2023-03-30
3-15255
John Thomas Capital Management Group LLC, d/b/a Patriot28 LLC
Jarkesy, George R., Jr.
John Thomas Financial, Inc.
Belesis, Anastasios "Tommy"
/litigation/apdocuments/ap-3-15255.xml
2023-03-20
/litigation/apdocuments/3-15255-docket-2023-03-20.pdf
2013-11-13
33-9478
34-70869
IA-3716
IC-30784
Order Granting Interim Stay
/litigation/opinions/2013/33-9478.pdf
2013-11-15
33-9479
34-70891
IA-3717
IC-30788
Extension Order
/litigation/opinions/2013/33-9479.pdf
2013-12-06
33-9492
34-71021
IA-3733
IC-30820
Order Denying Petition for Interlocutory Review
/litigation/opinions/2013/33-9492.pdf
2013-11-08
34-70841
Order Directing Additional Briefing on Petition for Interlocutory Review
/litigation/opinions/2013/34-70841.pdf
2013-12-05
34-70989
IA-3732
IC-30818
Order Making Findings, Imposing Remedial Sanctions and a Cease-and-Desist Order, Pursuant To Sections 21C, 15(b)(4) and 15(b)(6) of the Securities Exchange Act of 1934, Section 203(k) of the Investment Advisers Act of 1940, And Section 9(B) of the Investment Company Act of 1940 as to John Thomas Financial, Inc. and Anastasios “Tommy” Belesis
/litigation/admin/2013/34-70989.pdf
2013-08-30
AP-826
Order
/alj/aljorders/2013/ap-826.pdf
2013-09-10
AP-857
Order
/alj/aljorders/2013/ap-857.pdf
2013-09-11
AP-862
Order
/alj/aljorders/2013/ap-862.pdf
2013-10-16
AP-964
Order
/alj/aljorders/2013/ap-964.pdf
2013-10-24
AP-992
Order
/alj/aljorders/2013/ap-992.pdf
2013-10-25
AP-998
Order
/alj/aljorders/2013/ap-998.pdf
2013-11-12
AP-1035
Order
/alj/aljorders/2013/ap-1035.pdf
2013-11-15
AP-1040
Order
/alj/aljorders/2013/ap-1040.pdf
2013-12-30
33-9507
34-71204
IA-3749
IC-30851
Order Extending Deadline for Filing Initial Decision
/litigation/opinions/2013/33-9507.pdf
2013-03-22
33-9396
34-69208
IA-3571
IC-30435
Order Instituting Administrative and Cease-and-Desist Proceedings, and Notice of Hearing
/litigation/admin/2013/33-9396.pdf
2014-01-06
AP-1148
Order
/alj/aljorders/2014/ap-1148.pdf
2013-04-30
Resps John Thomas Financial and Belesis' Answer and Affirmative Defenses
/litigation/apdocuments/3-15255-event-5.pdf
2013-07-03
Answer and Affirmative Defenses of Respondents John Thomas Capital Management LLC d/b/a Patriot28 LLC and George R. Jarkesy, Jr
/litigation/apdocuments/3-15255-event-16.pdf
2013-10-04
Expert Reports
/litigation/apdocuments/3-15255-event-22.pdf
2013-10-11
Letter Dated 10/10/13 from Division to Alj Foelak Indicating Proposed Settlement with Respondents John Thomas Financial, Inc. and Anastasios "Tommy" Belesis and Making Request for Stay of 11/12/13 Scheduled Hearing
/litigation/apdocuments/3-15255-event-24.pdf
2013-10-28
Respondent's John Thomas Capital Mgmt, LLC d/b/a Patriot28 LLC's & George R. Jarkesy's Trial Brief
/litigation/apdocuments/3-15255-event-34.pdf
2013-10-29
Transcript of Telephonic Prehearing Conference Held On 10/24/13; pp 1-17
/litigation/apdocuments/3-15255-event-35.pdf
2013-10-30
Letter Dated 10/29/13 from Division Atty Todd Brady, NYRO-SEC Re Submission of Filings of Pre-Hearing Memorandum, Division's Exhibit List, and Division's Witness List
/litigation/apdocuments/3-15255-event-36.pdf
2013-11-26
Division's Supplemental Memorandum in Opposition to Respondent Jaresky's & John Thomas Capital Management LLC's Petition for Interlocutory Review, with Exhibits A-C
/litigation/apdocuments/3-15255-event-61.pdf
2014-01-14
AP-1170
