Order Instituting Administative and Cease-and-Desist Proceedings, and Notice of Hearing

2016-09-13 3-15918 Malouf, Dennis J. /litigation/apdocuments/ap-3-15918.xml 2014-06-09 33-9597 34-72352 IA-3847 IC-31073 Order Instituting Administative and Cease-and-Desist Proceedings, and Notice of Hearing /litigation/admin/2014/33-9597.pdf 2014-06-10 AP-1504 Order Scheduling Hearing and Designating Presiding Judge /alj/aljorders/2014/ap-1504.pdf 2014-06-24 AP-1553 Order Postponing Hearing and Scheduling Prehearing Conference /alj/aljorders/2014/ap-1553.pdf 2014-07-01 AP-1577 Order Extending Time to File Answer /alj/aljorders/2014/ap-1577.pdf 2014-07-09 AP-1594 Second Order Extending Time to File Answer /alj/aljorders/2014/ap-1594.pdf 2014-07-22 AP-1643 Order Setting Prehearing Schedule /alj/aljorders/2014/ap-1643.pdf 2014-07-21 Respondent's Answer and Affirmative Defenses /litigation/apdocuments/3-15918-event-11.pdf 2014-07-29 AP-1656 General Prehearing Order /alj/aljorders/2014/ap-1656.pdf 2014-08-28 AP-1740 Order On Subpoenas /alj/aljorders/2014/ap-1740.pdf 2014-09-08 AP-1776 Order Regarding Application to Quash Subpoena /alj/aljorders/2014/ap-1776.pdf 2014-09-09 AP-1780 Order Regarding Motions to Quash Subpoenas /alj/aljorders/2014/ap-1780.pdf 2014-09-10 AP-1790 Order Setting Hearing Location /alj/aljorders/2014/ap-1790.pdf 2014-09-15 AP-1806 Order Regarding Application to Quash Subpoena /alj/aljorders/2014/ap-1806.pdf 2014-09-18 AP-1816 Order Quashing in Part and Modifying Subpoena Request to Fidelity Brokerage Services, LLC /alj/aljorders/2014/ap-1816.pdf 2014-09-19 AP-1817 Order Quashing in Part and Modifying Subpoena Request to Aca Compliance Group Holdings, LLC /alj/aljorders/2014/ap-1817.pdf 2014-09-22 AP-1827 Order Quashing in Part and Modifying Subpoena Requests to UASNM, Inc., and Albuquerque Business Law P.C. /alj/aljorders/2014/ap-1827.pdf 2014-09-23 AP-1831 Order Granting Motion to Admit Prior Sworn Statement /alj/aljorders/2014/ap-1831.pdf 2014-09-23 AP-1839 Order Quashing in Part and Modifying Subpoena Request to National Advisors Holdings, Inc. d/b/a National Advisors Trust Company, FSB /alj/aljorders/2014/ap-1839.pdf 2014-09-24 AP-1842 Order Redesignating Presiding Judge /alj/aljorders/2014/ap-1842.pdf 2014-09-29 AP-1856 Scheduling Order /alj/aljorders/2014/ap-1856.pdf 2014-10-01 AP-1868 Order Setting Hearing Location /alj/aljorders/2014/ap-1868.pdf 2014-10-10 AP-1906 Order to Show Cause as to Capital Forensics, Inc., and UASNM, Inc. /alj/aljorders/2014/ap-1906.pdf 2014-10-17 AP-1913 Amended Scheduling Order /alj/aljorders/2014/ap-1913.pdf 2014-10-20 AP-1924 Order as to Capital Forensics, Inc. /alj/aljorders/2014/ap-1924.pdf 2014-10-28 AP-1951A Order On Subpoena to UASNM, Inc. /alj/aljorders/2014/ap-1951a.pdf 2014-10-30 AP-1963 Order Excusing Witness /alj/aljorders/2014/ap-1963.pdf 2014-11-03 AP-1971 Order Following Prehearing Conference /alj/aljorders/2014/ap-1971.pdf 2014-11-03 AP-1973 Order as to ACA Compliance Group Holdings, LLC /alj/aljorders/2014/ap-1973.pdf 2014-11-05 AP-1983 Order Extending Time to File Prehearing Briefs /alj/aljorders/2014/ap-1983.pdf 2014-11-07 AP-1991 Order Granting Protective Order as to ACA Compliance Group Holdings, LLC /alj/aljorders/2014/ap-1991.pdf 2014-11-12 AP-2008 Order /alj/aljorders/2014/ap-2008.pdf 2014-11-13 AP-2015 Order Regarding Alan M. Wolper /alj/aljorders/2014/ap-2015.pdf 2014-11-28 AP-2059 Post-Hearing Order /alj/aljorders/2014/ap-2059.pdf 2014-12-08 AP-2108 Order Scheduling Posthearing Conference /alj/aljorders/2014/ap-2108.pdf 2014-11-04 Respondent's Unopposed