Administrative Proceeding File No. 3-17950

Respondents

Pruitt, David, CPA
Release Date Release Number Other Release Numbers Name of Document
34-87484
  • AAER-4101
 Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Section 21C of the Securities Exchange Act of 1934
AP-6682 Stay Order
AP-6681 Order Granting in Part Request for Official Notice and Granting in Part Respondent's Motion in Limine
AP-6680 Order On Objections to Exhibit Lists
AP-6677 Order Denying Motion for Enlargement of Prehearing Briefs
AP-6678 Order On Challenges to Expert Reports
AP-6675 Order Denying Respondent's Motion to Dismiss
AP-6673 Order Extending Deadline for Motion in Limine Reply
AP-6670 Order Regarding Pending Motions
AP-6661 Order Extending Deadline for Stipulations
AP-6654 Notice of Hearing Location
AP-6641 Order Extending Expert Depositions Deadline
AP-6596 Order Granting Motion to Extend Expert Deadlines
AP-6551 Order Granting Motion to Amend Order Instituting Proceedings
AP-6547 Order Extending Answer Deadline
AP-6543 Order Concerning Subpoenas
AP-6534 Order Extending Certain Discovery Deadlines
AP-6529 Order Correcting Prehearing Conference Transcript
AP-6528 Order Requiring More Definite Statement
AP-6480 Order Scheduling Prehearing Conference
34-85171
  • AAER-4023
 Order Denying Motion to Amend the Order Instituting Proceedings
AP-6465 Revised Scheduling Order
AP-6452 Order Denying Respondent's Motion for Judgment On the Pleadings
AP-6432 Order Regarding Schedule
AP-6421 Order Granting in Part Motion for More Definite Statement
AP-6245 Scheduling Order
AP-6154 Order Following Prehearing Conference
AP-6131 Order Scheduling Prehearing Conference
AP-5974 Order Directing Parties to Confer and Submit Proposal
AP-5955 Chief Administrative Law Judge's Order Assigning Proceedings Post Lucia v. SEC
AP-5954 Notice from the Chief Administrative Law Judge
AP-5918 Notice of Extension of Stay
AP-5842 Notice of Stay
AP-5804 Scheduling Order
AP-5779 Order Rescheduling Hearing
AP-5757 Order Granting Request to Withdraw Motion
AP-5745 Order Granting Extension and Rescheduling Prehearing Conference
AP-5728 Order Scheduling Prehearing Conference and Requesting Declaration
AP-5696 Order On Motion for Clarification
AP-5684 Order On Respondent's Motion to Quash
AP-5683 Order Extending Discovery Deadlines
AP-5674 Order Directing Respondent to File Privilege Log
AP-5671 Order Granting Limited Postponement of Discovery Deadlines
AP-5661 Order Granting Motion to Substitute a Fact Witness Deponent
AP-5637 Scheduling Order
AP-5603 Order Denying Motion for Stay
AP-5599 Order Ratifying Prior Actions
AP-5526 Order Following Prehearing Conference
AP-5411 Order Scheduling Prehearing Conference
AP-5362 Order
AP-5251 Notice to the Parties and Order Ratifying Stay
AP-5229 Stay Order
AP-5230 Protective Order Regarding Documents Identifying Certain Individuals
AP-5218 Order Regarding Hearing Location
AP-5219 Order Granting Deposition of Expert Witness
AP-5205 Order Denying Motion to Certify for Interlocutory Review
AP-5204 Order Granting Extension of Time for Expert Reports
AP-5200 Order Regarding Corrections to October 11, 2017, Transcript
AP-5174 Order Granting Motion for Additional Depositions
AP-5161 Order Following Prehearing Conference
AP-5168 Protective Order for Third-Party Productions
AP-5142 Order Scheduling Prehearing Conference
AP-5139 Order Granting Motion to Compel Compliance with Documentary Subpoena
AP-5137 Order Denying Motion for Stay
AP-5070 Order Granting in Part Motion for Protective Order
AP-5024 Order Following Prehearing Conference
AP-4985 Order Scheduling Prehearing Conference
AP-4937 Order Denying Motion for Ruling On Pleadings
AP-4888 Order Granting in Part Motion for More Definite Statement
AP-4870 Order Granting in Part Extension of Time for Motions for a Ruling On the Pleadings
AP-4842 Amended Scheduling Order
AP-4832 Scheduling Order
AP-4828 Protective Order
AP-4787 Order Postponing Hearing and Scheduling Prehearing Conference
AP-4778 Order Scheduling Hearing and Designating Presiding Judge
34-80548
  • AAER-3868
 Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 4C and 21C of the Securities Exchange Act of 1934, and Rule 102(e) of the Commission's Rules of Practice and Notice of Hearing
Release Date Release Number Other Release Numbers Name of Document
Division of Enforcement's Opposition to Respondent's Motion for a More Definite Statement
Respondent's Attorney Reply Memorandum In Further Support of Respondent David Pruitt's Motion For A More Definite Statement
Letter dated 6/30/17 from Division to Respondent pursuant to ALJ's 6/235/17 order
