated 5/31/17 from Division of Enforcement to ALJ Objecting to Respondents' Motion to admit Lathen's Financial Disclosure Form into Evidence
Letter dated 5/30/17 from H. Protass (Respondent's counsel) to ALJ Asserting Eden Arc's Constitutional Objections to the Proceeding.
Letter dated 6/2/17 from Weinstock (SEC) to ALJ in Response to Respondents' Constitutional Objections to the Proceeding
Division of Enforcement's Responses to Respondents' Amended Proposed Findings of Fact
Respondents' Statement of Facts
Letter dated 6/9/17 from division to ALJ objecting to Respondent's submission of "Amended" filings
Respondents' Responses and Objections to Division of Enforcement's Statement of Facts
Respondents' Post-Hearing Brief
Respondents' Amended Responses and Objections to Division of Enforcement's Statement of Facts
Respondents' Amended Statements of Facts
Respondents' Post-Hearing Reply Brief
Division of Enforcement's Motion to Correct Manifest Errors of Fact
Respondent's Opposition to Division of Enforcement's Motion to Correct Manifest Errors of Fact
Respondents' Application for Recovery of Legal Fees and Expenses Pursuant to the Equal Access to Justice Act
Respondent Lathen's Affirmation in Support of the Respondents' Application for Recovery of Legal Fees and Expenses Pursuant to the Equal Access to Justice Act, with Exhibits 1-4
Respondents' Supplemental Mem. of Law Related to Respondents' EAJA Application, and Motion to Seal Financial Disclosures, with Exhibits 1-6
Affirmation of Donald Lathen in Support of the Application for Recovery of Legal Fees and Expenses Pursuant to the EAJA, with Exhibits 1-2
Respondents' Reply Memorandum of Law in Further Support of Application for Recovery of Legal Fees and Expenses Pursuant to EAJA, with Affirmation of Donald Lathen, and Exhibits 1-4
Joint letter dated 1/5/18 from the Division of Enforcement and Respondents to ALJ Submitting the Results of Their Conference to the Court
Letter dated 1/5/18 from Division of Enforcement to ALJ in Further Explanation of Division of Enforcement's Positions set forth in the Parties' Joint Correspondence to the Court on this Date
Letter dated 1/5/18 from Respondents to ALJ in response to Division of Enforcement's letter of 1/5/18
Letter dated 2/14/18 from Division of Enforcement to ALJ, requesting that Exhibits A through C of its Response to the Application for Fees and Expenses be Held Under Seal Pursuant toAP-5533
Division of Enforcement's Response to Application for Fees and Expenses of Eden Arc Capital Management LLC and Eden Arc Capital Advisers LLC, with Exhibits A-D
Letter dated 3/12/18 from Division of Enforcement to Secretary Fields, Containing Redacted and Unredacted copy of the Slide Presentation used During the Oral Argument on 3/8/18
Letter dated 3/28/18 from Division of Enforcement to ALJ in Response to Respondents' Letter dated 3/26/18
Letter dated 3/26/18 from Respondents to ALJ in Response to Division of Enforcement's PowerPoint Slide Presentation
Initial Decision
Initial Decision On Equal Access to Justice Act Application
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
Notice That Initial Decision Has Become Final
Order Scheduling Hearing and Designating Presiding Judge
Order Postponing Hearing and Scheduling Prehearing Conference
Order Following Prehearing Conference
Order Denying Leave for Summary Disposition
Order Revising Procedural Schedule and Hearing Date
Order On Motion to Quash
Order On Motion to Preclude Advice-Of-Counsel Defense
Order On the Division's Disclosures
Order Requiring in Camera Submission
Order On Privilege Waiver
Order Denying the Division's Second Motion to Preclude Respondents' Advice-Of-Counsel Defense
Order Regarding Motion for Reconsideration
Order Redesignating Presiding Judge
Order Following in Camera Review of Documents Withheld by the Division
Second Order Revising Procedural Schedule and Hearing Date
Order Regarding Mediation
Order Denying Reconsideration and Regarding Defense-Strategy Documents
Third Order Revising Procedural Schedule
Order Granting Joint Motion for Mediation
Order Regarding the Division's Motion to Compel
Clarification Order
Order Regarding the Division's Motion to Compel Hinckley Allen
Order Following Respondents' in Camera Submission Related to Kevin Galbraith
Order Resolving the Division's Motion to Compel Hinckley Allen
Order Revising Hearing Location
Order Regarding Subpoena Directed to Joseph Ferraro
Order Following Final Prehearing Conference, Resolving Certain Motions, and Directing Subpoena Compliance as to Ferraro
Order Regarding the Division's Motion to Compel or Preclude, and Following Further in Camera Review
Post-Hearing Order
Order On Hearing Exhibits
Order Granting Extension
Order Granting in Part Motions to Correct Hearing Transcript
Order On Stipulations
Order Granting Extension
Order Granting Extension
Motion to the Commission for Extension
Order Granting Motion to Admit Financial Disclosure Form
Order Granting in Part Respondents' Motion to File Financial Documents Under Seal and Electronically
Order Directing Filing Under Seal
Order On Respondents' Amended Filings
Order On Revisions to Record Index
Order On Motion to Correct Manifest Errors of Fact
Order Designating Presiding Judge
Order On Equal Access to Justice Act Proceeding
Order On Conference Results and Electronic Filing
Order Denying Bifurcation Request and Sealing Financial Disclosures
Order Scheduling Oral Argument
Order Sealing Exhibits
Order Granting Extension
Order Sealing Submission in Part
Order Following Oral Argument
Order Regarding Slide Presentation
Notice of Stay
Notice of Extension of Stay
Notice from the Chief Administrative Law Judge

Documents