Order Denying Certification for Interlocutory Review
/alj/aljorders/2014/ap-1170.pdf
2014-01-28
33-9519
34-71415
IA-3764
IC-30894
Order Denying Petition for Interlocutory Review
/litigation/opinions/2014/33-9519.pdf
2014-02-14
AP-1242
Order
/alj/aljorders/2014/ap-1242.pdf
2014-03-05
AP-1285
Order
/alj/aljorders/2014/ap-1285.pdf
2014-03-14
AP-1309
Motion Requesting Extension of Time to File Initial Decision
/alj/aljorders/2014/ap-1309.pdf
2014-03-21
AP-1332
Order
/alj/aljorders/2014/ap-1332.pdf
2014-04-11
AP-1372
Order
/alj/aljorders/2014/ap-1372.pdf
2014-04-28
AP-1401
Order
/alj/aljorders/2014/ap-1401.pdf
2014-04-08
Division's Post-Hearing Memorandum of Law
/litigation/apdocuments/3-15255-event-120.pdf
2014-05-07
AP-1421
Order
/alj/aljorders/2014/ap-1421.pdf
2014-05-28
Repondents' Post-Hearing Memorandum of Law
/litigation/apdocuments/3-15255-event-128.pdf
2014-05-13
Division's Post-Hearing Reply Memorandum of Law Pursuant to Rule of Practice 340
/litigation/apdocuments/3-15255-event-126.pdf
2014-08-13
33-9631
34-72841
IA-3897
IC-31211
Order Extending Deadline for Filing Initial Decision
/litigation/opinions/2014/33-9631.pdf
2014-10-02
AP-1877
Order
/alj/aljorders/2014/ap-1877.pdf
2014-10-16
33-9664
34-73375
IA-3951
IC-31289
Order Denying Interlocutory Review with Respect to Respondents' Motion for Order Directing Alternative Procedure for Filing, Service and Publication of Initial Decision
/litigation/opinions/2014/33-9664.pdf
2014-10-17
ID-693
Initial Decision as to John Thomas Capital Management Group LLC, d/b/a Patriot28 LLC, and George R. Jarkesy, Jr
/alj/aljdec/2014/id693cff.pdf
2014-11-07
Respondent's George R. Jarekesy, Jr. and Patriot28, LLC's Petition for Review of Initial Decision
/litigation/apdocuments/3-15255-event-143.pdf
2014-11-17
Division's Cross Petition for Review of Initial Decision No. 693
/litigation/apdocuments/3-15255-event-144.pdf
2014-12-11
33-9688
34-73819
IA-3978
IC-31370
Order Granting Review and Scheduling Briefs
/litigation/opinions/2014/33-9688.pdf
2015-01-20
33-9703
34-74100
IA-4002
IC-31423
Order Directing Additional Submission
/litigation/opinions/2015/33-9703.pdf
2015-01-13
Motion to Adduce Additional Evidence Rule 452.
/litigation/apdocuments/3-15255-event-146.pdf
2015-01-13
Motion for Recusal of the Commission and Dismissal of Administrative Proceeding.
/litigation/apdocuments/3-15255-event-147.pdf
2015-01-13
Motion to Stay Administrative Proceeding.
/litigation/apdocuments/3-15255-event-148.pdf
2015-01-14
Respondents' Opening Brief, with Attached Exhibit A
/litigation/apdocuments/3-15255-event-149.pdf
2015-01-30
33-9718
34-74181
IA-4011
IC-31439
Extension Order
/litigation/admin/2015/33-9718.pdf
2015-01-29
Emergency Motion for Clarification Regarding Order Directing Additional Submission And, in the Alternative, Motion for Authority to Exceed 16,000 Word Limit and for Additional Time.
/litigation/apdocuments/3-15255-event-151.pdf
2015-01-30
Division's Response to Respondents' Motion for Clarification.
/litigation/apdocuments/3-15255-event-152.pdf
2015-02-20
33-9728
34-74345
IA-4029
IC-31462
Order Denying Motion to Stay Administrative Proceeding
/litigation/opinions/2015/33-9728.pdf
2015-02-13
Respondents' Additional Submission.
/litigation/apdocuments/3-15255-event-155.pdf
2015-02-20
Division's Motion for Additional Words to Respond to Respondents Four Briefs and Supplemental Submission.
