2019-07-08
3-15790
Horowitz, Michael A.
Cohen, Moshe Marc
/litigation/apdocuments/ap-3-15790.xml
2014-03-13
33-9559
34-71715
IA-3794
IC-30981
Order Instituting Administrative and Cease-and-Desist Proceedings and Notice of Hearing
/litigation/admin/2014/33-9559.pdf
2014-03-14
AP-1305
Order Scheduling Hearing and Designating Presiding Judge
/alj/aljorders/2014/ap-1305.pdf
2014-03-20
AP-1323
Order Postponing Hearing and Scheduling Prehearing Conference
/alj/aljorders/2014/ap-1323.pdf
2014-03-27
AP-1340
Order
/alj/aljorders/2014/ap-1340.pdf
2014-04-21
Respondent Cohen's Answer
/litigation/apdocuments/3-15790-event-8.pdf
2014-04-24
Respondent Horowitz's Answer
/litigation/apdocuments/3-15790-event-9.pdf
2014-05-23
AP-1459
Notice of Hearing Location
/alj/aljorders/2014/ap-1459.pdf
2014-07-01
AP-1578
Order Staying Proceedings as to Michael A. Horowitz
/alj/aljorders/2014/ap-1578.pdf
2014-07-02
AP-1583
Order Setting Prehearing Conference
/alj/aljorders/2014/ap-1583.pdf
2014-07-07
AP-1589
Order Following Prehearing Conference
/alj/aljorders/2014/ap-1589.pdf
2014-07-10
AP-1601
Notice of Hearing Location
/alj/aljorders/2014/ap-1601.pdf
2014-07-01
Respondent Cohen's Motion for Summary Disposition
/litigation/apdocuments/3-15790-event-14.pdf
2014-07-31
33-9620
34-72729
IA-3884
IC-31195
Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Section 8a of the Securities Act of 1933, Sections 15(b) and 21C of the Securities Exchange Act of 1934, Section 203(f) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940 as to Michael A. Horowitz
/litigation/admin/2014/33-9620.pdf
2014-08-07
AP-1676
Order On Subpoenas
/alj/aljorders/2014/ap-1676.pdf
2014-08-13
AP-1696
Notice
/alj/aljorders/2014/ap-1696.pdf
2014-08-12
Respondent Cohen's Motion for Leave to File a Motion for Summary Disposition as to 17(a)(1) of the Securities Act of 1933 Alleged Violations in the OIP
/litigation/apdocuments/3-15790-event-42.pdf
2014-08-20
Div's Prehearing Brief
/litigation/apdocuments/3-15790-event-47.pdf
2014-08-21
Respondent Cohen's Motion for Leave to File a Motion for Summary Disposition as to Alleged Aided and Abetted 17(a) and 17A-3(a)(6) of the Exchange Act in the OIP
/litigation/apdocuments/3-15790-event-48.pdf
2014-08-21
Respondent Cohen's Motion for Leave to File a Motion for Summary Disposition as to "Immateriality" of "Investment Access" Under the 2008 Suitability Requirements
/litigation/apdocuments/3-15790-event-49.pdf
2014-08-22
Respondent Cohen's Prehearing Brief
/litigation/apdocuments/3-15790-event-54.pdf
2014-08-28
Respondent Cohen's Motion of Summary Disposition of Aided and Abetted 17(a) & 17A-3(a)(6) of the Exchange Act in the OIP
/litigation/apdocuments/3-15790-event-57.pdf
2014-08-28
Respondent Cohen's Motion of Summary Disposition as to 17(a)(1) of the Securities Act of 1933 Alleged Violations in the OIP
/litigation/apdocuments/3-15790-event-58.pdf
2014-08-28
Respondent Cohen's Motion of Summary Disposition as to 10B-5(a) and 10B-5(c) Alleged Violations in the OIP
/litigation/apdocuments/3-15790-event-59.pdf
2014-09-05
AP-1769
Order Following Hearing
/alj/aljorders/2014/ap-1769.pdf
2014-09-29
Division's Post Hearing Brief Against Respondent Cohen
/litigation/apdocuments/3-15790-event-63.pdf
2014-10-31
Respondent Cohen's Post Hearing Brief, with Exhibit A
/litigation/apdocuments/3-15790-event-64.pdf
2014-11-14
Division's Posthearing Reply Brief in Support of Its Case Against Respondent Mosche Marc Cohen
/litigation/apdocuments/3-15790-event-65.pdf
2014-11-18
Respondent Cohen's Sur-Reply to Division's Reply of Respondent's Post Hearing Brief
/litigation/apdocuments/3-15790-event-66.pdf
2014-11-18
Division's Post Hearing Exhibit List
/litigation/apdocuments/3-15790-event-67.pdf
2015-01-07
ID-733
Initial Decision
/alj/aljdec/2015/id733bpm.pdf
2015-01-20
AP-2232
Order Granting Request for Additional Time to File Opposition
/alj/aljorders/2015/ap-2232.pdf
2015-01-13
Division's Motion to Correct Manifest Error of Fact in the Initial Decision
/litigation/apdocuments/3-15790-event-74.pdf
2015-01-28
Division's Reply to Respondent Cohen's Opposition to Correct Manifest Error of Fact in the Initial Decision
/litigation/apdocuments/3-15790-event-76.pdf
2015-01-30
Respondent Cohen's Opposition to Division's Motion to Correct Manifest Error of Fact in the Initial Decision
/litigation/apdocuments/3-15790-event-77.pdf
2015-02-09
AP-2297
Order Denying Motion to Correct Manifest Error of Fact in the Initial Decision
/alj/aljorders/2015/ap-2297.pdf
2015-03-02
Division's Petition for Review of Initial Decision and Motion to Submit Additional Evidence, W Ith Declaration of James Lee Buck, II Attached, with Exhibits 1-3.
/litigation/apdocuments/3-15790-event-79.pdf
2015-03-03
Respondent Cohen's Petition for Review of Initial Decision.
/litigation/apdocuments/3-15790-event-80.pdf
2015-03-20
34-74557
Order Granting Petitions for Review and Scheduling Briefs
/litigation/opinions/2015/34-74557.pdf
2015-04-20
Respondent Cohen's Brief in Support of Petition for Review
/litigation/apdocuments/3-15790-event-83.pdf
2015-05-20
Division's Opposition to Respondent Cohen's Brief in Support of Petition for Review and Brief in Further Support of Division's Request for Additional Remedies
/litigation/apdocuments/3-15790-event-84.pdf
2015-06-03
Respondent Moshe Marc Cohen's Reply Brief
/litigation/apdocuments/3-15790-event-85.pdf
2015-09-15
33-9912
34-75922
IA-4194
IC-31824
Order Requesting Additional Submissions
/litigation/opinions/2015/33-9912.pdf
2016-09-09
33-10205
34-78797
Opinion of the Commission and Order Imposing Remedial Sanctions
/litigation/opinions/2016/33-10205.pdf
2019-07-08
33-10661
34-86318
IC-33545
Order Vacating Investment Adviser, Municipal Securities Dealer, and Transfer Agent Bars
/litigation/opinions/2019/33-10661.pdf