Answer and Affirmative Defenses of Respondent David Pruitt
Respondent's Motion for a More Definite Statement
Memorandum of Points and Authorities in Support of Respondent David Pruitt's Motion for a More Definite Statement
Respondent's Motion for a Ruling on the Pleadings
Memorandum of Points and Authorities in Support of Respondent's Motion for a Ruling on the Pleadings
Division of Enforcement's Mem. of Law in Opposition to Respondent's Motion for a Ruling on the Pleadings, Declaration of H. Gregory Baker in Support
Respondent's Reply Memorandum in Further Support of Motion for a Ruling on the Pleadings
Reply Memorandum in Further Support of Respondent David Pruitt's Motion to Compel the Division of Enforcement to Comply with the Court's June 23, 2017 Order
Division of Enforcement's Memorandum in Response to the Court's Order Following Prehearing Conference, Declaration of H. Gregory Baker, Esq w/ Exhibit A-B
Respondent's Motion to Stay Pending Supreme Court Review of Appointments Clause Challenge with Memorandum of Points and Authorities in Support of Respondent Motion to Stay Pending Supreme Court Review of Appointments Clause Challenge
Division of Enforcement's Opposition to Respondnet's Motion to Stay Pending
Supreme Court Review of Appointments's Clause Challenge
Respondent David Pruitt's Motion for Additional Depositions
Reply Memorandum in Further Support of Respondent David Pruitt's Motion to Stay Pending Supreme Court Review of Appointments Clause Challenge
Respondent David Pruitt's Motion to Compel Compliance with a Subpoena for Documents with Exhibits A-D
Letter Dated 10/4/17 from Respondent to ALJ re Court's Order Granting in Part Motion for Protective Order
Division of Enforcement's Opposition to Respondent's Motion for Additional Depositions
Respondent David Pruitt's Motion to Certify for Interlocutory Review Denial of Stay Pending Supreme Court Review of Appointments Clause Challenge and Motion for a Stay
Division of Enforcement's Opposition To Respondent's Motion To Certify For Interlocutory Review
Respondent's Motion to Revise Prior Decisions Pursuant to the Court's December 11, 2017 Order, Memorandum of Points and Authorities in Support, Affidavit of Bari R. Nadworny, and Ex. A-D
Division of Enforcement's Memorandum in Response to Respondent's Motion to Revise Prior Decisions
Letter Dated 1 /19/18 from Respondent's Counsel to ALJ in Response to Division of Enforcement's Letter of 1 /5/18 Regarding Ratification of the Court's Prior Actions
Reply Memorandum in Further Support of Respondent David Pruitt's Motion to Revise Prior Decisions Pursuant to the Court's December 11, 2017 Order
Motion to Quash Subpoenas issued to the SEC's Division of Corporation Finance and Office of Chief Accountant
Respondent's Unopposed Motion to Substitute a Fact Witness Deponent
Division of Enforcement's April 23, 2018, Opposition to Respondent's Motion to Clarify the Court's Order on Respondent's Motion to Quash
Respondent's Motion to Clarify the Court's Order on Respondent's Motion to Quash and to Amend Privilege Log
Reply Memorandum in Further Support of Respondent's Motion to Clarify the Court's Order on Respondent's Motion to Quash and to Amend Privilege Log
Respondent's Motion to the Commission to Amend the Order Instituting Proceedings Based Upon Newly Discovered Matters of Fact and to Stay this proceedings Pending the Commission's Decision and Mem., with Exhibits A-F
Division of Enforcement's Mem. with Declaration of H. Gregory Baker in support of the Division of Enforcement's opposition to Respondent's Motion to Amend the OIP, with Exhibits A-G
Reply Memo in Further Support of Respondent Motion to the Commission to Amend the OIP based upon Newly Discovered Matters of Fact and to Stay this Proceeding Pending the Commission's Decision
Respondent's letter dated 10/19/18 in response to Court's Order Following Prehearing Conference
Letter dated 11/13/2018, Respondent made a motion to the Commission to Amend the OIP based upon Newly Discovered Matters of Fact and to Stay this Proceeding Pending the Commission Decision on 6/11/2018
Reply Memorandum in Further Support of Respondent's Motion for a More Definite Statement
Division of Enforcement's Mem. in Opposition to Respondent's Motion for a Ruling on the Pleadings
Reply Mem. in Further Support of Respondent David Pruitt's Motion for a Ruling of the Pleadings and Declaration of Bari R. Nadworny
Reply Mem. in Further Support of Respondent David Pruitt's Motion for a Ruling of the Pleadings and Declaration of Bari R. Nadworny in Support, with exhibit
Letter dated 2/13/2019 the parties propose schedule for contunuation of proceedings: 3/11/2019, 4/5/2019, 4/19/2019 and 5/3/2019
