Order Instituting Administrative and Cease-and-Desist Proceedings and Notice of Hearing

2018-12-21 3-15514 Anthony, Donald J., Jr. Chiappone, Frank H. Feldman, Richard D. Gamello, William P. Guzzetti, Andrew G. Lex, William F. Livingston, Thomas E. Mayer, Brian T. Rabinovich, Philip S. Rogers, Ryan C. /litigation/apdocuments/ap-3-15514.xml 2013-09-23 33-9454 34-70473 IA-3674 IC-30694 Order Instituting Administrative and Cease-and-Desist Proceedings and Notice of Hearing /litigation/admin/2013/33-9454.pdf 2013-09-24 AP-901 Order Scheduling Hearing and Designating Presiding Judge /alj/aljorders/2013/ap-901.pdf 2013-10-09 AP-951 Order Converting Scheduled Hearing to Prehearing Conference and Extending Time to Answer Order Instituting Proceedings /alj/aljorders/2013/ap-951.pdf 2013-10-28 AP-1003 Order Setting Prehearing Schedule /alj/aljorders/2013/ap-1003.pdf 2013-10-30 AP-1007 General Prehearing Order /alj/aljorders/2013/ap-1007.pdf 2013-11-13 AP-1036 Order /alj/aljorders/2013/ap-1036.pdf 2013-11-19 AP-1053 Scheduling Order /alj/aljorders/2013/ap-1053.pdf 2013-11-21 AP-1063 Order Cancelling Settlement Conferences /alj/aljorders/2013/ap-1063.pdf 2013-11-22 AP-1064 Order Redesignating Presiding Judge /alj/aljorders/2013/ap-1064.pdf 2013-12-04 AP-1081 Order Finding in Default, Providing Hearing Location, and Setting Prehearing Conference for Parties Requesting a Settlement Conference /alj/aljorders/2013/ap-1081.pdf 2013-12-12 AP-1098 Order on Motions for a More Definite Statement /alj/aljorders/2013/ap-1098.pdf 2014-01-03 AP-1145 Order Modifying Procedural Schedule /alj/aljorders/2014/ap-1145.pdf 2014-01-09 AP-1156 Order /alj/aljorders/2014/ap-1156.pdf 2013-11-18 33-9454 34-70473 IA-3674 IC-30694 Respondent Livingston's Answer /litigation/apdocuments/3-15514-event-26.pdf 2013-11-18 Respondent Feldman's Answer /litigation/apdocuments/3-15514-event-27.pdf 2013-11-18 Respondent Guzzetti's Answer /litigation/apdocuments/3-15514-event-30.pdf 2013-11-18 Respondent Chiappone's Answer and Affirmative Defenses /litigation/apdocuments/3-15514-event-32.pdf 2013-11-18 Respondent Rogers' Answer /litigation/apdocuments/3-15514-event-34.pdf 2013-11-18 Respondent Mayer's Answer /litigation/apdocuments/3-15514-event-35.pdf 2013-11-18 Respondent Rabinovich's Answer /litigation/apdocuments/3-15514-event-36.pdf 2013-11-18 Respondent Lex's Answer and Affirmative Defenses /litigation/apdocuments/3-15514-event-37.pdf 2013-11-19 Respondent Gamello's Answer and Affirmative Defenses /litigation/apdocuments/3-15514-event-39.pdf 2014-01-15 AP-1171 Order on Serveral Motions /alj/aljorders/2014/ap-1171.pdf 2014-03-18 AP-1311 Order Admitting Exhibits Offered by the Division of Enforcement /alj/aljorders/2014/ap-1311.pdf 2014-04-03 33-9571 34-71864 IC-31005 Order Making Finding and Imposing Remedial Sanctions and a Cease-and-Desist Order /litigation/admin/2014/33-9571.pdf 2014-04-07 AP-1361 Order Extending Briefing Dates /alj/aljorders/2014/ap-1361.pdf 2014-01-13 Respondent Lex's Motion for Leave to File Motion for Summary Disposition /litigation/apdocuments/3-15514-event-74.pdf 2014-01-14 Respondents Rabinovich, Mayer and Rogers Joinder in Respondent Lex's Motion for Leave to File Motion for Summary Disposition /litigation/apdocuments/3-15514-event-80.pdf 2014-01-15 Respondent Chiappone's Joinder in the Motion of Respondent Lex for Leave to File Motion for Summary Disposition /litigation/apdocuments/3-15514-event-82.pdf 2014-01-17 Respondent Chiappone's Prehearing Brief /litigation/apdocuments/3-15514-event-88.pdf 2014-01-17 Respondent Livingston's Prehearing Brief /litigation/apdocuments/3-15514-event-89.pdf 2014-01-22 Division's Prehearing Brief /litigation/apdocuments/3-15514-event-93.pdf 2014-01-22 Respondents Rabinovich, Mayer and Rogers' Joint Prehearing Brief /litigation/apdocuments/3-15514-event-94.pdf 2014-01-22 Respondent Lex's Prehearing Brief /litigation/apdocuments/3-15514-event-95.pdf 2014-01-22 Respondent Guzzetti's Prehearing Brief /litigation/apdocuments/3-15514-event-96.pdf 2014-01-24 Respondent Andrew G. Guzzetti's Motion for Leave to File Summary Disposition Motion /litigation/apdocuments/3-15514-event-104.pdf 2014-04-10 Division's Post Hearing Brief /litigation/apdocuments/3-15514-event-166.pdf 2014-04-29 AP-1403 Order Extending Briefing Dates /alj/aljorders/2014/ap-1403.pdf 2014-05-13 Respondents Rabinovich, Mayer, and Rogers' Joint Post Hearing Brief /litigation/apdocuments/3-15514-event-172.pdf 2014-05-13 Respondent Lex's Proposed Findings of Fact and Conclusions of Law /litigation/apdocuments/3-15514-event-175.pdf 2014-05-13 Respondent Gamello's Post Hearing Brief /litigation/apdocuments/3-15514-event-176.pdf 2014-05-13 Respondent Chiappone's Proposed Findings of Fact and Conclusions of Law /litigation/apdocuments/3-15514-event-178.pdf 2014-05-13 Respondent Livingston's Proposed Findings of Fact and Conclusions of Law /litigation/apdocuments/3-15514-event-180.pdf 2014-05-13 Respondent Guzzetti's Proposed Findings of Fact and Conclusions of Law /litigation/apdocuments/3-15514-event-182.pdf 2014-05-16 Ltr of 5/15 to CALJ Murray from Counsel for Resp Guzzetti as Supp to Post Hearing Brief to Join Ltr Arg by Counsel for Resps Livingston, Lex, Rabinovich, Rogers& Mayer That Maintains 28 U.S.C. 2462 Barred Proceeding & There Is No Subject Matter Jurisd /litigation/apdocuments/3-15514-event-184.pdf 2014-05-16 Letter of 5/15 to CALJ from Counsel for Resp Chiappone as Supp to Posthrg Brief; Ltr Claims 5/12 Final Order of Dism Requires Dism of Proceeding W/Prejudice as Barred Under 28 U.S.C. 2462 for Lack of Subject Matter Jurisd /litigation/apdocuments/3-15514-event-185.pdf 2014-05-19 Letter of 5/14/14 to CALJ Murray from Counsel for Respondent Lex Alerting Her to a New Decision, SEC V. Barry J Graham, et al., from the U.S.D.C. for the S.D. of Fla.and Stating This Proceeding Should Be Dismissed in Its Entirety /litigation/apdocuments/3-15514-event-186.pdf 2014-06-13 Divison's Post-Hearing Reply Brief /litigation/apdocuments/3-15514-event-187.pdf 2014-07-16 AP-1615 Motion to Commission for Extension /alj/aljorders/2014/ap-1615.pdf 2014-08-07 33-9628 34-72788 IA-3890 IC-31200 Order Granting Extension /litigation/opinions/2014/33-9628.pdf 2014-12-15 AP-2131 Motion for Second Extension /alj/aljorders/2014/ap-2131.pdf 2014-12-19 AP-2155 Order On Exhibits /alj/aljorders/2014/ap-2155.pdf 2015-01-26 33-9710 34-74139 IA-4007 IC-31429 Order Granting Second Motion for Extension /litigation/opinions/2015/33-9710.pdf 2015-02-25 ID-745 Initial Decision /alj/aljdec/2015/id745bpm.pdf 2015-03-03 Respondent Chiappone's Notice of Motions to Correct Manifest Error of Fact and to Submit Additional Evidence /litigation/apdocuments/3-15514-event-210.pdf 2015-03-03 Respondent Chiappone's Affidavit Supporting Motion to Correct Manifest