2018-12-21
3-15519
Timbervest, LLC
Shapiro, Joel Barth
Boden, Walter William Anthony, III
Zell, Donald David, Jr.
Jones, Gordon, II
/litigation/apdocuments/ap-3-15519.xml
2013-09-26
AP-915
Order
/alj/aljorders/2013/ap-915.pdf
2013-10-18
AP-969
Order Granting Motion, Postponing Hearing, Scheduling Prehearing Conference, and Granting Leave to File Motion for Summary Disposition
/alj/aljorders/2013/ap-969.pdf
2013-11-14
AP-1038
Order Following Prehearing Conference
/alj/aljorders/2013/ap-1038.pdf
2013-11-15
AP-1043
Order on Consent Motion
/alj/aljorders/2013/ap-1043.pdf
2013-11-25
AP-1069
Order on Several Pending Motions
/alj/aljorders/2013/ap-1069.pdf
2013-12-13
AP-1101
Order Denying Motion for Summary Disposition
/alj/aljorders/2013/ap-1101.pdf
2013-12-18
AP-1109
Order Scheduling Prehearing Conference
/alj/aljorders/2013/ap-1109.pdf
2013-12-19
AP-1120
Order Following Second Prehearing Conference
/alj/aljorders/2013/ap-1120.pdf
2013-09-24
IA-3678
IC-30697
Order Instituting Administrative and Cease-and-Desist Proceedings and Notice of Hearing
/litigation/admin/2013/ia-3678.pdf
2013-12-30
AP-1133
Order Setting Briefing Schedule for Motion to Quash Subpoenas
/alj/aljorders/2013/ap-1133.pdf
2014-01-02
AP-1137
Order
/alj/aljorders/2014/ap-1137.pdf
2013-10-11
Answer of Respondents
/litigation/apdocuments/3-15519-event-11.pdf
2013-12-04
Division's Opposition to Motion for Summary Disposition
/litigation/apdocuments/3-15519-event-26.pdf
2013-12-11
Respondents' Reply Brief in Support of Motion for Summary Disposition
/litigation/apdocuments/3-15519-event-27.pdf
2014-01-15
AP-1173
Order Granting in Part Subpoena Requests
/alj/aljorders/2014/ap-1173.pdf
2014-01-31
AP-1211
Order Setting Hearing Venue
/alj/aljorders/2014/ap-1211.pdf
2014-02-11
AP-1232
Post-Hearing Order
/alj/aljorders/2014/ap-1232.pdf
2013-12-16
AP-1103
Order Redesignating Presiding Judge
/alj/aljorders/2013/ap-1103.pdf
2014-03-28
Respondent's Post-Hearing Brief On Behalf of Gordon Jones II
/litigation/apdocuments/3-15519-event-63.pdf
2014-03-28
Respondent's Post-Hearing Brief On Behalf of William Boden
/litigation/apdocuments/3-15519-event-64.pdf
2014-03-28
Respondent Timbervest's Post-Hearing Brief
/litigation/apdocuments/3-15519-event-65.pdf
2014-03-28
Respondent's Post-Hearing Brief On Behalf of Joel Shapiro
/litigation/apdocuments/3-15519-event-66.pdf
2014-03-28
Respondent's Post-Hearing Brief On Behalf of Donald David Zell
/litigation/apdocuments/3-15519-event-67.pdf
2014-03-31
Division's Post-Hearing Brief
/litigation/apdocuments/3-15519-event-73.pdf
2014-04-18
Reply to Division's Post-Hearing Brief On Behalf of Joel B. Shapiro
/litigation/apdocuments/3-15519-event-75.pdf
2014-04-18
Post-Hearing Reply Brief On Behalf of David Zell
/litigation/apdocuments/3-15519-event-76.pdf
2014-04-18
Post-Hearing Reply Brief On Behalf of William Boden
/litigation/apdocuments/3-15519-event-77.pdf
2014-04-18
Division's Consolidated Response to Respondents' Post-Hearing Briefs
/litigation/apdocuments/3-15519-event-78.pdf
2014-04-18
Timbervest's Response to the Division's Post-Hearing Brief
/litigation/apdocuments/3-15519-event-79.pdf
2014-04-21
Post-Hearing Reply Brief On Behalf of Gordon Jones II
/litigation/apdocuments/3-15519-event-80.pdf
2014-06-20
AP-1546
Motion for Extension
/alj/aljorders/2014/ap-1546.pdf
2014-08-11
IA-3892
Order Extending Deadline for Filing Initial Decision
/litigation/opinions/2014/ia-3892.pdf
2014-08-20
ID-658
Initial Decision
/alj/aljdec/2014/id658ce.pdf
2014-09-10
Division's Petition for Review
/litigation/apdocuments/3-15519-event-94.pdf
2014-09-11
Respondent's Petition for Review
/litigation/apdocuments/3-15519-event-95.pdf
2014-09-30
IA-3942
IC-31273
Order Granting Petitions for Review and Scheduling Briefs
/litigation/admin/2014/ia-3942.pdf
2014-10-30
Respondent Timbervest, LLC's Petition for Review