Division of Enforcement's Motion to Amend the OIP
Respondent's Opposition to Division of Enforcement's Motion to Amend the OIP and Declaration of Bari R. Nadworny w/ Exhibit A
Division of Enforcement's Reply Memorandum in Support of Motion to Amend the Order InstitutingProceedings
Answer and Affirmative Defenses of Respondent David Pruitt and Letter dated 4/25/2019 to Division
Respondent's Motion to Dismiss the Administrative Proceeding for Constitutional Violations and Memorandum of Points and Authorities in Support Thereof
Division of Enforcement's Opposition to Respondent's Motion to Dismiss
Division of Enforcement's Request for Official Notice
Division of Enforcement's Submission on Respondent's Admissions, with Declaration of Paul Gizzi and Exhibit A
Respondent's Motion for Reconsideration of the Order Denying His Motion for a Ruling on the Pleadings and Mem. of Points and Authorities in Support Thereof
Joint Stipulations as to Fact and Law
Respondent's Reply Memorandum in Support of Motion to Dismiss
Division of Enforcement's Opposition to Respondent's Motion for Reconsideration of the Order Denying Motion for A Ruling on the Pleadings
Respondent's Reply Mem. ISO Motion for Reconsideration of the Order Denying His Motion for a Ruling on the Pleadings
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 4C and 21C of the Securities Exchange Act of 1934, and Rule 102(e) of the Commission's Rules of Practice and Notice of Hearing
Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Section 21C of the Securities Exchange Act of 1934
Order Scheduling Hearing and Designating Presiding Judge
Order Postponing Hearing and Scheduling Prehearing Conference
Protective Order
Scheduling Order
Amended Scheduling Order
Order Granting in Part Extension of Time for Motions for a Ruling On the Pleadings
Order Granting in Part Motion for More Definite Statement
Order Denying Motion for Ruling On Pleadings
Order Scheduling Prehearing Conference
Order Following Prehearing Conference
Order Granting in Part Motion for Protective Order
Order Granting Motion to Compel Compliance with Documentary Subpoena
Order Denying Motion for Stay
Order Scheduling Prehearing Conference
Protective Order for Third-Party Productions
Order Following Prehearing Conference
Order Granting Motion for Additional Depositions
Order Granting Extension of Time for Expert Reports
Order Regarding Corrections to October 11, 2017, Transcript
Order Denying Motion to Certify for Interlocutory Review
Order Granting Deposition of Expert Witness
Order Regarding Hearing Location
Protective Order Regarding Documents Identifying Certain Individuals
Stay Order
Notice to the Parties and Order Ratifying Stay
Order
Order Scheduling Prehearing Conference
Order Following Prehearing Conference
Order Ratifying Prior Actions
Order Denying Motion for Stay
Scheduling Order
Order Granting Motion to Substitute a Fact Witness Deponent
Order Granting Limited Postponement of Discovery Deadlines
Order Directing Respondent to File Privilege Log
Order Extending Discovery Deadlines
Order On Respondent's Motion to Quash
Order On Motion for Clarification
Order Scheduling Prehearing Conference and Requesting Declaration
Order Granting Extension and Rescheduling Prehearing Conference
Order Granting Request to Withdraw Motion
Order Rescheduling Hearing
Scheduling Order
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 Directing Parties to Confer and Submit Proposal
Order Scheduling Prehearing Conference
Order Following Prehearing Conference
Scheduling Order
Order Granting in Part Motion for More Definite Statement
Order Regarding Schedule
Order Denying Respondent's Motion for Judgment On the Pleadings
Order Scheduling Prehearing Conference
Order Requiring More Definite Statement
Order Correcting Prehearing Conference Transcript
Order Extending Certain Discovery Deadlines
Order Concerning Subpoenas
Order Extending Answer Deadline
Order Granting Motion to Amend Order Instituting Proceedings
Order Granting Motion to Extend Expert Deadlines
Order Extending Expert Depositions Deadline
Notice of Hearing Location
Order Extending Deadline for Stipulations
Order Regarding Pending Motions
Order Extending Deadline for Motion in Limine Reply
Order Denying Respondent's Motion to Dismiss
Order On Challenges to Expert Reports
Order Denying Motion for Enlargement of Prehearing Briefs
Order On Objections to Exhibit Lists
Order Granting in Part Request for Official Notice and Granting in Part Respondent's Motion in Limine
Stay Order
Order Denying Motion to Amend the Order Instituting Proceedings

Documents