Release Date: Nov. 18, 2013
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Name of Document: Respondent Feldman's Answer
Release Date: Nov. 18, 2013
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Name of Document: Respondent Guzzetti's Answer
Release Date: Nov. 18, 2013
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Name of Document: Respondent Chiappone's Answer and Affirmative Defenses
Release Date: Nov. 18, 2013
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Name of Document: Respondent Rogers' Answer
Release Date: Nov. 18, 2013
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Name of Document: Respondent Mayer's Answer
Release Date: Nov. 18, 2013
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Name of Document: Respondent Rabinovich's Answer
Release Date: Nov. 18, 2013
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Name of Document: Respondent Lex's Answer and Affirmative Defenses
Release Date: Nov. 19, 2013
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Name of Document: Respondent Gamello's Answer and Affirmative Defenses
Release Date: Jan. 13, 2014
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Name of Document: Respondent Lex's Motion for Leave to File Motion for Summary Disposition
Release Date: Jan. 14, 2014
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Name of Document: Respondents Rabinovich, Mayer and Rogers Joinder in Respondent Lex's Motion for Leave to File Motion for Summary Disposition
Release Date: Jan. 15, 2014
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Name of Document: Respondent Chiappone's Joinder in the Motion of Respondent Lex for Leave to File Motion for Summary Disposition
Release Date: Jan. 17, 2014
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Name of Document: Respondent Chiappone's Prehearing Brief
Release Date: Jan. 17, 2014
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Name of Document: Respondent Livingston's Prehearing Brief
Release Date: Jan. 22, 2014
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Name of Document: Division's Prehearing Brief
Release Date: Jan. 22, 2014
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Name of Document: Respondents Rabinovich, Mayer and Rogers' Joint Prehearing Brief
Release Date: Jan. 22, 2014
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Name of Document: Respondent Lex's Prehearing Brief
Release Date: Jan. 22, 2014
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Name of Document: Respondent Guzzetti's Prehearing Brief
Release Date: Jan. 24, 2014
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Name of Document: Respondent Andrew G. Guzzetti's Motion for Leave to File Summary Disposition Motion
Release Date: April 10, 2014
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Name of Document: Division's Post Hearing Brief
Release Date: May 13, 2014
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Name of Document: Respondents Rabinovich, Mayer, and Rogers' Joint Post Hearing Brief
Release Date: May 13, 2014
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Name of Document: Respondent Lex's Proposed Findings of Fact and Conclusions of Law
Release Date: May 13, 2014
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Name of Document: Respondent Gamello's Post Hearing Brief
Release Date: May 13, 2014
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Name of Document: Respondent Chiappone's Proposed Findings of Fact and Conclusions of Law
Release Date: May 13, 2014
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Name of Document: Respondent Livingston's Proposed Findings of Fact and Conclusions of Law
Release Date: May 13, 2014
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Name of Document: Respondent Guzzetti's Proposed Findings of Fact and Conclusions of Law
Release Date: May 16, 2014
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Name of Document: Ltr of 5/15 to CALJ Murray from Counsel for Resp Guzzetti as Supp to Post Hearing Brief to Join Ltr Arg by Counsel for Resps Livingston, Lex, Rabinovich, Rogers& Mayer That Maintains 28 U.S.C. 2462 Barred Proceeding & There Is No Subject Matter Jurisd
Release Date: May 16, 2014
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Name of Document: Letter of 5/15 to CALJ from Counsel for Resp Chiappone as Supp to Posthrg Brief; Ltr Claims 5/12 Final Order of Dism Requires Dism of Proceeding W/Prejudice as Barred Under 28 U.S.C. 2462 for Lack of Subject Matter Jurisd
Release Date: May 19, 2014
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Name of Document: Letter of 5/14/14 to CALJ Murray from Counsel for Respondent Lex Alerting Her to a New Decision, SEC V. Barry J Graham, et al., from the U.S.D.C. for the S.D. of Fla.and Stating This Proceeding Should Be Dismissed in Its Entirety
Release Date: June 13, 2014
