2021-10-26
3-15124
Bandimere, David F.
Young, John O.
/litigation/apdocuments/ap-3-15124.xml
2013-11-22
33-9483
34-70932
Notice that Initial Decision Has Become Final
/alj/aljdec/2013/33-9483.pdf
2013-09-26
AP-920
Order
/alj/aljorders/2013/ap-920.pdf
2013-10-21
AP-975
Order
/alj/aljorders/2013/ap-975.pdf
2013-10-04
ID-506
Initial Decision
/alj/aljdec/2013/id506ce.pdf
2013-10-08
ID-507
Initial Decision
/alj/aljdec/2013/id507ce.pdf
2012-12-06
33-9372
34-68372
IA-3511
IC-30293
Order Instituting Administrative and Cease-and-Desist Proceedings and Notice of Hearing
/litigation/admin/2012/33-9372.pdf
2013-02-05
AP-746
Order on Motion to Quash Subpoena
/alj/aljorders/2013/ap746ce.pdf
2013-02-11
AP-749
Order on Motions for a More Definite Statement
/alj/aljorders/2013/ap749ce.pdf
2013-02-25
AP-752
Order
/alj/aljorders/2013/ap-752.pdf
2013-02-27
AP-753
Order on Motion for Certification for Interlocutory Review
/alj/aljorders/2013/ap-753.pdf
2013-03-12
AP-759
Order on Motion to Compel Production of Documents
/alj/aljorders/2013/ap-759.pdf
2014-01-16
33-9512
34-71333
Order Denying Motion for Summary Affirmance Granting Petition for Review, and Scheduling Briefs
/litigation/opinions/2014/33-9512.pdf
2013-01-04
Respondent Bandimere's Answer
/litigation/apdocuments/3-15124-event-7.pdf
2013-01-18
Respondent Young's Answer
/litigation/apdocuments/3-15124-event-14.pdf
2013-04-11
Division's Prehearing Brief
/litigation/apdocuments/3-15124-event-53.pdf
2013-04-15
Respondent Bandimere's Prehearing Brief
/litigation/apdocuments/3-15124-event-57.pdf
2013-06-14
Division's Post Hearing Brief as to Respondent Bandimere
/litigation/apdocuments/3-15124-event-83.pdf
2013-06-18
Respondent Bandimere's Post Hearing Brief
/litigation/apdocuments/3-15124-event-84.pdf
2013-07-08
Division's Response to Respondent Bandimere's Post-Hearing Brief
/litigation/apdocuments/3-15124-event-89.pdf
2013-07-12
Respondent Bandimere's Reply Brief to Division's Post Hearing Brief
/litigation/apdocuments/3-15124-event-90.pdf
2013-10-28
Petition for Review of Respondent David F. Bandimere
/litigation/apdocuments/3-15124-event-100.pdf
2013-11-15
Division's Motion for Summary Affirmance of Initial Decision
/litigation/apdocuments/3-15124-event-101.pdf
2013-11-22
Respondent David F. Bandimere's Opposition to Division's Motion for Summary Affirmance of Initial Decision
/litigation/apdocuments/3-15124-event-103.pdf
2014-02-18
33-9549
34-71564
IA-3780
IC-30920
Extension Order
/litigation/admin/2014/33-9549.pdf
2013-12-04
Division's Reply in Support of Motion for Summary Affirmance of Initial Decision (as to Respondent Bandimere)
/litigation/apdocuments/3-15124-event-105.pdf
2014-02-18
Respondent Bandimere's Brief in Support of Petition for Review
/litigation/apdocuments/3-15124-event-109.pdf
2014-03-21
Division's Brief in Opposition to Respondent Bandimere's Brief in Support of Petition for Revidew
/litigation/apdocuments/3-15124-event-110.pdf
2014-04-03
Respondent Bandimere's Reply Brief
/litigation/apdocuments/3-15124-event-115.pdf
2015-06-17
Division's Response to Respondent Bandimere's Motion for Submission of Additional Evidence
/litigation/apdocuments/3-15124-event-119.pdf
2015-06-19
Respondent Bandimere's Reply in Support of His Motion for Submission of Additional Evidence
/litigation/apdocuments/3-15124-event-120.pdf
2015-08-07
33-9883
34-75651
Order Granting Motion for Submission of Additional Evidence and Permitting Supplemental Briefing
/litigation/opinions/2015/33-9883.pdf
2015-08-25
Division's Response to Briefing Order On Appointments Clause Claim
/litigation/apdocuments/3-15124-event-124.pdf
2015-08-21
Respondent David F. Bandimere's Supplemental Brief in Support of His Appointments Clause Challenge
/litigation/apdocuments/3-15124-event-123.pdf
2015-10-29
33-9972
34-76308
Opinion of the Commission
/litigation/opinions/2015/33-9972.pdf
2018-08-23
AP-5954
Notice from the Chief Administrative Law Judge
/alj/aljorders/2018/ap-5954.pdf
2018-09-12
AP-5955