/litigation/apdocuments/3-15255-event-156.pdf
2015-03-03
33-9734
34-74419
IA-4038
IC-31497
Extension Order
/litigation/admin/2015/33-9734.pdf
2015-07-07
33-9863
34-75371
IA-4137
IC-31707
Extension Order
/litigation/admin/2015/33-9863.pdf
2015-07-20
Division's Opposition to Respondents' Motion to Adduce Additional Evidence and Conduct Further Discovery
/litigation/apdocuments/3-15255-event-168.pdf
2015-08-03
33-9875
34-75590
IA-4153
IC-31736
Order Granting in Part and Deferring in Part Motion to Adduce Additional Evidence and Requesting Additional Briefing
/litigation/opinions/2015/33-9875.pdf
2015-08-14
33-9892
34-75708
IA-4173
IC-31763
Extension Order
/litigation/admin/2015/33-9892.pdf
2015-08-28
Division's Response to Briefing Order On Appointments Clause Claim
/litigation/apdocuments/3-15255-event-173.pdf
2015-08-28
Respondents' Brief as Requested by 8/3/15 Commission Order Requesting Additional Briefing
/litigation/apdocuments/3-15255-event-172.pdf
2017-06-30
33-10383
34-81066
IA-4723
IC-32720
Order Scheduling Oral Argument
/litigation/opinions/2017/33-10383.pdf
2017-08-04
33-10398
34-81317
IA-4738
IC-32775
Order Cancelling Oral Argument
/litigation/opinions/2017/33-10398.pdf
2017-12-19
AP-5404
Order
/alj/aljorders/2017/ap-5404.pdf
2018-01-09
AP-5437
Order
/alj/aljorders/2018/ap-5437.pdf
2018-01-08
Respondents' Submission in Response to Commission's November 30, 2017 Order
Asserting Ratification of a Prior Appointment of Administrative Law Judges, w/Exs. 1-3
/litigation/apdocuments/3-15255-event-182.pdf
2018-01-09
Letter dated 1/5/18 to ALJ from Division requesting ratification of previous decisions, with proposed Order
/litigation/apdocuments/3-15255-event-183.pdf
2018-03-14
AP-5647
Order
/alj/aljorders/2018/ap-5647.pdf
2018-01-19
Division's Brief in Opposition to Respondents' January 5, 2018 Submission Opposing
Ratification, with Exhibits A-C
/litigation/apdocuments/3-15255-event-185.pdf
2018-04-16
Respondents' Response to Administrative Proceedings Order Dated 3/14/18, w/Ex. 1
/litigation/apdocuments/3-15255-event-187.pdf
2018-06-29
AP-5877
Notice
/alj/aljorders/2018/ap-5877.pdf
2018-07-26
AP-5953
Notice
/alj/aljorders/2018/ap-5953.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
2018-09-26
AP-6093
Order Following Reassignment
/alj/aljorders/2018/ap-6093.pdf
2018-10-17
AP-6205
Order Scheduling Prehearing Conference
/alj/aljorders/2018/ap-6205.pdf
2018-11-09
AP-6316
Scheduling Order
/alj/aljorders/2018/ap-6316.pdf
2018-11-20
AP-6354
Order On Transcript Corrections
/alj/aljorders/2018/ap-6354.pdf
2018-11-16
Respondents' Objections to Administrative Proceeding
/litigation/apdocuments/3-15255-event-201.pdf
2018-12-11
The Division's Response to Respondents' Objections with exhibits A - D
/litigation/apdocuments/3-15255-event-204.pdf
2018-12-18
AP-6411
Stay Order
/alj/aljorders/2018/ap-6411.pdf
2018-12-18
Division's Response to Respondents' Motion to Stay Second Administrative
Hearing
/litigation/apdocuments/3-15255-event-210.pdf
2018-12-18
Division's Response to Respondents' Motion to Vacate Remand for Commission
Adjudication of Petitions for Review and for the Issuance of a Final Order.
/litigation/apdocuments/3-15255-event-211.pdf
2018-12-17
Respondents' Reply to Division's Response to Objections to Administrative
Proceeding, w/Exs. A-B
/litigation/apdocuments/3-15255-event-206.pdf
2018-12-17
Respondents' Unopposed Motion to Vacate Remand, for Commission Adjudication of
Petitions for Review, and for the Issuance of a Final Order, with Exhibit A
/litigation/apdocuments/3-15255-event-207.pdf
2019-02-21
33-10609
34-85172
IA-5116
IC-33382
Order Regarding Further Proceedings
/litigation/opinions/2019/33-10609.pdf
2019-03-07
Respondents' Submission in Response to Commission's February 21, 2019 Order
Regarding Further Proceedings.
/litigation/apdocuments/3-15255-event-216.pdf
2019-03-21
Division's Memorandum of Law in Opposition to Respondents' March 7, 2019
Submission, with Exhibits A-C
/litigation/apdocuments/3-15255-event-217.pdf
2020-01-21
33-10746
34-88011
IA-5435
IC-33749
Order Extending Time to Issue Decision
/litigation/opinions/2020/33-10746.pdf
2020-03-05
33-10764
34-88336
IA-5459
IC-33812
Order Extending Time to Issue Decision
/litigation/opinions/2020/33-10764.pdf
2020-04-06
33-10770
34-88565
IA-5473
IC-33835
Order Extending Time to Issue Decision
/litigation/opinions/2020/33-10770.pdf
2020-05-05
33-10782
34-88811
IA-5495
IC-33861
Order Extending Time to Issue Decision
/litigation/opinions/2020/33-10782.pdf
2020-06-05
33-10790
34-89022
IA-5517
IC-33890
Order Extending Time to Issue Decision
/litigation/opinions/2020/33-10790.pdf
2020-07-06
33-10800
34-89227
IA-5532
IC-33920
Order Extending Time to Issue Decision
/litigation/opinions/2020/33-10800.pdf
2020-08-05
33-10815
34-89479
IA-5556
IC-33964
Order Extending Time to Issue Decision
/litigation/opinions/2020/33-10815.pdf
2020-09-04
33-10834
34-89775
IA-5572
IC-34003
Opinion of the Commission
/litigation/opinions/2020/33-10834.pdf
2021-01-13
Motion to Stay Enforcement of Commission Order Pending Judicial Review (Unopposed Expedited Motion to Stay Collection of Monetary Remedies Pending Appeal)
/litigation/apdocuments/3-15255-2021-01-13-motion-to-stay-enforcement-of-commision-order.pdf
2021-01-21
33-10921
34-90965
IA-5672
IC-34179
Partial Stay Order
/litigation/opinions/2021/33-10921.pdf