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Name of Document: Divison's Post-Hearing Reply Brief
Release Date: March 3, 2015
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Name of Document: Respondent Chiappone's Notice of Motions to Correct Manifest Error of Fact and to Submit Additional Evidence
Release Date: March 3, 2015
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Name of Document: Respondent Chiappone's Affidavit Supporting Motion to Correct Manifest Error of Fact and to Submit Additional Evidence
Release Date: March 3, 2015
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Name of Document: Roland M. Cavalier's Affidavit Supporting Motion to Correct Manifest Error of Fact and to Submit Additional Evidence
Release Date: March 6, 2015
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Name of Document: Respondents Rabinovich and Mayer's Motion to Correct Manifest Error of Fact to Correct the Initial Decision
Release Date: March 6, 2015
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Name of Document: Respondent Livingston's Motion to Correct Manifest Error of Fact to Correct the Initial Decision
Release Date: March 6, 2015
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Name of Document: Respondent Lex's Motion to Correct Manifest Error of Fact to Correct the Initial Decision
Release Date: March 11, 2015
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Name of Document: Letter of 3/9/15 to CALJ Murray from Division Requesting a Brief Extension of Time to Respond to the Several Motions for to Correct Manifest Error of Facts
Release Date: March 23, 2015
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Name of Document: Division's Memorandum of Law in Opposition to Respondents' Motions to Correct the Initial Decision
Release Date: March 23, 2015
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Name of Document: Respondent Guzzetti's Motion to Extend Time to File Motion to Correct Manifest Error of Fact to Correct the Initial Decision and Motion to Correct the Initial Decision
Release Date: March 24, 2015
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Name of Document: Letter of 3/23/15 to CALJ Murray from Division Opposing Respondent Guzzetti's Request for Additional Time to File His Motion to Correct the Id & If It Is Accepted Requests a Briefing Schedule That Permits the Div 5 Business Days to Respond
Release Date: March 25, 2015
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Name of Document: Respondent Livingston's Reply in Support of Manifest Errors of Fact
Release Date: March 25, 2015
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Name of Document: Respondent Lex's Reply in Support of Manifest Errors of Fact
Release Date: March 25, 2015
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Name of Document: Respondent Chiappone's Reply Brief in Support of Motion to Correct Manifest Errors of Fact
Release Date: March 26, 2015
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Name of Document: Respondents Rabinovich and Mayer's Reply Memorandum in Further Support of Their Motion to Correct Manifest Error of Fact to Correct the Initial Decision
Release Date: March 30, 2015
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Name of Document: Division's Response to Respondent Guzzetti's Motion to Correct a Manifest Error of Fact of the Initial Decision
Release Date: April 8, 2015
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Name of Document: Respondent Guzzetti's Reply in Support of His Motion to Correct a Manifest Error of Fact of the Initial Decision
Release Date: July 20, 2015
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Name of Document: Respondent Livingston's Brief in Support of Petition for Review
Release Date: July 20, 2015
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Name of Document: Respondent Livingston's Motion for Oral Argument
Release Date: July 20, 2015
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Name of Document: Respondent Rabinovich's Brief in Support of Petition for Review
Release Date: Oct. 1, 2015
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Name of Document: Division's Brief in Response to Respondents' Joint Brief
Release Date: Oct. 1, 2015
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Name of Document: Division's Brief in Response to Respondents' Individual Briefs
Release Date: July 17, 2015
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Name of Document: Respondent Frank H. Chiappone's Motion for Oral Argument
Release Date: July 20, 2015
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Name of Document: Respondent Guzzetti's Brief in Support of Petition for Review
Release Date: July 20, 2015
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Name of Document: Respondent Guzzetti's Motion For Oral Argument