/litigation/apdocuments/3-15519-event-99.pdf
2014-10-30
Respondent Walter William Anthony Boden, Ill's Petition for Review
/litigation/apdocuments/3-15519-event-100.pdf
2014-10-30
Respondent Joel Barth Shapiro's Petition for Review
/litigation/apdocuments/3-15519-event-101.pdf
2014-10-30
Respondent Donald David Zell Jr.'s Petition for Review
/litigation/apdocuments/3-15519-event-102.pdf
2014-10-30
Respondent Gordon Jones II's Petition for Review
/litigation/apdocuments/3-15519-event-103.pdf
2014-10-31
Division's Brief Supporting Petition for Review
/litigation/apdocuments/3-15519-event-105.pdf
2014-12-01
Division's Consolidated Response to Respondents' Appeals to the Commission
/litigation/apdocuments/3-15519-event-106.pdf
2014-12-01
Respondents' Opposition to the Brief Supporting Division's Petition for Review
/litigation/apdocuments/3-15519-event-107.pdf
2014-12-02
Respondent's Motion to Strike Uncharged Allegations, or in the Alternative, to Introduce Additional Evidence
/litigation/apdocuments/3-15519-event-108.pdf
2014-12-02
Respondent's Motion to Strike Excessive Pages
/litigation/apdocuments/3-15519-event-109.pdf
2014-12-12
Reply to Div's Opposition to Resps' Motion to Strike Uncharged Alleg, Or, in the Alternative, to Introduce Add'l Evid; Reply to Div's Opposition to Resps' Motion to Strike Excessive Pages; and Declaration of G. Kostolampros
/litigation/apdocuments/3-15519-event-113.pdf
2014-12-15
Division's Reply Brief in Support of Its Petition for Review
/litigation/apdocuments/3-15519-event-114.pdf
2014-12-15
Respondenfs Reply to Division's Consolidated Response to Respondent's Appeals
to the Commission
/litigation/apdocuments/3-15519-event-115.pdf
2014-12-15
Joe Barth Shapiro's Reply in Support of His Appeal to the Commission
/litigation/apdocuments/3-15519-event-116.pdf
2014-12-15
Walter William Anthony Boden, III's Reply in Support of His Appeal to the Commission
/litigation/apdocuments/3-15519-event-117.pdf
2014-12-15
Donald David Zell, Jr.'s Reply in Support of His Appeal to the Commission
/litigation/apdocuments/3-15519-event-118.pdf
2014-12-15
Gordon Jones II's Reply in Support of His Appeal to the Commission
/litigation/apdocuments/3-15519-event-119.pdf
2015-01-20
IA-4003
IC-31424
Order Regarding Supplemental Briefing
/litigation/opinions/2015/ia-4003.pdf
2015-02-02
IA-4012
IC-31442
Revised Order Regarding Supplemental Briefs
/litigation/opinions/2015/ia-4012.pdf
2015-02-11
Division's Memorandum of Law in Response to the Commission's Order Requesting Supplemental Briefing
/litigation/apdocuments/3-15519-event-123.pdf
2015-02-23
Respondents' Supplemental Brief On the Separation of Powers Issue
/litigation/apdocuments/3-15519-event-124.pdf
2015-03-23
Respondents Notice of Supplemental Authority
/litigation/apdocuments/3-15519-event-125.pdf
2015-05-01
IA-4076
IC-31591
Order Scheduling Oral Argument
/litigation/admin/2015/ia-4076.pdf
2015-05-06
IA-4078
IC-31595
Order Denying Consent Motion to Reschedule Oral Argument
/litigation/admin/2015/ia-4078.pdf
2015-05-05
Division's Consent Motion to Reschedule Oral Argument
/litigation/apdocuments/3-15519-event-127.pdf
2015-05-27
IA-4096
IC-31652
Order Requesting Additional Submissions and Additional Briefing
/litigation/opinions/2015/ia-4096.pdf
2015-05-20
Respondants' Motion to Allow Submission of Additional Evidence and Motion for Leave to Adduce Additional Evidence
/litigation/apdocuments/3-15519-event-130.pdf
2015-05-28
Division's Motion to Reschedule Oral Argument
/litigation/apdocuments/3-15519-event-133.pdf
2015-05-29
IA-4099
IC-31654
Order Denying Motion to Reschedule Oral Argument
/litigation/admin/2015/ia-4099.pdf
2015-06-01
Respondents' Reply in Further Support of Motion to Allow Submission of Additional Evidence and Motion for Leave to Adduce Additional Evidence
