Administrative Proceeding File No. 3-17849

Respondents

Angel Oak Capital Partners, LLC Peraza Capital and Investment, LLC Prabhu, Sreeniwas Wells, David W.
Release Date Release Number Other Release Numbers Name of Document
1383 Initial Decision
AP-6603 Order On Transcript Corrections
AP-6590 Post-Hearing Order
AP-6579 Order Denying the Division of Enforcement's Motion to Exclude a Witness
AP-6576 Notice Following Final Prehearing Conference
AP-6556 Notice of Hearing Location
AP-6542 Order Addressing the Use of Prior Sworn Statements At the Hearing
AP-6536 Order Following Prehearing Conference
AP-6522 Order Scheduling Prehearing Conference
AP-6487 Stay Order
AP-6477 Order Scheduling Prehearing Conference
AP-6472 Notice of Hearing Location and General Hearing Guidelines
AP-6444 Order Following Prehearing Conference
AP-6437 Order Denying the Division of Enforcement's Motion for Summary Disposition
AP-6426 Order Scheduling Prehearing Conference
AP-6416 Order Denying Summary Disposition Motion of Peraza Capital & Investment, LLC
AP-6338 Order Granting Extension of Time
AP-6274 Order Following Prehearing Conference
AP-6229 Order Scheduling Hearing Date and Additional Prehearing Conference
AP-6190 Order Setting Prehearing Schedule and Scheduling Prehearing Conference
AP-6050 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-5925 Notice
AP-5831 Notice
AP-5762 Prehearing Order
AP-5750 Order
AP-5723 Order Redesignating Presiding Judge
AP-5670 Order Granting Postponement
AP-5655 Order Setting Prehearing Schedule and Hearing Date
AP-5636 Order On Motion for Summary Disposition
AP-5597 Order Ratifying Prior Actions
AP-5297 Notice to the Parties and Order Allowing New Evidence
AP-4947 Order Following Prehearing Conference
AP-4895 Order Following Prehearing Conference
AP-4841 Order Granting Extension of Time to Respond to Motion for Summary Disposition
AP-4813 Order Granting Further Extension of Time for Fact Witness Depositions
AP-4796 Order Granting Extension of Time for Fact Witness Depositions
AP-4715 Scheduling Order
AP-4680 Order Postponing Hearing and Directing Parties to Hold a Prehearing Conference
AP-4616 Order Scheduling Hearing and Designating Presiding Judge
34-80053 Corrected Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order, and Notice of Hearing
Release Date Release Number Other Release Numbers Name of Document
Division of Enforcement's Reply Mem. of Law ISO Its Motion for Summary Disposition Pursuant to Rule 250
Letter Dated 9/6/17 to ALJ from Division of Enforcement Counsel Enclosing Recent Hooper Decision
Letter dated 1/5/18 from Division of Enforcement to ALJ Requesting that He Ratify all Prior Actions Made in this Proceeding, with Proposed Order
Division of Enforcement's Motion for Summary Disposition and Declaration of John D. Worland. Jr. in Support of the Division of Enforcement's Motion for Summary
Disposition Pursuant to Rule 520 w/ exhibits
Division of Enforcement's Mem. of Law in Support for Motion for Summary Disposition Pursuant to Rule 250
Respondent Peraza Capital and Investment, LLC's Motion for Summary Disposition Pursuant to Rule 250, with Memorandum of Law and Declaration of Mark David Hunter in Support, with Exhibits 1-3
Respondent Peraza Capital and Investment, LLC's Memorandum in Opposition to the Division of Enforcement's Motion for Summary Disposition Pursuant
Declaration of Mark David Hunter in Opposition to the Division of Enforcement's Motion for Summary Disposition.
Division of Enforcement's Post-Hearing Memorandum of Law w/Appendix 1
Division of Enforcement's Post-Hearing Reply Memorandum of Law
Respondent Peraza Capital & Investment, LLC's Rule 340 Post Hearing Brief and Incorporated Findings of Fact and Conclusion of Law
Respondent Peraza Capital & Investment, LLC1s Rule 340 Reply Post Hearing Brief
Initial Decision
Corrected Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order, and Notice of Hearing
Notice That Initial Decision Has Become Final
Administrative Summary
Order Scheduling Hearing and Designating Presiding Judge
Order Postponing Hearing and Directing Parties to Hold a Prehearing Conference
Scheduling Order
Order Granting Extension of Time for Fact Witness Depositions
Order Granting Further Extension of Time for Fact Witness Depositions
Order Granting Extension of Time to Respond to Motion for Summary Disposition
Order Following Prehearing Conference
Order Following Prehearing Conference
Notice to the Parties and Order Allowing New Evidence
Order Ratifying Prior Actions
Order On Motion for Summary Disposition
Order Setting Prehearing Schedule and Hearing Date
Order Granting Postponement
Order Redesignating Presiding Judge
Order
Prehearing Order
Notice
Notice
Notice from the Chief Administrative Law Judge
Chief Administrative Law Judge's Order Assigning Proceedings Post Lucia v. SEC
Order Following Reassignment
Order Setting Prehearing Schedule and Scheduling Prehearing Conference
Order Scheduling Hearing Date and Additional Prehearing Conference
Order Following Prehearing Conference
Order Granting Extension of Time
Order Denying Summary Disposition Motion of Peraza Capital & Investment, LLC
Order Scheduling Prehearing Conference
Order Denying the Division of Enforcement's Motion for Summary Disposition
Order Following Prehearing Conference
Notice of Hearing Location and General Hearing Guidelines
Order Scheduling Prehearing Conference
Stay Order
Order Scheduling Prehearing Conference
Order Following Prehearing Conference
Order Addressing the Use of Prior Sworn Statements At the Hearing
Notice of Hearing Location
Notice Following Final Prehearing Conference
Order Denying the Division of Enforcement's Motion to Exclude a Witness
Post-Hearing Order
Order On Transcript Corrections

Documents