Release Date: July 20, 2015
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Name of Document: Respondents Chiappone, Guzzetti, Lex, Livingston, Mayer and Rabinovich's Joint Brief Addressing Certain Legal Issues in Accordance with the Commission's Order
Release Date: July 20, 2015
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Name of Document: Respondent Mayer's Brief in Support of Petition for Review
Release Date: July 20, 2015
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Name of Document: Respondents Rabinovich and Mayer's Motion for Oral Argument
Release Date: July 20, 2015
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Name of Document: Respondent Chiappone's Motion for Oral Argument
Release Date: July 20, 2015
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Name of Document: Respondent Lex's Brief in Support of Petition for Review
Release Date: July 20, 2015
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Name of Document: Respondent Lex's Motion for Oral Argument
Release Date: Oct. 28, 2015
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Name of Document: Respondent Livingston's Individual Reply Brief
Release Date: Oct. 28, 2015
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Name of Document: Respondent Lex's Individual Reply Brief
Release Date: Oct. 28, 2015
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Name of Document: Respondents' Joint Reply Brief Addressing Certain Legal Issues in Accordance with the Commission's Order
Release Date: Oct. 27, 2015
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Name of Document: Respondent Chiappone's Individual Reply Brief in Accordance with the Commission's Order
Release Date: Oct. 28, 2015
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Name of Document: Respondent Rabinovich's Individual Reply Brief
Release Date: Oct. 28, 2015
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Name of Document: Respondent Mayer's Individual Reply Brief
Release Date: July 17, 2015
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Name of Document: Respondent Chiappone's Individual Brief with Attachments, Affidavits and Financial Disclosure
Release Date: Oct. 28, 2015
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Name of Document: Respondent Guzzetti's Individual Reply Brief
Release Date: Feb. 16, 2016
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Name of Document: Letter dated 2/10/16 to OS & Division Counsel re Request that the Commission Exercise its Authority to Adjust the Disgorgement Amount and Any Corresponding PJI That is a Part of the Commission's 4/3/14 Order Against Him
Release Date: July 10, 2017
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Name of Document: Letter Dated 07/10/2017 from Respondent Rabinovich and Mayer's Counsel Regarding
Release Date: July 18, 2017
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Name of Document: Letter Dated 7/17/17 re Recent Legal Developments Affecting the Initial Decision
Release Date: Aug. 7, 2017
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Name of Document: Letter Dated 8/7/17 from Division to Secretary Fields in Response to Letters Dated 7/10/17 and 7/10/17 Respondents Chiappone, Rabinovich and Mayer's Counsels
Release Date: Aug. 9, 2017
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Name of Document: Letter Dated 8/9/17 from Counsel for Rabinovich and Mayer to Secretary Fields in Response to Division of Enforcement's Letter
Release Date: Aug. 10, 2017
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Name of Document: Letter Dated 8/10/17 from Counsel for Chiappone to Secretary Fields in Response to Division's 8/7/17 Letter
Release Date: Jan. 19, 2018
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Name of Document: Letter Dated 1/19/18 from Counsel for Respondent Livingston Re Objections to 11/30/17 ALJ Ratification Order
Release Date: Jan. 19, 2018
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Name of Document: Letter Dated 1/18/18 from Counsel for Respondent Chiappone in Response to Order Regarding Appointment of ALJs
Release Date: Jan. 19, 2018
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Name of Document: Letter Dated 1/18/18 from Counsel for Respondents Rabinovich and Mayer in Response to Order Regarding Appointment of ALJs
Release Date: Jan. 19, 2018
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Name of Document: Letter Dated 1/19/18 to CALJ Murray from Counsel for Andrew Guzzetti (Michael D.
Release Date: Jan. 22, 2018
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Name of Document: Letter Dated 1/19/18 from the Division to CALJ Murray Requesting Ratification of All
Release Date: Jan. 31, 2018
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Name of Document: previous decisions including the ID in this proceeding, with proposed Order.
