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Name of Document:Letter dated 4/2/17 from Respondents' to ALJ, regarding the subject of the in camera review.
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Name of Document:Division's Memorandum of Law in Opposition to Respondents' Motion for a More Definite Statement
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Name of Document:Respondents' Motion for a More Definite Statement
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Name of Document:Respondents' Answer
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Name of Document:Letter dated 10/31/16 from Respondents to ALJ in response to Division's 10/21/16 letter to ALJ.
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Name of Document:Respondents' Motion to Quash or, in the Alternative, to Modify Subpoena, with Tabs A-B
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Name of Document:Non-Party Steven Mizel's Application to Quash or Modify Subpoena to Produce Documents
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Name of Document:Division's Response to Steven Mizel's Application to Quash or Modify Subpoena to
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Name of Document:Non-Parties Alan Mantell and Arthur Sinensky's Motion to Quash or Modify
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Name of Document:Respondents' Application to Quash or Modify Subpoena to Produce Documents
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Name of Document:Division's Expert Report of Professor Anthony J. Sebek
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Name of Document:Expert Report of Leon M. Metzger
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Name of Document:Expert Report of David X. Martin
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Name of Document:Letter dated 2/16/17 from Respondents to ALJ in response to Division's letter dated 2/16/17
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Name of Document:Letter Dated 2/16/17 from Division to ALJ Opposing Respondents' Request for Leave to File Motion for Summary Disposition
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Name of Document:Respondents' Motion in Limine to Exclude Testimony of Ian Guy
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Name of Document:Respondents' Pretrial Brief
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Name of Document:Division's Response to Respondents (I) Motion in Limine, (II) Objections to Exhibits,
and (Ill) Motion to Dismiss
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Name of Document:Division's Memorandum of Law in Support of Omnibus Motion in Limine to Preclude Certain Testimonial and Documentary Evidence
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Name of Document:Respondents' Motion for Protective Order
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Name of Document:Respondents' Opposition to Division's Omnibus Motion in Limine
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Name of Document:Letter dated 3/17 /17 from Division to ALJ in response to Respondents' 3/16/17 letter regarding privilege.
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Name of Document:Letter dated 3/18/17 from Division to ALJ in response to Respondents' letter of 3/17/17 regarding alleged Brady violation.
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Name of Document:Letter dated 3/17 /17 from Respondents to ALJ seeking emergency relief regarding Division's obligation under Brady.
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Name of Document:Division's Prehearing Brief
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Name of Document:Respondents' Motion to Dismiss Unconstitutional Proceeding
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Name of Document:Letter dated May 12, 2017 from Respondents to ALJ in response to Divisions letter of May 5, 2017
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Name of Document:Division's Post Hearing Brief
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Name of Document:Division's Proposed Findings of Fact
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Name of Document:Respondents' Amended Proposed Findings of Facts
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Name of Document:Respondents' Proposed Findings of Fact
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Name of Document:Division's Reponse to Respondent's Proposed Findings of Fact
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Name of Document:Division's Reply Posthearing Brief
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Name of Document:Letter dated 9/1/17 from Respondents to ALJ Regarding Paragraph 8 of the Court's
May 2, 2107 Post-Hearing Order
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Name of Document:Letter dated 5/5/17 from Division to ALJ to set forth the record evidence regarding
Flagship Funds
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Name of Document:Letter dated 12/04/17 from Respondents to ALJ Regarding their Constitutional Objections to Administrative Proceeding
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Name of Document:Letter dated 12/6/17 from Division to ALJ in Response to Respondents' Constitutional Objections to this Administrative Proceedings
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Name of Document:Letter Dated 1 /5/18 from Division to ALJ Requesting that He Ratify All Prior Actions Made in this Proceeding, with Proposed Order
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Name of Document:Respondents' Response to Commission's November 30, 2017 Order
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Name of Document:Letter Dated 1/12/18 from Division to ALJ in Response to Respondents' 1/5/18 Submission
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Name of Document:Letter Dated 1 /19/18 from Respondent to ALJ in Response to the Division's 1 /5/18 and 1/12/18 Submission
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Name of Document:Letter Dated 2/5/18 from Respondents to ALJ in Response to the Court's Request
that Parties Address the ALJ's Dismissal of an Agency's Proceeding
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Name of Document:Letter Dated 2/12/18 from Division to ALJ in Response to the Respondents' Request for the ALJ's Dismissal of the Agency's Administrative Proceedings
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Name of Document:Respondent's Disgorgement Brief
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Name of Document:Division's Motion for Summary Disposition
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Name of Document:Division's Response to Supplemental Brief Regarding Disgorgement
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Name of Document:Respondents' Disgorgement Reply Brief
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Name of Document:Parties' Joint Agreement on Alternative Procedures
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Name of Document:id1260jsp.pdf
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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, Section 21C of the Securities Exchange Act of 1934, Sections 203(e) and 203(f) 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:Notice that Initial Decision has become Final
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Name of Document:Initial Decision Appendix
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Name of Document: Administrative Summary
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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:Prehearing Order
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Name of Document:Scheduling Order
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Name of Document:Order
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Name of Document:Order
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Name of Document:Order Redesignating Presiding Judge
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Name of Document:Order On Motion to Preclude Reliance Defense
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Name of Document:Order Following Prehearing Conference
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Name of Document:Post-Hearing Order
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Name of Document:Order Granting Stipulated Transcript Corrections
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Name of Document:Protective Order
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Name of Document:Order Granting Respondents' Rule 250(d) Motion On Valuation Allegations
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Name of Document:Notice to the Parties and Order Allowing New Evidence
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Name of Document:Order Extending Deadline for Decision On Ratification
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Name of Document:Order On Ratification
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Name of Document:Motion to Commission for Extension of Time to File Initial Decision
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Name of Document:Order Directing Supplemental Briefing
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Name of Document:Order Regarding Lucia V. SEC
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Name of Document:Notice of Stay
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Name of Document:Notice of Extension of Stay
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Name of Document:Notice from the Chief Administrative Law Judge
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Name of Document:Chief Administrative Law Judge's Order Assigning Proceedings Post Lucia v. SEC
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Name of Document:Order Following Reassignment
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