Motion to Extend Time for Filing Prehearing Briefs /litigation/apdocuments/3-15918-event-105.pdf 2014-11-07 Division's Opposition to Motion to Permit Respondent's Expert Alan Wolper to Testify On or Before 11/21/14 /litigation/apdocuments/3-15918-event-110.pdf 2014-11-07 Division's Amended Opposition to Motion to Permit Respondent's Expert Alan Wolper to Testify On or Before 11/21/14 /litigation/apdocuments/3-15918-event-111.pdf 2014-11-10 Non-Party UASNM's Notice of Compliance and Request for Reconsideration /litigation/apdocuments/3-15918-event-113.pdf 2014-11-10 Respondent's Motion to Permit Respondent's Expert Alan Wolper to Testify On or Before 11/21/14 /litigation/apdocuments/3-15918-event-114.pdf 2014-11-10 Respondent's Prehearing Brief /litigation/apdocuments/3-15918-event-116.pdf 2014-11-10 Division's Prehearing Brief /litigation/apdocuments/3-15918-event-117.pdf 2014-11-10 Division's Opposition to Respondent's Motion in Limine to Exclude Certain Evidence and Testimony /litigation/apdocuments/3-15918-event-118.pdf 2014-11-12 Division's Opposition to Respondent's Motion to Permit Respondent's Expert Alan Wolper to Testify On or Before 11/21/14 /litigation/apdocuments/3-15918-event-119.pdf 2014-11-12 Respondent's Opposition to Division's Motion to Quash Subpoenas Issued to SEC Attorneys and to Issue a Protective Order /litigation/apdocuments/3-15918-event-120.pdf 2014-11-18 Respondent's Opposition to Division's Motion in Limine to Exclude the Purported Expert Testimony of Attorney Alan Wolfer /litigation/apdocuments/3-15918-event-123.pdf 2014-11-21 Ltr of 11/12 to ALJ Patil from Counsel for Resp Stating They Are in Receipt of UASNM's Notice of Compl & Request for Reconsid w/ Respect to Subpoena Issued to It and Sets Forth a Sampling of Issues Identified; Requesting Until 12/10 to Respond /litigation/apdocuments/3-15918-event-124.pdf 2014-12-19 AP-2159 Order /alj/aljorders/2014/ap-2159.pdf 2014-12-22 AP-2160 Order /alj/aljorders/2014/ap-2160.pdf 2015-01-08 AP-2189 Order On Stipulations and Transcript Corrections /alj/aljorders/2015/ap-2189.pdf 2015-01-09 AP-2200 Order /alj/aljorders/2015/ap-2200.pdf 2014-12-08 Divisions Exhibits (Offered and Not Admitted) /litigation/apdocuments/3-15918-event-133.pdf 2014-12-09 Respondent's Admitted Exhibits /litigation/apdocuments/3-15918-event-135.pdf 2014-12-09 Respondent's Opposition to UASNM, Inc's Notice of Compliance and Request for Reconsideration /litigation/apdocuments/3-15918-event-140.pdf 2014-12-18 Division's Additional Proposed Stipulations /litigation/apdocuments/3-15918-event-141.pdf 2014-12-22 Non-Party UASNM, Inc.'s Reply in Support of Request for Reconsideration /litigation/apdocuments/3-15918-event-143.pdf 2014-12-22 Joint Stipulatiom to Correct Transcript /litigation/apdocuments/3-15918-event-144.pdf 2014-12-22 Division's Additional Proposed Stipulations /litigation/apdocuments/3-15918-event-145.pdf 2014-12-24 Respondent's Proposed Stipulations of Fact and Conclusions of Law /litigation/apdocuments/3-15918-event-147.pdf 2015-01-02 UASNM's Motion for Contempt and for Sanctions as to Respondent /litigation/apdocuments/3-15918-event-148.pdf 2015-01-05 Notice of Filing of Agreed-to Stipulations /litigation/apdocuments/3-15918-event-149.pdf 2015-01-14 AP-2219 Order On Division of Enforcement's Motion to Strike /alj/aljorders/2015/ap-2219.pdf 2015-01-12 Division's Post Hearing Brief /litigation/apdocuments/3-15918-event-152.pdf 2015-01-12 Division's Proposed Additional Findings of Fact and Conclusions of Law /litigation/apdocuments/3-15918-event-153.pdf 2015-01-13 