Error of Fact and to Submit Additional Evidence /litigation/apdocuments/3-15514-event-211.pdf 2015-03-03 Roland M. Cavalier's Affidavit Supporting Motion to Correct Manifest Error of Fact and to Submit Additional Evidence /litigation/apdocuments/3-15514-event-212.pdf 2015-03-10 AP-2398 Order On Extension /alj/aljorders/2015/ap-2398.pdf 2015-03-23 AP-2457 Order On Post Initial Decision Motions /alj/aljorders/2015/ap-2457.pdf 2015-03-06 Respondents Rabinovich and Mayer's Motion to Correct Manifest Error of Fact to Correct the Initial Decision /litigation/apdocuments/3-15514-event-214.pdf 2015-03-06 Respondent Livingston's Motion to Correct Manifest Error of Fact to Correct the Initial Decision /litigation/apdocuments/3-15514-event-215.pdf 2015-03-06 Respondent Lex's Motion to Correct Manifest Error of Fact to Correct the Initial Decision /litigation/apdocuments/3-15514-event-216.pdf 2015-03-11 Letter of 3/9/15 to CALJ Murray from Division Requesting a Brief Extension of Time to Respond to the Several Motions for to Correct Manifest Error of Facts /litigation/apdocuments/3-15514-event-218.pdf 2015-03-23 Division's Memorandum of Law in Opposition to Respondents' Motions to Correct the Initial Decision /litigation/apdocuments/3-15514-event-220.pdf 2015-03-23 Respondent Guzzetti's Motion to Extend Time to File Motion to Correct Manifest Error of Fact to Correct the Initial Decision and Motion to Correct the Initial Decision /litigation/apdocuments/3-15514-event-221.pdf 2015-03-24 Letter of 3/23/15 to CALJ Murray from Division Opposing Respondent Guzzetti's Request for Additional Time to File His Motion to Correct the Id & If It Is Accepted Requests a Briefing Schedule That Permits the Div 5 Business Days to Respond /litigation/apdocuments/3-15514-event-223.pdf 2015-03-25 Respondent Livingston's Reply in Support of Manifest Errors of Fact /litigation/apdocuments/3-15514-event-224.pdf 2015-04-09 AP-2528 Order On Motions to Correct Manifest Errors of Fact in the Initial Decision /alj/aljorders/2015/ap-2528.pdf 2015-03-25 Respondent Lex's Reply in Support of Manifest Errors of Fact /litigation/apdocuments/3-15514-event-225.pdf 2015-03-25 Respondent Chiappone's Reply Brief in Support of Motion to Correct Manifest Errors of Fact /litigation/apdocuments/3-15514-event-226.pdf 2015-03-26 Respondents Rabinovich and Mayer's Reply Memorandum in Further Support of Their Motion to Correct Manifest Error of Fact to Correct the Initial Decision /litigation/apdocuments/3-15514-event-227.pdf 2015-03-30 Division's Response to Respondent Guzzetti's Motion to Correct a Manifest Error of Fact of the Initial Decision /litigation/apdocuments/3-15514-event-228.pdf 2015-04-08 Respondent Guzzetti's Reply in Support of His Motion to Correct a Manifest Error of Fact of the Initial Decision /litigation/apdocuments/3-15514-event-230.pdf 2015-05-21 33-9790 34-75027 IC-31644 Order Granting Petitions for Review and Scheduling Briefs /litigation/opinions/2015/33-9790.pdf 2015-06-05 33-9805 34-75114 IA-4104 IC-31662 Extension and Word Limit Order /litigation/opinions/2015/33-9805.pdf 2015-06-17 33-9810 34-75195 IA-4109 IC-31681 Notice that Initial Decision Has Become Final /alj/aljdec/2015/33-9810.pdf 2015-07-20 Respondent Livingston's Brief in Support of Petition for Review /litigation/apdocuments/3-15514-event-263.pdf 2015-07-20 Respondent Livingston's Motion for Oral Argument /litigation/apdocuments/3-15514-event-264.pdf 2015-07-20 Respondent Rabinovich's Brief in Support of Petition for Review /litigation/apdocuments/3-15514-event-265.pdf 2015-07-28 33-9870 34-75543 IA-4148 IC-31727 Order Granting Extensions and Clarifying Prior Orders /litigation/admin/2015/33-9870.pdf 2015-09-22 33-9923 34-75960 IA-4205 IC-31836 Order Granting Extension /litigation/opinions/2015/33-9923.pdf 2015-10-01 Division's Brief in Response to Respondents' Joint Brief /litigation/apdocuments/3-15514-event-273.pdf 2015-10-01 Division's Brief in Response to Respondents' Individual Briefs /litigation/apdocuments/3-15514-event-274.pdf 2015-07-17 Respondent Frank H. Chiappone's Motion for Oral Argument /litigation/apdocuments/3-15514-event-253.pdf 2015-07-20 Respondent Guzzetti's Brief in Support of Petition for Review /litigation/apdocuments/3-15514-event-255.pdf 2015-07-20 Respondent Guzzetti's Motion For Oral Argument /litigation/apdocuments/3-15514-event-256.pdf 2015-07-20 Respondents Chiappone, Guzzetti, Lex, Livingston, Mayer and Rabinovich's Joint Brief Addressing Certain Legal Issues in Accordance with the Commission's Order /litigation/apdocuments/3-15514-event-257.pdf 2015-07-20 Respondent Mayer's Brief in Support of Petition for Review /litigation/apdocuments/3-15514-event-258.pdf 2015-07-20 Respondents Rabinovich and Mayer's Motion for Oral Argument /litigation/apdocuments/3-15514-event-259.pdf 2015-07-20 Respondent Chiappone's Motion for Oral Argument /litigation/apdocuments/3-15514-event-260.pdf 2015-07-20 Respondent Lex's Brief in Support of Petition for Review /litigation/apdocuments/3-15514-event-261.pdf 2015-07-20 Respondent Lex's Motion for Oral Argument /litigation/apdocuments/3-15514-event-262.pdf 2015-10-28 Respondent Livingston's Individual Reply Brief /litigation/apdocuments/3-15514-event-280.pdf 2015-10-28 Respondent Lex's Individual Reply Brief /litigation/apdocuments/3-15514-event-281.pdf 2015-10-28 Respondents' Joint Reply Brief Addressing Certain Legal Issues in Accordance with the Commission's Order /litigation/apdocuments/3-15514-event-282.pdf 2015-10-27 Respondent Chiappone's Individual Reply Brief in Accordance with the Commission's Order /litigation/apdocuments/3-15514-event-276.pdf 2015-10-28 Respondent Rabinovich's Individual Reply Brief /litigation/apdocuments/3-15514-event-278.pdf 2015-10-28 Respondent Mayer's Individual Reply Brief /litigation/apdocuments/3-15514-event-279.pdf 2015-07-17 Respondent Chiappone's Individual Brief with Attachments, Affidavits and Financial Disclosure /litigation/apdocuments/3-15514-event-254.pdf 2015-10-28 Respondent Guzzetti's Individual Reply Brief /litigation/apdocuments/3-15514-event-277.pdf 2016-02-26 33-10048 34-77249 IC-32008 Order Scheduling Briefs /litigation/opinions/2016/33-10048.pdf 2016-02-16 Letter dated 2/10/16 to OS & Division Counsel re Request that the Commission Exercise its Authority to Adjust the Disgorgement Amount and Any Corresponding PJI That is a Part of the Commission's 4/3/14 Order Against Him /litigation/apdocuments/3-15514-event-285.pdf 2016-05-10 33-10078 34-77803 IC-32112 Order Denying Request to Reduce Agreed Disgorgement Amount /litigation/opinions/2016/33-10078.pdf 2017-06-30 33-10382 34-81059 IC-32719 Order Scheduling Oral Argument /litigation/opinions/2017/33-10382.pdf 2017-07-10 Letter Dated 07/10/2017 from Respondent Rabinovich and Mayer's Counsel