/litigation/apdocuments/3-15519-event-136.pdf
2015-06-04
IA-4103
IC-31660
Order Concerning Additional Submission and Protective Order
/litigation/opinions/2015/ia-4103.pdf
2015-06-04
Division's Notice of Filing, with Attached Affidavit of Jayne L. Seidman
/litigation/apdocuments/3-15519-event-139.pdf
2015-06-11
Division's Motion for Reconsideration
/litigation/apdocuments/3-15519-event-141.pdf
2015-07-01
Division's Memorandum of Law in Response to the Commission's 5/27/15 Order Requesting Supplemental Briefing
/litigation/apdocuments/3-15519-event-148.pdf
2015-07-02
Division's Opposition to Respondents' Motion to Compel
/litigation/apdocuments/3-15519-event-152.pdf
2015-07-08
Respondent's Reply in Support of Motion to Compel Division to Comply with Commission Order
/litigation/apdocuments/3-15519-event-153.pdf
2015-08-04
Notice of Filing Supplemental Authority
/litigation/apdocuments/3-15519-event-155.pdf
2015-07-29
Respondents Motion to Compel Production of Brady Material
/litigation/apdocuments/3-15519-event-154.pdf
2015-08-11
IA-4166
IC-31749
Order Requesting Additional Briefing
/litigation/opinions/2015/ia-4166.pdf
2015-08-06
Division's Opposition to Respondents' Motion to the Commission to Compel Production of Brady Material
/litigation/apdocuments/3-15519-event-156.pdf
2015-08-06
Respondents Notice of Filing Supplemental Authority
/litigation/apdocuments/3-15519-event-157.pdf
2015-08-10
Respondents' Reply in Further Support of Respondents' Motion to Compel Production of Brady Material
/litigation/apdocuments/3-15519-event-158.pdf
2015-08-18
Respondents' Supplemental Brief in Further Support of Motion to Allow Submission of Additional Evidence and Leave to Adduce Additional Evidence
/litigation/apdocuments/3-15519-event-160.pdf
2015-08-26
IA-4183
IC-31787
Order for In Camera Review and Protective Order
/litigation/opinions/2015/ia-4183.pdf
2015-08-24
Respondents' Motion Seeking Removal of ALJ Elliot's Initial Decision from the Commission's Website Or, in the Alternative, Affixing Upon the Initial Decision the Lable "Null and Void"
/litigation/apdocuments/3-15519-event-162.pdf
2015-08-21
Division's Supplemental Brief
/litigation/apdocuments/3-15519-event-161.pdf
2015-08-31
Division's Notice of Filing Pursuant to Commission's Order of 8/26/15
/litigation/apdocuments/3-15519-event-165.pdf
2015-08-31
Division's Opposition to Respondents Motion Seeking Removal of ALJ Elliots Initial Decision from the Commission's Website or, in the Alternative, Affixing Upon the Initial Decision the Label "Null and Void."
/litigation/apdocuments/3-15519-event-166.pdf
2015-09-15
IA-4195
IC-31825
Order Accepting Material for Inclusion in the Record
/litigation/opinions/2015/ia-4195.pdf
2015-09-17
IA-4197
IC-31830
Opinion of the Commission
/litigation/opinions/2015/ia-4197.pdf
2015-09-17
IA-4198
Order Staying Remedial Sanctions
/litigation/admin/2015/ia-4198.pdf
2016-07-05
IA-4443
IC-32169
Order Scheduling Briefs
/litigation/opinions/2016/ia-4443.pdf
2016-07-15
Respondents' Brief in Support of Motion for Leave to Adduce Additional Evidence
/litigation/apdocuments/3-15519-event-171.pdf
2016-07-15
Division's Opposition to Respondents' Motion for Leave to Adduce Additional Evidience
/litigation/apdocuments/3-15519-event-172.pdf
2016-08-02
Respondents' Reply Brief in Further Support of Motion for Leave to Adduce Additional Evidence
/litigation/apdocuments/3-15519-event-173.pdf
2016-08-22
IA-4492
IC-32223
Recommendation Regarding Disgorgement
/litigation/opinions/2016/ia-4492.pdf
2018-12-21
IA-5093
IC-33340
Order Amending Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to 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, Making Findings and Imposing a Cease-and-Desist Order Pursuant to Section 203(k) of the Investment Advisers Act of 1940
/litigation/admin/2018/ia-5093.pdf