Release Date: Feb. 14, 2018
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Name of Document: Clarification letter dated 2/13/18 from counsel for Rabinovich and Mayer to raise arguments to the Division's January 30 letter
Release Date: Feb. 14, 2018
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Name of Document: Clarification letter dated 2/13/18 from Roland Cavalier counsel to Frank Chiappone
Release Date: April 24, 2018
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Name of Document: Respondent Chiappone's Petition for Review
Release Date: April 20, 2018
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Name of Document: Respondent Thomas Livingston's Petition for Review of Initial Decision as Amended by the March 30, 2018 Order Revising and Ratifying Prior Action
Release Date: May 21, 2018
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Name of Document: Respondent Thomas Livingston's Supplemental Brief to the Commission
Release Date: May 21, 2018
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Name of Document: Respondent William F. Lex's Brief in Support of Petition for Review of Initial Decision
Release Date: May 21, 2018
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Name of Document: Andrew G. Guzzetti's Supplemental Brief Regarding the Law Judge's Order Revising
Release Date: May 21, 2018
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Name of Document: Division's Supplemental Brief
Release Date: June 4, 2018
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Name of Document: Division's Supplemental Reply Brief
Release Date: June 14, 2018
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Name of Document: Commission of the Initial Decision ALJ and with Chiappone's individual Sur-Reply
Release Date: June 15, 2018
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Name of Document: Individual Amended Sur-Reply Brief to The Commissioners of The SEC, on Behalf of
Release Date: June 15, 2018
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Name of Document: Andrew Guzzetti's Supplemental Reply Brief Regarding the Law Judge's Order
Release Date: June 18, 2018
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Name of Document: Respondent William Lex's Sur Reply to Division of Enforcement's Supplemental
Release Date: June 15, 2018
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Name of Document: Philip Rabinovich's and Brian Mayer's Supplemental Reply Brief Regarding the Law
Release Date: June 21, 2018
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Name of Document: Ltr. dated 6/21 /18 fr. Rabinovich and Mayer's regarding the impact of the Supreme Ct. decision in Lucia
Release Date: June 22, 2018
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Name of Document: Ltr. dated 6/22/18 fr. Chiappone's counsel regarding the impact of the Supreme Ct
Release Date: June 25, 2018
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Name of Document: Letter dated 6/21/18 from Matthew G. Nielsen (counsel for Thomas Livingston) re
Release Date: June 25, 2018
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Name of Document: Letter dated 6/22/18 from Gilbert B. Abramson (counsel for William F. Lex) advocating dismissal of the Chiappone proceeding in light of the Lucia S. Ct. decision
Release Date: June 27, 2018
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Name of Document: Letter dated 6/27/18 from Michael D. Handelsman (counsel for Andrew Guzzetti) advocating dissmissal of the Chiappone proceeding in light of the Lucia S. Ct. decision
Release Date: April 16, 2018
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Name of Document: Respondents Rabinovich's and Mayer's Respective Petitions for Review of the Initial
Release Date: May 21, 2018
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Name of Document: Philip S. Rabinovich's Supplemental Brief Regarding the Law Judge's 2018 Decision
Release Date: May 21, 2018
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Name of Document: Brian T. Mayer's Supplemental Brief Regarding the Law Judge's 2018 Decision
Release Date: Feb. 25, 2015
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Name of Document: Initial Decision
Release Date: Sept. 23, 2013
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Name of Document: 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, Section 203(f) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940 and Notice of Hearing
Release Date: June 17, 2015
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Name of Document: Notice That Initial Decision Has Become Final
Release Date: April 3, 2014
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Name of Document: Order Making Findings and 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 Section 9(b) of the Investment Company Act of 1940 as to Richard D. Feldmann
Release Date: July 28, 2015
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Name of Document: Order Granting Extensions and Clarifying Prior Orders
Release Date: Dec. 21, 2018
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Name of Document: Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Section 8A of the Securities Act of 1933 and Sections 15(b) and 21C of the Securities Exchange Act of 1934
Release Date: Sept. 24, 2013
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Name of Document: Order Scheduling Hearing and Designating Presiding Judge
Release Date: Oct. 9, 2013
