2019-05-16
3-15446
J.S. Oliver Capital Management, L.P.
Mausner, Ian O.
Drennan, Douglas F.
/litigation/apdocuments/ap-3-15446.xml
2013-08-30
33-9446
34-70292
IA-3658
IC-30682
Order Instituting Administrative and Cease-and-Desist Proceedings and Notice of Hearing
/litigation/admin/2013/33-9446.pdf
2013-09-03
AP-827
Order Scheduling Hearing and Designating Presiding Judge
/alj/aljorders/2013/ap-827.pdf
2013-09-25
AP-905
Order Postponing Hearing and Scheduling Prehearing Conference
/alj/aljorders/2013/ap-905.pdf
2013-10-03
AP-938
Order Granting Protective Order
/alj/aljorders/2013/ap-938.pdf
2013-10-08
AP-942
Order Following Prehearing Conference
/alj/aljorders/2013/ap-942.pdf
2013-12-06
AP-1089
Order Denying Request for a Second Prehearing Conference
/alj/aljorders/2013/ap-1089.pdf
2013-12-12
AP-1099
Order and Notice to Parties
/alj/aljorders/2013/ap-1099.pdf
2013-12-20
AP-1125
Order on Subpoenas
/alj/aljorders/2013/ap-1125.pdf
2013-12-31
AP-1134
Order on Third-Party Motion for a Protective Order and Respondent, Request for a Subpoena Duces Tecum
/alj/aljorders/2013/ap-1134.pdf
2014-01-03
AP-1146
Denial of Request for Postponement of Hearing
/alj/aljorders/2014/ap-1146.pdf
2013-09-20
Respondent Mausner's Answer
/litigation/apdocuments/3-15446-event-7.pdf
2013-09-30
Respondent Drennan's Answer
/litigation/apdocuments/3-15446-event-12.pdf
2013-12-23
Division's Prehearing Brief
/litigation/apdocuments/3-15446-event-25.pdf
2013-12-23
Respondent Drennan's Prehearing Brief, with Exhibits A-E
/litigation/apdocuments/3-15446-event-26.pdf
2013-12-24
Respondents' Mausner and J.S. Oliver Capital Management, L.P.'s Prehearing Brief, Without Exhibits A-Q
/litigation/apdocuments/3-15446-event-27.pdf
2014-01-23
AP-1189
Order on Third-Party Motion for Reconsideration or Certigication for Interlocutory Review
/alj/aljorders/2014/ap-1189.pdf
2014-01-24
AP-1194
Order Rejecting E-Mail Communications and Requring Filings with the Secretary
/alj/aljorders/2014/ap-1194.pdf
2014-02-18
AP-1245
Order Denying Respondents' Motions
/alj/aljorders/2014/ap-1245.pdf
2014-03-21
AP-1331
Order On Transcript Corrections
/alj/aljorders/2014/ap-1331.pdf
2014-03-28
AP-1348
Order on Motion
/alj/aljorders/2014/ap-1348.pdf
2014-02-21
Declaration of David J. Van Havermaat, with Exhibit 1
/litigation/apdocuments/3-15446-event-50.pdf
2014-02-21
Division's Initial Post Hearing Brief
/litigation/apdocuments/3-15446-event-51.pdf
2014-03-21
Respondent Drennan's Post Hearing Brief
/litigation/apdocuments/3-15446-event-60.pdf
2014-03-21
Respondents J.S. Oliver Capital Management and Lan Mausner's Post Hearing Brief
/litigation/apdocuments/3-15446-event-61.pdf
2014-04-11
Division's Post Hearing Reply Brief
/litigation/apdocuments/3-15446-event-65.pdf
2014-05-30
AP-1475
Motion for Extension
/alj/aljorders/2014/ap-1475.pdf
2014-07-02
33-9609
34-72527
IA-3870
IC-31147
Order Granting Extension
/litigation/opinions/2014/33-9609.pdf
2014-08-05
ID-649
Initial Decison
/alj/aljdec/2014/id649bpm.pdf
2014-08-25
Respondents J.S. Oliver Capital Management, L.P. and Lan I. Mausner's Petition for Review of Initial Decision
/litigation/apdocuments/3-15446-event-74.pdf
2014-10-07
34-73312
Order Granting Petition for Review and Scheduling Briefs
/litigation/opinions/2014/34-73312.pdf
2014-11-07
Respondents J.S. Oliver Capital Management, L.P. and Mausner Motion for Oral Argument
/litigation/apdocuments/3-15446-event-77.pdf
