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Name of Document:Answer of Sands Brothers Asset Management, LLC, Steven Sands, Martin Sands, and Christopher Kelly
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Name of Document:Letter of 12/19/14 to ALJ Elliot from Div. Atty Nancy Brown Re: Failure to Reach Settlement with Res. Kelly and That 12/1/14 Stay Against Kelly Should Be Lifted
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Name of Document:Christopher Kelly's Motion for Summary Disposition and Memorandum of Points in Support Thereof.
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Name of Document:Division's Motion for Summary Disposition Aagainst Respondents Scmds Brothers Asset Management, LLC, Steven Sands, Martin Sands, and Christopher Kelly_ and Memorandum of Law in Support.
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Name of Document:Division's Declaration of Nancy A. Brown in Support of the Division's Motion for Summary Disposition with Exhibits 1-45.
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Name of Document:Letter of 1/21/15 to ALJ Elliot from Resps' Counsel, Martin H. Kaplan, Requesting Copy of Transcript for 12/2/14 Prehearing Conference
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Name of Document:Respondents Steven Sands and Martin Sands' Reply in Support of Their Motion for Extension of Time to Oppose Division's Motion for Summary Disposition.
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Name of Document:Notice of Withdrawal.
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Name of Document:Respondent Kelly's Opposition to the Division's Motion for Summary Disposition
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Name of Document:Declaration of Janna I. Berke in Support of the Division's Opposition to Respondent Kelly's Motion for Summary Disposition with Exhibits A-P.
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Name of Document:Declaration of Nancy A. Brown in Support of the Division's Opposition to Respondent Kelly's Motion for Summary Disposition with Exhibits 1-6.
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Name of Document:Division's Opposition to Respondent Kelly's Motion for Summary Disposition.
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Name of Document:Respondent Sands Brothers Asset Management, LLC's Opposition to the Division's Motion for Summary Disposition.
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Name of Document:Respondent Kelly's Reply to Division's Opposition to Kelly's Motion for Summary Disposition with Attachments I and II.
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Name of Document:Division's Reply Memorandum of Law in Further Support of Its Motion for Summary Disposition Against Respondents
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Name of Document:Declaration of Janna I. Berke in Support of the Division's Reply Memorandum of Law with Exhibits 1 and 2
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Name of Document:Kaplan's Response to the ALJ's Order to Show Cause
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Name of Document:Affirmation of Martin H. Kaplan in Support of Submission On Order to Show Cause Relating to Disqualification of Martin H. Kapolan & Gusrae Klaplan Nusbaum, PLLC
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Name of Document:Division's Submission in Response to the Court's 2/25/15 Order to Show Cause
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Name of Document:Declaration of Nancy A. Brown in Support of Division's Response to the Court's Order to Show Cause
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Name of Document:Respondent Christopher Kelly's Reply to Kaplan's Response to the ALJ's Order to Show Cause (Kaplan's Response)
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Name of Document:Respondent Sands Brothers Asset Management, LLC's Reply Memorandum of Law in Further Support of Kaplan's Response to the ALJ's Order to Show Cause
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Name of Document:Sand Brothers Asset Management, LLC's Request for Certification of Ruling for Interlocutory Review and to Stay the Proceedings
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Name of Document:Respondents Steven Sands and Martin Sands' Memorandum in Support of Sands Brothers Asset Management, LLC's Requests for Certification and to Stay the Proceedings, Or, in the Altnerative, Motion for Clarification
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Name of Document:Division's Opposition to SBAM's Request for Certification and Stay of Proceedings
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Name of Document:Respondent's Request for the Commission to Grant Interlocutory Review and to Stay the Proceedings
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Name of Document:Division's Motion for Leave to File an Opposition to the Request of Sands Brothers Asset Management, LLC for Interlocutory Review and Opposition to Respondent's Motion for a Stay of Proceedings
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Name of Document:Respondents Steven Sands and Martin Sands' Response to Division's Motion for Leave to File an Opposition to the Request of Sands Brothers Asset Management, LLC for Interlocutory Review and Opposition to Respondent's Motion for a Stay of Proceedings
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Name of Document:Respondent Sands Brothers Asset Management, LLC's Motion to Stay, Postpone, or Adjourn the Proceeding
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Name of Document:Respondents Steven Sands and Martin Sands' Supplemental Brief in Opposition to the Division of Enforcement's Motion for Summary Disposition
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Name of Document:Kelly's Supplemental to Motion for Summary Disposition and Memorandum of Points in Support Thereof
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Name of Document:Respondent Sands Brothers Asset Management, LLC's Additional Brief in Response to the Division of Enforcement's Motion for Summary Disposition
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Name of Document:Letter of 9/15/15 to ALJ from Respondent Kelly Responding the The Letter of the Same Date Submitted to ALJ from Division Regarding Subpoenas
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Name of Document:Letter of 9/15/15 to ALJ from Division Regarding Respondent's Kelly's Request for Subpoenas
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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
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Name of Document:Order Making Findings and Imposing Remedial Sanctions and a Cease- And-Desist Order Pursuant to Sections 203(f) and 203(k) of the Investment Advisers Act of 1940 as to Christopher Kelly
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Name of Document:Order Making Findings and Imposing Penalties, 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 Against Sands Brothers Asset Management, LLC, Steven Sands and Martin Sands
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Name of Document:Order Scheduling Hearing and Designating Presiding Judge
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Name of Document:Order Postponing Hearing and Scheduling Prehearing Conference
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Name of Document:Order Staying Proceeding as to Christopher Kelly
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Name of Document:Order Following Prehearing Conference
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Name of Document:Order
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Name of Document:Clarification Order
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Name of Document:Order
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Name of Document:Order to Show Cause
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Name of Document:Disqualification Order
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Name of Document:Order Denying Certification of Ruling for Interlocutory Review
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Name of Document:Order Scheduling Prehearing Conference
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Name of Document:Order Following Second Prehearing Conference
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Name of Document:Motion to the Commission for Extension
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Name of Document:Order
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Name of Document:Order Directing Conference On Procedural Schedule
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Name of Document:Order On Motions for Summary Disposition
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Name of Document:Order On Procedural Schedule
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Name of Document:Order On Subpoena Request
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Name of Document:Order On Procedural Schedule (Expert Reports) and Notice of Hearing Location
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Name of Document:Order Denying Motion for Certification of Ruling for Interlocutory Appeal and to Stay or Postpone Proceedings
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Name of Document:Order On Christopher Kelly's Letter Regarding Subpoenas
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Name of Document:Stay Order
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Name of Document:Order Denying Interlocutory Review
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Name of Document:Order Denying Petition for Interlocutory Review
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Name of Document:Order Granting Extension
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