Administrative Proceeding File No. 3-18061

Respondents

Retirement Surety LLC Crescendo Financial LLC Rose, Thomas Leeman, David Featherstone, David
Release Date Release Number Other Release Numbers Name of Document
34-90846
  • IA-5660
  • IC-34162
 Notice That Initial Decision Has Become Final
1392 Initial Decision
AP-6634 Scheduling Order
AP-6627 Order Following Prehearing Conference
AP-6617 Order Setting Prehearing Conference
AP-6602 Order Granting Summary Disposition in Part
AP-6526 Protective Order
AP-6491 ap-6491.pdf
AP-6481 Scheduling Order
AP-6475 Order Redesignating Presiding Judge
AP-6403 Order
AP-6136 Order
AP-5955 Chief Administrative Law Judge's Order Assigning Proceedings Post Lucia v. SEC
AP-5954 Notice from the Chief Administrative Law Judge
1250 Initial Decision
AP-5433 Order Finding That No Hearing Is Necessary
AP-5394 Order Ratifying Prior Actions and Protective Order
AP-5301 Notice to the Parties and Order Scheduling Conference
33-10436
  • 34-82069
 Order Making Findings, Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Section 8A of the Securities Act of 1933, Sections 15(b) and 21C of the Securities Exchange Act of 1934, and Ordering Continuation of the Proceedings
AP-5169 Order Modifying Briefing Schedule
AP-4990 Protective Order
AP-4972 Order Following Prehearing Conference
AP-4929 Order Postponing Hearing and Scheduling Prehearing Conference
AP-4910 Order Scheduling Hearing and Designating Presiding Judge
33-10386
  • 34-81087
  • IC-32728
 Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Sections 15(b) and 21C of the Securities Exchange Act of 1934, and Section 9(b) of the Investment Company Act of 1940, and Notice o\
f Hearing
Release Date Release Number Other Release Numbers Name of Document
Respondent Crescendo Financial LLC's Answer to Order Instituting Administrative and Cease-and-Desist Proceedings
Division of Enforcement's Motion for Summary Disposition Against Respondents Thomas Rose, David Leeman, and David Featherstone with Exhibit 1-3
Division of Enforcement's Reply Mem. of Law in Support of its Motion for Summary Disposition and Supporting Declaration of Jennifer K. Vakiener, with Exhibits A-E
Division of Enforcement's Motion for Summary Disposition Against Respondents Thomas Rose, David Leeman, and David Featherstone
Divisions' Reply Memorandum of Law in Support of its Motion for Summary
Disposition
Respondents Thomas Rose, David Leeman and David Featherstone's Response to the Division of Enforcement's Motion for Summary Disposition
Division of Enforcement's Supplemental Reply Mem. of Law ISO its Motion for Summary Disposition
Initial Decision
Initial Decision
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Sections 15(b) and 21C of the Securities Exchange Act of 1934, and Section 9(b) of the Investment Company Act of 1940, and Notice o\
f Hearing
Notice That Initial Decision Has Become Final
Administrative Summary
Order Making Findings, Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Section 8A of the Securities Act of 1933, Sections 15(b) and 21C of the Securities Exchange Act of 1934, and Ordering Continuation of the Proceedings
Order Scheduling Hearing and Designating Presiding Judge
Order Postponing Hearing and Scheduling Prehearing Conference
Order Following Prehearing Conference
Protective Order
Order Modifying Briefing Schedule
Notice to the Parties and Order Scheduling Conference
Order Ratifying Prior Actions and Protective Order
Order Finding That No Hearing Is Necessary
Notice from the Chief Administrative Law Judge
Chief Administrative Law Judge's Order Assigning Proceedings Post Lucia v. SEC
Order
Order
Scheduling Order
Order Redesignating Presiding Judge
ap-6491.pdf
Protective Order
Order Granting Summary Disposition in Part
Order Setting Prehearing Conference
Order Following Prehearing Conference
Scheduling Order

Documents