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Name of Document: Order Converting Scheduled Hearing to Prehearing Conference and Extending Time to Answer Order Instituting Proceedings
Release Date: Oct. 28, 2013
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Name of Document: Order Setting Prehearing Schedule
Release Date: Oct. 30, 2013
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Name of Document: General Prehearing Order
Release Date: Nov. 13, 2013
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Name of Document: Order
Release Date: Nov. 19, 2013
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Name of Document: Scheduling Order
Release Date: Nov. 21, 2013
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Name of Document: Order Canceling Settlement Conferences
Release Date: Nov. 22, 2013
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Name of Document: Order Redesignating Presiding Judge
Release Date: Dec. 4, 2013
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Name of Document: Order Finding Donald J. Anthony, Jr., in Default, Providing Hearing Location, and Setting Prehearing Conference for Parties Requesting a Settlement Conference
Release Date: Dec. 12, 2013
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Name of Document: Order On Motions for a More Definite Statement
Release Date: Jan. 3, 2014
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Name of Document: Order Modifying Procedural Schedule
Release Date: Jan. 9, 2014
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Name of Document: Order
Release Date: Jan. 15, 2014
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Name of Document: Order On Several Motions
Release Date: March 18, 2014
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Name of Document: Order Admitting Exhibits Offered by the Division of Enforcement
Release Date: April 7, 2014
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Name of Document: Order Extending Briefing Dates
Release Date: April 29, 2014
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Name of Document: Order Extending Briefing Dates
Release Date: July 16, 2014
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Name of Document: Motion to Commission for Extension
Release Date: Dec. 15, 2014
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Name of Document: Motion for Second Extension
Release Date: Dec. 19, 2014
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Name of Document: Order On Exhibits
Release Date: March 10, 2015
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Name of Document: Order On Extension
Release Date: March 23, 2015
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Name of Document: Order On Post Initial Decision Motions
Release Date: April 9, 2015
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Name of Document: Order On Motions to Correct Manifest Errors of Fact in the Initial Decision
Release Date: Dec. 15, 2017
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Name of Document: Order Regarding the Securities and Exchange Commission's Order On Pending Administrative Proceedings
Release Date: Jan. 2, 2018
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Name of Document: Order Granting Motion for Extension
Release Date: Feb. 15, 2018
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Name of Document: Order Extending Date for Determination
Release Date: March 30, 2018
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Name of Document: Order Revising and Ratifying Prior Actions
Release Date: Aug. 23, 2018
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Name of Document: Notice from the Chief Administrative Law Judge
Release Date: Sept. 12, 2018
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Name of Document: Chief Administrative Law Judge's Order Assigning Proceedings Post Lucia v. SEC
Release Date: Oct. 1, 2018
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Name of Document: Order
Release Date: Nov. 16, 2018
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Name of Document: Stay Order
Release Date: Feb. 26, 2016
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Name of Document: Order Scheduling Briefs
Release Date: May 10, 2016
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Name of Document: Order Denying Request to Reduce Agreed Disgorgement Amount
Release Date: June 30, 2017
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Name of Document: Order Scheduling Oral Argument
Release Date: April 20, 2018
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Name of Document: Supplemental Briefing Order
Release Date: May 31, 2018
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Name of Document: Order Granting Requests to File Supplemental Response Brief of 6,000 Words and to File Reply Briefs to Supplemental Response Brief
Release Date: Aug. 7, 2014
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Name of Document: Order Granting Extension
Release Date: Jan. 26, 2015
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Name of Document: Order Granting Second Motion for Extension
Release Date: May 21, 2015
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Name of Document: Order Granting Petitions for Review and Scheduling Briefs
Release Date: June 5, 2015
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Name of Document: Extension and Word Limit Order
Release Date: Sept. 22, 2015
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Name of Document: Order Granting Extension
