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Name of Document:Answer of Edgar R. Page and PageOne Financial, Inc.
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Name of Document:Division's Request the Issuance of Trial Subpoenas Ad Testificandum (ArenaJ, BurkeS, CookJ, JacksonR, MadiganH, MilkiewiczP, PageER, PetersonJ, QuinnT, TobiaR, Van BusKirkB, and XifarasM)
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Name of Document:Motion to Extend Hearing as Witness Is Unavailable Until February 18, 2015 or, in Alternative, Permit Witness to Be Deposed Prior to Hearing and to Have That Deposition Introduced as Evidence At the Hearing
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Name of Document:Witness List and Exhibit List of Edgar R. Page and Pageone Financial, Inc.
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Name of Document:Ltr of 12/20 to ALJ Patil from Resps Requesting the Issuance of Subpoenas (to Joseph Arena; Keith Axelrod; Bill Benson; Gordon D'angelo; Michael Del Giudice; Bryan Harrison; Frank Healy; Edgar Page; John Peterson; Ira Stier; Steven Thel; Michael Xifaras)
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Name of Document:Letter of 12/30/14 to ALJ Patil from Division Attorney Eric Schmidt Requesting the Issuance of a Trial Subpoena Ad Testificandum (to Robert Tobia)
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Name of Document:Respondents' Expert Report of Steve Thel
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Name of Document:Division's Expert Report of Arthur B. Laby
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Name of Document:Prehearing Brief of Edgar R. Page and Pageone Financial, Inc.
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Name of Document:Respondents' Supplemental Trial Exhibit List
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Name of Document:Respondents Rebuttal Expert Report of Steve Thel
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Name of Document:Respondents' Motion in Limine to Exclude Certain Testimony of Arthur B. Laby
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Name of Document:Division's Prehearing Brief
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Name of Document:Division's Motion and Memorandum of Law in Support of Its Motion in Limine No.1 to Preclude Respondents from Offering Evidence or Argument in Support of Their Defense That They Relied On Advice of Counsel and Other Experts
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Name of Document:Division's Motion and Memorandum of Law in Support of Its Motion in Limine No. 2 to Preclude Report or Testimony of Professor Steve Thel
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Name of Document:Division's Motion and Memorandum of Law in Support of Its Motion in Limine No.3 to Preclude Irrelevant Evidence of Transactions Not At Issue in This Case
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Name of Document:Division's Motion and Memorandum of Law in Support of Its Motion in Limine No.4 to Preclude Respondents from Offering Any Evidence_or Argument That Division Failed to Comply with Section 929U of Dodd-Frank
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Name of Document:Division's Objections to Respondents' Exhibits and Witnesses
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Name of Document:Rebuttal Report of Arthur B. Laby
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Name of Document:Division's List of Rebuttal Witnesses and Supplemental Exhibits
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Name of Document:Respondents' Memorandum in Opposition to the Division's Motion in Limine No. 2 to Preclude the Report or Testimony of Professor Thel
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Name of Document:Respondents' Offer of Proof in Opposition to the Division's Motion in Limine No. 3 to Preclude Irrelevant Evidence of Transcations Not At Issue in This Case
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Name of Document:Ltr of 1/15/15 to OS from MKLohman, Iseman, Cunningham, Riester & Hyde, LLP Regarding Respondent's Revised Trail Exhibit List Correcting Errors Contained in the Original Exhibit List Filed On 12/22/14
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Name of Document:Ltr of 1/23 to ALJ Patil from Counsel for Resps Stating Resps Shouldn't Be Precluded from Introducing Proof of Mere Engage & Involvement of Counsel B/C Evidence Is Relevant Not Prejudicial & Doesn't Put Any Privileged Commun or Substance of Legal Advice
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Name of Document:Respondents' Stipulation of Facts
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Name of Document:Ltr of 1/26/15 to ALJ from Div Re Court Requested Briefg as to Whether Resps Can Offer Evidence That Attys Were Present During the Negotia of United Group's Acquisition of PageOne to Show Resps' Good Faith, Mental State & Scienter, w/o Waiving Privilege
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Name of Document:Joint Motion to Stay Proceeding Pending Commission Consideration of Offer of Settlement.
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Name of Document:Respondents' Post-Remedies Hearing Brief
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Name of Document:Division's REDACTED Brief in Response to Respondents' Post Remedies Hearing
Brief
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Name of Document:Division's REDACTED Post Hearing Brief Seeking Relief Against Respondents
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Name of Document:Division's REDACTED Proposed Findings of Fact and Conclusions of Law
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Name of Document:Respondents' REDACTED Amended Proposed Findings of Fact and Conclusions
of Law
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Name of Document:Division's REDACTED Response to Respondents' Finding of Fact and Conclusions
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Name of Document:Respondents' REDACTED Post-Remedies Hearing Brief
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Name of Document:Memorandum of Law in Support of Petition for Review of Initial Decision of Respondents Edgar R. Page and PageOne Financial, Inc.
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Name of Document:Division's Memorandum of Law in Opposition to Respondents' Appeal and in Support of the Division's Cross-Appeal from Initial Decision No. 822
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Name of Document:Reply in Memorandum of Law in Further Support of Petition for Review of Initial Decision of Respondents and in Opposition to the Division's Cross-Appeal
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Name of Document:Respondents' Notice of Supplemental Developments
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Name of Document:Division's Opposition to Respondents' Notice of Supplemental Developements
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Name of Document:Respondents' Memorandum of Law in Support of Motion to Reconsider and Stay
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Name of Document:id822jsp.pdf
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Name of Document:Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 203(e), 203(f) and 203(k) of the Investment Advisers Act of 1940 and Section 9(b) of the Investment Company Act of 1940
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Name of Document:Order Making Findings, Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Sections 203(e), 203(f) and 203(k) of the Investment Advisers Act of 1940 and Section 9(b) of the Investment Company Act of 1940, and Ordering Continuation of Proceedings
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Name of Document:Order Scheduling Order Scheduling
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Name of Document:Order Scheduling Hearing and Designating Presiding Judge
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Name of Document:Postponement Order
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Name of Document:Order Redesignating Presiding Judge
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Name of Document:Order Setting Prehearing Schedule
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Name of Document:Order Amending OIP and Permitting Filing of Second Answer
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Name of Document:Notice of Hearing Location
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Name of Document:Order Granting in Part Respondents' Motion
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Name of Document:Order Regarding Peterson Testimony Date
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Name of Document:Order Regarding Respondents' Reliance On Advice Defenses
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Name of Document:Order On Motions in Limine
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Name of Document:Post-Final Prehearing Conference Order
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Name of Document:Order
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Name of Document:Stay Order
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Name of Document:Order Setting Hearing Date
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Name of Document:Order Setting Prehearing Schedule
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Name of Document:Order Denying Respondents' Request for Extensions and Setting Deadline for Prehearing Briefs
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Name of Document:Post-Hearing Order
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Name of Document:Order Setting Response Deadlines
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Name of Document:Order Closing Hearing Record
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Name of Document:Corrected Order Setting Prehearing Conference
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Name of Document:Order Granting Motion to Correct Transcript
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Name of Document:Order Temporarily Sealing Filings
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Name of Document:Order Granting Respondents' Request to Amend Filing
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Name of Document:Order Sealing Certain Unredacted Filings and Striking One Filing
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Name of Document:Order Granting Review and Scheduling Briefs
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Name of Document:Opinion of the Commission
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Name of Document:Order Denying Stay in Light of Pending Reconsideration Motion
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Name of Document:Order Denying Motion for Reconsideration
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