Administrative Proceeding File No. 3-19145

Respondents

Rossi, Matthew R. SJL Capital, LLC
Download
Release Date Release Number Other Release Numbers Name of Document
33-11198
  • 34-97640
  • IA-6323
  • IC-34933
  • AAER-4413
 Order Dismissing Proceedings
33-11169
  • 34-97163
  • IA-6264
 Order Extending Time to Issue Decision
34-96528 Order Extending Time to Issue Decision
33-11141
  • 34-96531
  • IA-6205
 Order Extending Time to Issue Decision
33-11103
  • 34-95819
  • IA-6135
 Order Extending Time to Issue Decision
33-11076
  • 34-95132
  • IA-6053
 Order Extending Time to Issue Decision
33-11044
  • 34-94482
  • IA-5980
 Order Extending Time to Issue Decision
33-11017
  • 34-93836
  • IA-5933
 Order Extending Time to Issue Decision
33-10986
  • 34-93075
  • IA-5867
 Order Extending Time to Issue Decision
33-10947
  • 34-92218
  • IA-5757
 Order Extending Time to Issue Decision
33-10936
  • 34-91384
  • IA-5703
 Order Extending Time to Issue Decision
33-10910
  • 34-90770
  • IA-5654
 Order Extending Time to Issue Decision
33-10759
  • 34-88278
  • IA-5449
 Order Granting Request for Protective Order
34-88138 Order Granting Petition for Review and Scheduling Briefs
AP-6717 Second Post-Hearing Protective Order
AP-6715 Post-Hearing Protective Order
AP-6713 Order Scheduling Post-Hearing Conference
AP-6707 Order Regarding Confidential Information
AP-6647 Notice of Hearing Location
AP-6636 Order On Cross Motions for Summary Disposition
AP-6578 Scheduling Order
AP-6577 Protective Order
AP-6558 Order Scheduling Prehearing Conference
AP-6555 Order Designating Presiding Judge
33-10628
  • 34-85683
  • IA-5224
 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, an\
d Section 9(b) of the Investment Company Act of 1940, 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 Opposition to Respondent's Motion for Summary Disposition of Inability to Pay
Division of Enforcement's Reply Brief Supporting Summary Disposition on Civil
Penalties
Division of Enforcement's Reply to Respondents' Post-Hearing Brief
Respondent Rossi & SJL Capital LLC Post Hearing Brief
Division of Enforcement's Post-Hearing Brief (REDACTED) with letter to OS requesting brief filed on9/24/19 be removed from docket and placed under seal
Review and Scheduling Brief
Brief of The Division of Enforcement in Opposition to Petition for Review
Initial Decision
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, an\
d Section 9(b) of the Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order and Notice of Hearing
Order Designating Presiding Judge
Order Scheduling Prehearing Conference
Scheduling Order
Protective Order
Order On Cross Motions for Summary Disposition
Notice of Hearing Location
Order Regarding Confidential Information
Order Scheduling Post-Hearing Conference
Post-Hearing Protective Order
Second Post-Hearing Protective Order
Order Granting Request for Protective Order
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 Granting Petition 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

Documents