2019-07-03
3-15617
Grossman, Larry C.
Adams, Gregory J.
/litigation/apdocuments/ap-3-15617.xml
2013-11-20
33-9481
34-70908
IA-3720
IC-30802
Order Instituting Administrative and Cease-and-Desist Proceedings
/litigation/admin/2013/33-9481.pdf
2013-11-21
AP-1060
Order Scheduling Hearing and Designating Presiding Judge
/alj/aljorders/2013/ap-1060.pdf
2013-12-18
AP-1110
Postponement Order
/alj/aljorders/2013/ap-1110.pdf
2013-12-30
AP-1132
Prehearing Order
/alj/aljorders/2013/ap-1132.pdf
2014-01-09
AP-1155
Scheduling Order
/alj/aljorders/2014/ap-1155.pdf
2014-01-29
AP-1207
Order
/alj/aljorders/2014/ap-1207.pdf
2014-01-31
AP-1210
Order
/alj/aljorders/2014/ap-1210.pdf
2014-03-05
AP-1281
Order Redesignating Presiding Judge
/alj/aljorders/2014/ap-1281.pdf
2014-03-05
AP-1284
Order for Telephonic Prehearing Conference
/alj/aljorders/2014/ap-1284.pdf
2014-03-07
AP-1289
Order for Partial Stay as to Gregory J. Adams
/alj/aljorders/2014/ap-1289.pdf
2013-12-13
Respondent Larry C. Grossman's Answer and Affirmative Defenses
/litigation/apdocuments/3-15617-event-8.pdf
2013-12-19
Respondent Gregory J. Adams Answer and Affirmative Defenses
/litigation/apdocuments/3-15617-event-10.pdf
2014-03-10
Division's Prehearing Brief
/litigation/apdocuments/3-15617-event-31.pdf
2014-03-11
Respondent's, Larry C. Grossman's Prehearing Brief
/litigation/apdocuments/3-15617-event-34.pdf
2014-04-07
33-9572
34-71885
IA-3811
IC-31008
Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order, and Ordering Continuation of Proceedings Against Gregory J. Adams
/litigation/admin/2014/33-9572.pdf
2014-05-23
Division's Initial Posthearing Brief and Proposed Findings of Fact and Conclusions of Law
/litigation/apdocuments/3-15617-event-49.pdf
2014-06-23
Respondent Grossman's Post-Hearing Brief
/litigation/apdocuments/3-15617-event-50.pdf
2014-07-11
Division's Post-Hearing Reply Brief
/litigation/apdocuments/3-15617-event-51.pdf
2014-08-13
AP-1697
Motion to Commission for Extension
/alj/aljorders/2014/ap-1697.pdf
2014-08-19
AP-1711
Order On Motion as to Gregory J. Adams
/alj/aljorders/2014/ap-1711.pdf
2014-08-18
Division's Consent Motion for Proposed Summary Disposition Briefing Regarding Respondent Gregory J. Adams
/litigation/apdocuments/3-15617-event-54.pdf
2014-09-05
33-9640
34-73014
IA-3911
IC-31241
Order Extending Deadline for Filing Initial Decision
/litigation/opinions/2014/33-9640.pdf
2014-09-30
Division's Motion for Summary Disposition Against Respondent Gregory Adams
/litigation/apdocuments/3-15617-event-57.pdf
2014-10-31
Respondent Gregory J. Adams' Opposition to the Division's Motion for Summary Disposition
/litigation/apdocuments/3-15617-event-58.pdf
2014-11-28
AP-2061
Posthearing Order
/alj/aljorders/2014/ap-2061.pdf
2014-11-18
Division's Reply in Support of Its Motion for Summary Disposition Against Respondent Gregory G. Adams
/litigation/apdocuments/3-15617-event-61.pdf
2014-12-23
ID-727
Initial Decision
/alj/aljdec/2014/id727bpm.pdf
2014-12-05
Respondent Grossman's Notice of Filing with Attached Exhibits A-E.
/litigation/apdocuments/3-15617-event-65.pdf
2015-01-13
Larry Grossman's Petition for Review of Initial Decision
/litigation/apdocuments/3-15617-event-68.pdf
2015-01-28
33-9716
34-74168
IA-4010
IC-31436
Order Granting Petition for Review and Scheduling Briefs
/litigation/opinions/2015/33-9716.pdf
2015-02-26
Respondent Grossman's Initial Brief
/litigation/apdocuments/3-15617-event-70.pdf
2015-03-27
Division's Brief in Opposition to Respondent Larry C. Grossman's Petition for Review of Initial Decision
/litigation/apdocuments/3-15617-event-72.pdf
2015-04-10
Respondent Grossman's Reply Brief in Support of Application for Review
/litigation/apdocuments/3-15617-event-73.pdf
2015-04-22
33-9754
34-74787
IA-4068
IC-31574
Notice That Initial Decision Has Become Final
/alj/aljdec/2015/33-9754.pdf
2016-06-17
33-10101
34-78099
IA-4432
IC-32153
Order Scheduling Oral Argument
/litigation/admin/2016/33-10101.pdf
2016-06-08
Respondent's Notice of Filing Supplemental Authority
/litigation/apdocuments/3-15617-event-75.pdf
2016-06-17
33-10101
34-78099
IA-4432
IC-32153
Order Scheduling Oral Argument
/litigation/admin/2016/33-10101.pdf
2016-09-30
33-10227
34-79009
IA-4543
IC-32298
Opinion of the Commission
/litigation/opinions/2016/33-10227.pdf
2016-10-14
Respondent Larry Grossman's Motion for Partial Stay of Monetary Sanctions Pending Appeal
/litigation/apdocuments/3-15617-event-87.pdf
2016-10-18
Division's Response to Respondent Larry Grossman's Motion for Partial Stay of Monetary Sanctions Pending Appeal
/litigation/apdocuments/3-15617-event-88.pdf
2016-11-01
33-10244
34-79217
IA-4563
IC-32352
Order Granting Partial Stay
/litigation/opinions/2016/33-10244.pdf
2017-08-31
33-10409
34-81517
IA-4761
IC-32807
Order Scheduling Briefs
/litigation/opinions/2017/33-10409.pdf
2017-09-28
Division's and Larry C. Grossman's Joint Brief
/litigation/apdocuments/3-15617-event-91.pdf
2018-03-29
33-10473
34-82967
IA-4871
IC-33062
Order in Response to Remand
/litigation/opinions/2018/33-10473.pdf
2019-07-03
33-10659
34-86293
IA-5281
IC-33542
Order Vacating Municipal Securities Dealer and Transfer Agent Bars
/litigation/opinions/2019/33-10659.pdf