Chief Administrative Law Judge’s Order Assigning Proceedings Post Lucia v. SEC
/alj/aljorders/2018/ap-5955.pdf
2018-10-02
AP-6132
Order
/alj/aljorders/2018/ap-6132.pdf
2019-01-28
Respondent Bandimere's Motion for Ruling on the Pleadings, w/Ex. A
/litigation/apdocuments/3-15124-event-137.pdf
2019-01-28
Respondent Bandimere's Reply in Support of Motion for More Definite Statement
/litigation/apdocuments/3-15124-event-138.pdf
2019-02-13
Division's Opposition to Respondent Bandimere's Motion for Ruling on the Pleadings
/litigation/apdocuments/3-15124-event-144.pdf
2019-03-04
AP-6473
Order Redesignating Presiding Judge
/alj/aljorders/2019/ap-6473.pdf
2019-03-06
AP-6483
Order Scheduling Prehearing Conference
/alj/aljorders/2019/ap-6483.pdf
2019-03-15
AP-6497
Order Following Prehearing Conference
/alj/aljorders/2019/ap-6497.pdf
2019-03-15
AP-6500
Order Granting in Part Motion for More Definite Statement
/alj/aljorders/2019/ap-6500.pdf
2019-03-20
AP-6513
Order Granting Extension
/alj/aljorders/2019/ap-6513.pdf
2019-02-21
Respondent Bandimere's Reply in Support of Motion for Ruling on the Pleadings
/litigation/apdocuments/3-15124-event-145.pdf
2019-03-27
AP-6520
Order Certifying Ruling
for Interlocutory Review
/alj/aljorders/2019/ap-6520.pdf
2019-03-27
AP-6521
Order On Respondent's Motion for Judgment On the Pleadings
/alj/aljorders/2019/ap-6521.pdf
2019-03-27
AP-6524
Order Correcting Prehearing Conference Transcript
/alj/aljorders/2019/ap-6524.pdf
2019-04-02
AP-6535
Scheduling Order
/alj/aljorders/2019/ap-6535.pdf
2019-04-05
Respondent David F. Bandimere's Petition For Interlocutory Review Of Law Judge
Germ's Failure To Rule That This Proceedings Is Not Pending Before The
Commission And Should Be Dismissed; with order attached.
/litigation/apdocuments/3-15124-event-162.pdf
2019-03-26
Division's Response in Opposition to Respondent's Motion for Certification for
Interlocutory Review
/litigation/apdocuments/3-15124-event-155.pdf
2019-04-11
Division's Opposition to Respondent's Petition for Interlocutory Review
/litigation/apdocuments/3-15124-event-163.pdf
2019-04-17
Respondent David F. Bandimere's Reply in Support of Petition for Interlocutory
Review
/litigation/apdocuments/3-15124-event-164.pdf
2019-05-01
AP-6557
Order On Respondent's Motion to Strike
/alj/aljorders/2019/ap-6557.pdf
2019-05-08
AP-6568
Order Extending Time for Motion to Quash
/alj/aljorders/2019/ap-6568.pdf
2019-05-14
AP-6574
Order Concerning Division Production of Documents
/alj/aljorders/2019/ap-6574.pdf
2019-01-28
Division's Brief in Opposition to Respondent Bandimere's Motion for More Definite
Statement
/litigation/apdocuments/3-15124-event-141.pdf
2019-07-17
AP-6630
Notice of Hearing Location
/alj/aljorders/2019/ap-6630.pdf
2019-08-14
AP-6655
Order Denying Respondent's Motion for Sanctions
/alj/aljorders/2019/ap-6655.pdf
2019-08-15
AP-6656
Order Granting Extension
/alj/aljorders/2019/ap-6656.pdf
2019-08-22
AP-6658
Order Regarding Evidentiary Motions and Objections
/alj/aljorders/2019/ap-6658.pdf
2019-08-27
AP-6662
Order Following Final Prehearing Conference
/alj/aljorders/2019/ap-6662.pdf
2019-08-26
Division of Enforcement's Pre-Hearing Brief
/litigation/apdocuments/3-15124-event-201.pdf
2019-08-28
Respondent David F. Bandimere's Pre-Hearing Brief
/litigation/apdocuments/3-15124-event-202.pdf
2019-09-05
AP-6671
Stay Order
/alj/aljorders/2019/ap-6671.pdf
2019-07-26
Respondent's David F. Bandimere's Motion for Sanctions for Misconduct by the
Division of Enforcement
/litigation/apdocuments/3-15124-event-175.pdf
2019-11-22
33-10728
34-87605
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
/litigation/admin/2019/33-10728.pdf
2020-11-05
34-90349
Order Appointing Tax Administrator
/litigation/admin/2020/34-90349.pdf
2021-06-07
34-92124
Second Extension Order
/litigation/admin/2021/34-92124.pdf
2021-08-31
34-92825
Notice of Proposed Plan of Distribution and Opportunity for Comment
/litigation/admin/2021/34-92825.pdf
2021-10-26
34-93425
Order Approving Plan of Distribution
/litigation/admin/2021/34-93425.pdf