2014-11-07
Respondents J.S. Oliver Capital Management, L.P. and Lan 0. Mausner's Brief in Support of Petition for Review
/litigation/apdocuments/3-15446-event-78.pdf
2014-12-08
Division's Memorandum of Points and Authorities in Opposition to Petition for Review of Respondents J.S. Oliver Capital Management, L.P. and Lan 0. Mausner
/litigation/apdocuments/3-15446-event-79.pdf
2014-12-23
Respondents J.S. Oliver Capital Management, L.P. and Lan 0. Mausner's Reply Brief in Support of Petition for Review
/litigation/apdocuments/3-15446-event-80.pdf
2015-10-30
33-9975
34-76325
IA-4250
IC-31888
Order Granting Motion to Submit Supplemental Briefing
/litigation/opinions/2015/33-9975.pdf
2015-11-17
Respondents J.S. Oliver Capital management, LP's and Ian 0. Mausner's Supplemental Brief on the Appointments Clause
/litigation/apdocuments/3-15446-event-83.pdf
2015-11-30
Division's Supplemental Brief On the Appointments Clause
/litigation/apdocuments/3-15446-event-84.pdf
2015-12-08
Respondents J.S. Oliver Capital Mgmt., LP and Ian 0. Mausner's Reply Brief in Support of Supplemental Brief on the Appointments Clause
/litigation/apdocuments/3-15446-event-85.pdf
2016-01-27
33-10008
34-76976
IA-4322
IC-31972
Order Scheduling Oral Argument
/litigation/admin/2016/33-10008.pdf
2016-03-01
33-10049
34-77263
IA-4347
IC-32016
Order Rescheduling Oral Argument
/litigation/admin/2016/33-10049.pdf
2016-06-17
33-10100
34-78098
IA-4431
IC-32152
Opinion of the Commission
/litigation/opinions/2016/33-10100.pdf
2016-08-15
33-10121
34-78575
IA-4486
IC-32216
Partial Stay Order
/litigation/opinions/2016/33-10121.pdf
2016-08-26
33-10199
34-78705
IA-4514
IC-32240
Notice That Initial Decision Has Become Final
/alj/aljdec/2016/33-10199.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
2018-09-25
AP-6079
Order Following Reassignment
/alj/aljorders/2018/ap-6079.pdf
2018-09-25
AP-6080
Order Following Reassignment
/alj/aljorders/2018/ap-6080.pdf
2018-10-16
AP-6198
Order Scheduling Prehearing Conference
/alj/aljorders/2018/ap-6198.pdf
2018-10-26
AP-6256
Order Setting Prehearing Schedule and General Prehearing Order
/alj/aljorders/2018/ap-6256.pdf
2018-11-16
Amended Answer and Affirmative Defenses of Respondents J.S. Oliver Capital
Management, L.P. and Ian 0. Mausner
/litigation/apdocuments/3-15446-event-108.pdf
2018-12-06
AP-6389
Order Extending Time to File Rule 250(c) Motion
/alj/aljorders/2018/ap-6389.pdf
2018-12-20
AP-6420
Order Denying Respondents' Rule 250(c) Motion
/alj/aljorders/2018/ap-6420.pdf
2018-12-14
Motion of Respondents J.S. Oliver Capital Management, L.P. and Ian 0. Mausner for
a Ruling on the Pleadings and, in the Alternative, for Summary Disposition, and
Memorandum in Support
/litigation/apdocuments/3-15446-event-111.pdf
2019-02-06
AP-6443
Order Designating Settlement Judge
/alj/aljorders/2019/ap-6443.pdf
2019-03-13
AP-6495
Order Extending Prehearing Schedule and Rescheduling Hearing
/alj/aljorders/2019/ap-6495.pdf
2019-03-18
AP-6506
Order Redesignating Presiding Judge
/alj/aljorders/2019/ap-6506.pdf
2019-04-17
AP-6544
Stay Order
/alj/aljorders/2019/ap-6544.pdf
2019-05-16
33-10639
34-85880
IA-5236
IC-33476
Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Section 8A of the Securities Act of 1933, Section 21C of the Securities Exchange Act of 1934, Sections 203(e), 203(f), and 203(k) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940
/litigation/admin/2019/33-10639.pdf