Regarding Recent Legal Developments Affecting The Initial Decision /litigation/apdocuments/3-15514-event-289.pdf 2017-07-18 Letter Dated 7/17/17 re Recent Legal Developments Affecting the Initial Decision /litigation/apdocuments/3-15514-event-290.pdf 2017-08-07 Letter Dated 8/7/17 from Division to Secretary Fields in Response to Letters Dated 7/10/17 and 7/10/17 Respondents Chiappone, Rabinovich and Mayer's Counsels /litigation/apdocuments/3-15514-event-291.pdf 2017-08-09 Letter Dated 8/9/17 from Counsel for Rabinovich and Mayer to Secretary Fields in Response to Division of Enforcement's Letter /litigation/apdocuments/3-15514-event-294.pdf 2017-08-10 Letter Dated 8/10/17 from Counsel for Chiappone to Secretary Fields in Response to Division's 8/7/17 Letter /litigation/apdocuments/3-15514-event-295.pdf 2017-12-15 AP-5395 Order Regarding the Securities and Exchange Commission's Order On Pending Administrative Proceedings /alj/aljorders/2017/ap-5395.pdf 2018-01-02 AP-5431 Order Granting Motion for Extension /alj/aljorders/2018/ap-5431.pdf 2018-02-15 AP-5609 Order Extending Date for Determination /alj/aljorders/2018/ap-5609.pdf 2018-01-19 Letter Dated 1/19/18 from Counsel for Respondent Livingston Re Objections to 11/30/17 ALJ Ratification Order /litigation/apdocuments/3-15514-event-314.pdf 2018-01-19 Letter Dated 1/18/18 from Counsel for Respondent Chiappone in Response to Order Regarding Appointment of ALJs /litigation/apdocuments/3-15514-event-316.pdf 2018-01-19 Letter Dated 1/18/18 from Counsel for Respondents Rabinovich and Mayer in Response to Order Regarding Appointment of ALJs /litigation/apdocuments/3-15514-event-317.pdf 2018-01-19 Letter Dated 1/19/18 to CALJ Murray from Counsel for Andrew Guzzetti (Michael D. Handelsman) re Andrew Guzzetti's Brief on Remand /litigation/apdocuments/3-15514-event-319.pdf 2018-01-22 Letter Dated 1/19/18 from the Division to CALJ Murray Requesting Ratification of All Previous Decisions Including the ID in this Proceeding, with Proposed Order /litigation/apdocuments/3-15514-event-321.pdf 2018-01-31 previous decisions including the ID in this proceeding, with proposed Order. Letter dated 1 /30/18 from the Division to CALJ Murray stating the Commission's ratification and remand order is valid and has effectively remedied Responsents' alledge injury /litigation/apdocuments/3-15514-event-322.pdf 2018-02-14 Clarification letter dated 2/13/18 from counsel for Rabinovich and Mayer to raise arguments to the Division's January 30 letter /litigation/apdocuments/3-15514-event-323.pdf 2018-02-14 Clarification letter dated 2/13/18 from Roland Cavalier counsel to Frank Chiappone states the 2/13/18 letter sent by William Munno Esq., obtain some equal relevant applications for his client as well. /litigation/apdocuments/3-15514-event-324.pdf 2018-03-30 AP-5665 Order Revising and Ratifying Prior Actions /alj/aljorders/2018/ap-5665.pdf 2018-04-20 33-10483 34-83076 IA-4891 IC-33073 Supplemental Briefing Order /litigation/opinions/2018/33-10483.pdf 2018-04-24 Respondent Chiappone's Petition for Review /litigation/apdocuments/3-15514-event-338.pdf 2018-04-20 Respondent Thomas Livingston's Petition for Review of Initial Decision as Amended by the March 30, 2018 Order Revising and Ratifying Prior Action /litigation/apdocuments/3-15514-event-335.pdf 2018-05-21 Respondent Thomas Livingston's Supplemental Brief to the Commission /litigation/apdocuments/3-15514-event-342.pdf 2018-05-21 Respondent William F. Lex's Brief in Support of Petition for Review of Initial Decision as Amended by the March 30, 2018 Order Revising and Ratifying Prior Actions /litigation/apdocuments/3-15514-event-343.pdf 2018-05-21 Andrew G. Guzzetti's Supplemental Brief Regarding the Law Judge's Order Revising and Ratifying Prior Actions /litigation/apdocuments/3-15514-event-344.pdf 2018-05-31 33-10502 34-83353 IA-4918 IC-33111 Order Granting Requests to File Supplemental Response Brief of 6,000 Words and to File Reply Briefs to Supplemental Response Brief /litigation/opinions/2018/33-10502.pdf 2018-05-21 Division's Supplemental Brief /litigation/apdocuments/3-15514-event-341.pdf 2018-06-04 Division's Supplemental Reply Brief /litigation/apdocuments/3-15514-event-354.pdf 2018-06-14 Commission of the Initial Decision ALJ and with Chiappone's individual Sur-Reply Brief /litigation/apdocuments/3-15514-event-356.pdf 2018-06-15 Individual Amended Sur-Reply Brief to The Commissioners of The SEC, on Behalf of Respondent Frank Chiappone, In Accordance with the Commission's Order /litigation/apdocuments/3-15514-event-359.pdf 2018-06-15 Andrew Guzzetti's Supplemental Reply Brief Regarding the Law Judge's Order Revising and Ratifying Prior Actions /litigation/apdocuments/3-15514-event-360.pdf 2018-06-18 Respondent William Lex's Sur Reply to Division of Enforcement's Supplemental Reply Brief /litigation/apdocuments/3-15514-event-361.pdf 2018-06-15 Philip Rabinovich's and Brian Mayer's Supplemental Reply Brief Regarding the Law Judge's 2018 Decision /litigation/apdocuments/3-15514-event-357.pdf 2018-06-21 Ltr. dated 6/21 /18 fr. Rabinovich and Mayer's regarding the impact of the Supreme Ct. decision in Lucia /litigation/apdocuments/3-15514-event-363.pdf 2018-06-22 Ltr. dated 6/22/18 fr. Chiappone's counsel regarding the impact of the Supreme Ct decision in Lucia with attach A /litigation/apdocuments/3-15514-event-364.pdf 2018-06-25 Letter dated 6/21/18 from Matthew G. Nielsen (counsel for Thomas Livingston) re joining the letter brief filed by Rabinovich counsel on 6/21 /18 re the Lucia S. Ct. decision /litigation/apdocuments/3-15514-event-365.pdf 2018-06-25 Letter dated 6/22/18 from Gilbert B. Abramson (counsel for William F. Lex) advocating dismissal of the Chiappone proceeding in light of the Lucia S. Ct. decision /litigation/apdocuments/3-15514-event-366.pdf 2018-06-27 Letter dated 6/27/18 from Michael D. Handelsman (counsel for Andrew Guzzetti) advocating dissmissal of the Chiappone proceeding in light of the Lucia S. Ct. decision /litigation/apdocuments/3-15514-event-367.pdf 2018-04-16 Respondents Rabinovich's and Mayer's Respective Petitions for Review of the Initial Decision as Amended by the Order Revising and Ratifying Prior Actions /litigation/apdocuments/3-15514-event-329.pdf 2018-05-21 Philip S. Rabinovich's Supplemental Brief Regarding the Law Judge's 2018 Decision /litigation/apdocuments/3-15514-event-345.pdf 2018-05-21 Brian T. Mayer's Supplemental Brief Regarding the Law Judge's 2018 Decision /litigation/apdocuments/3-15514-event-346.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 2018-10-01 AP-6123 Order /alj/aljorders/2018/ap-6123.pdf 2018-11-16 AP-6339 Stay Order /alj/aljorders/2018/ap-6339.pdf 2018-12-21 33-10595 34-84913 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/2018/33-10595.pdf