Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order

2020-10-08 3-15211 Lorenzo, Gregg C. Lorenzo, Francis V. Charles Vista, LLC /litigation/apdocuments/ap-3-15211.xml 2013-11-20 33-9480 34-70904 Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order /litigation/admin/2013/33-9480.pdf 2013-09-03 AP-831 Stay Order /alj/aljorders/2013/ap-831.pdf 2013-09-06 AP-849 Prehearing Order /alj/aljorders/2013/ap-849.pdf 2013-12-31 ID-544 Initial Decision /alj/aljdec/2013/id544cff.pdf 2013-02-15 33-9385 34-68943 Order Instituting Administrative and Cease-and-Desist Proceedings and Notice of Hearing /litigation/admin/2013/33-9385.pdf 2013-03-22 33-9385 34-68943 Resp G Lorenzo's Answer /litigation/apdocuments/3-15211-event-6.pdf 2013-03-22 33-9385 34-68943 Resp Charles Vista's Answer /litigation/apdocuments/3-15211-event-7.pdf 2013-08-13 33-9385 34-68943 Resps. Gregg C. Lorenzo and Charles Vista, LLC's Pre-Hearing Brief /litigation/apdocuments/3-15211-event-13.pdf 2013-08-13 Division's Prehearing Brief /litigation/apdocuments/3-15211-event-16.pdf 2013-10-30 Division's Proposed Findings of Fact and Conclusions of Law /litigation/apdocuments/3-15211-event-30.pdf 2013-11-26 Francis V. Lorenzo's Proposed Findings of Fact and Conclusions of Law /litigation/apdocuments/3-15211-event-37.pdf 2014-02-20 34-71584 Order Granting Petitions for Review and Scheduling Briefs /litigation/opinions/2014/34-71584.pdf 2014-01-27 Francis V. Lorenzo's Petition for Review of Initial Decision /litigation/apdocuments/3-15211-event-39.pdf 2014-02-04 Division's Cross Petition for Review of Initial Decision /litigation/apdocuments/3-15211-event-40.pdf 2014-02-18 Resp. Frank V. Lorenzo's Response to Division's Cross Petition for Review of Initial Decision /litigation/apdocuments/3-15211-event-41.pdf 2014-03-24 Brief in Support of Petition for Review of Respondent Francis V. Lorenzo /litigation/apdocuments/3-15211-event-44.pdf 2014-04-22 Division's Memorandum of Law in Opposition to Respondent Francis V. Lorenzo's Appeal, and in Support of the Division's Cross-Appeal, from Initial Decision Release No. 544 /litigation/apdocuments/3-15211-event-46.pdf 2014-05-07 Reply Brief in Support of Petition for Review of Respondent Francis V. Lorenzo and in Opposition to the Division's Cross-Appeal /litigation/apdocuments/3-15211-event-47.pdf 2014-08-15 34-72856 Order Appointing Tax Administrator /litigation/admin/2014/34-72856.pdf 2015-01-16 Respondent Frank Lorenzo's Notice of Supplemental Authority /litigation/apdocuments/3-15211-event-51.pdf 2015-01-21 Division's Response to Respondent Frank Lorenzo's Notice of Supplemental Authority /litigation/apdocuments/3-15211-event-52.pdf 2015-02-24 33-9732 34-74364 Order Scheduling Oral Argument /litigation/admin/2015/33-9732.pdf 2015-03-30 34-74607 Notice of Proposed Plan of Distribution and Opportunity for Comment /litigation/admin/2015/34-74607.pdf 2015-04-29 33-9762 34-74836 Cease-and-Desist Proceeding /litigation/opinions/2015/33-9762.pdf 2015-05-12 Motion for Reconsideration Submitted On Behalf of Respondent Francis V. Lorenzo /litigation/apdocuments/3-15211-event-57.pdf 2015-05-28 34-75059 Extension Order /litigation/admin/2015/34-75059.pdf 2015-06-03 33-9803 34-75103 Order Denying Lorenzo's Motion for Reconsideration /litigation/opinions/2015/33-9803.pdf 2016-01-05 34-76837 Notice of Amended Proposed Plan of Distribution and Opportunity for Comment /litigation/admin/2016/34-76837.pdf 2017-12-12 33-10447 34-82307 Order Scheduling Briefs /litigation/opinions/2017/33-10447.pdf 2018-01-11 Respondent Francis V. Lorenzo's Brief Regarding Sanctions /litigation/apdocuments/3-15211-event-64.pdf 2018-02-09 34-82677 Order Approving Amended Plan of Distribution /litigation/admin/2018/34-82677.pdf 2018-01-29 Division's Opposition to Respondent Lorenzo's Brief Regarding Sanctions, w/Ex. 1 /litigation/apdocuments/3-15211-event-65.pdf 2018-02-21 33-10460 34-82755 Order Denying Stay /litigation/opinions/2018/33-10460.pdf 2018-01-09 Division's Opposition to Respondent Francis V. Lorenzo's Motion to Stay the Commission's Order Scheduling Briefs /litigation/apdocuments/3-15211-event-63.pdf 2018-02-26 Respondent Lorenzo's Reply Brief Regarding Sanctions /litigation/apdocuments/3-15211-event-68.pdf 2018-06-25 34-83502 Order Directing Disbursement of Fair Fund /litigation/admin/2018/34-83502.pdf 2020-10-08 33-10872 34-90110 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 as to Respondent Francis V. Lorenzo /litigation/admin/2020/33-10872.pdf