Division's Motion to Strike Respondent's Improper Proposed Additional Findings of Fact and Conclusions of Law, and Untimely Affidavit /litigation/apdocuments/3-15918-event-154.pdf 2015-01-16 Respondent's Proposed Findings of Fact and Conclusions of Law /litigation/apdocuments/3-15918-event-158.pdf 2015-01-16 Respondent's Post-Hearing Brief /litigation/apdocuments/3-15918-event-159.pdf 2015-01-21 Division's Notice of Request for Document Subpoena to Dennis J. Malouf /litigation/apdocuments/3-15918-event-167.pdf 2015-01-21 Respondent's Notice of Willingness to Accept Service of Subpoena /litigation/apdocuments/3-15918-event-168.pdf 2015-01-27 Respondent's Supplemented Proposed Findings of Fact and Conclusions of Law /litigation/apdocuments/3-15918-event-169.pdf 2015-02-03 AP-2279 Order /alj/aljorders/2015/ap-2279.pdf 2015-02-03 AP-2280 Order /alj/aljorders/2015/ap-2280.pdf 2015-02-03 AP-2282 Order /alj/aljorders/2015/ap-2282.pdf 2015-02-02 Division's Response to Respondent's Post Hearing Brief /litigation/apdocuments/3-15918-event-170.pdf 2015-02-02 Division's Response to Respondent's Proposed Findings of Fact and Conclusions of Law. /litigation/apdocuments/3-15918-event-171.pdf 2015-02-05 Letter of 1/30/15 to ALJ Patil from Counsel for Resp Stating Respondent Has Made a Good Faith & Reasonable Attempt to Pay UASNM the Fees It Is Owed and Respectfully Requests That the ALJ Find Resp Has Complied with the 1/9/15 Order /litigation/apdocuments/3-15918-event-179.pdf 2015-02-05 Division's Response to Respondents Additional Proposed Findings of Fact and Conclusions of Law /litigation/apdocuments/3-15918-event-180.pdf 2015-02-06 Respondents Response to Division's Post-Hearing Brief /litigation/apdocuments/3-15918-event-181.pdf 2015-02-06 Respondent's Additional Proposed Findings of Fact /litigation/apdocuments/3-15918-event-182.pdf 2015-02-10 Respondent's Response to Division's Proposed Findings of Fact and Conclusions of Law /litigation/apdocuments/3-15918-event-183.pdf 2015-04-07 ID-766 Initial Decision /alj/aljdec/2015/id766jsp.pdf 2015-05-18 33-9775 34-74991 IA-4088 IC-31605 Order Granting Review and Scheduling Briefs /litigation/opinions/2015/33-9775.pdf 2015-05-07 Division's Cross-Petition for Review of Initial Decision /litigation/apdocuments/3-15918-event-184.pdf 2015-06-18 33-9832 34-75226 IA-4121 IC-31682 Order Extending Time in Which to File Briefs /litigation/admin/2015/33-9832.pdf 2015-07-31 Division's Motion to Dismiss Petitions for Review /litigation/apdocuments/3-15918-event-188.pdf 2015-07-31 Division's Amended Motion to Dismiss Petitions for Review /litigation/apdocuments/3-15918-event-189.pdf 2015-08-11 33-9885 34-75663 IA-4164 IC-31747 Extension Order /litigation/admin/2015/33-9885.pdf 2015-08-10 Division's Reply in Support of Amended Motion to Dismiss Petitions for Review and Opposition to Respondent's Request for Extension of Time to Submit Opening Brief in Support /litigation/apdocuments/3-15918-event-193.pdf 2015-09-01 Respondent's Brief in Support of Petition for Review /litigation/apdocuments/3-15918-event-195.pdf 2015-10-01 Division's Motion for Oral Argument /litigation/apdocuments/3-15918-event-196.pdf 2015-10-01 Division's Brief in Support of Its Cross-Petition for Review and in Response to Respondent's Brief in Support of His Petition for Review /litigation/apdocuments/3-15918-event-197.pdf 2015-10-15 Respondent's Reply Brief in Further Support of Petition for Review and Division's Brief in Support of Cross-Petition for Review /litigation/apdocuments/3-15918-event-198.pdf 2015-10-29 Division's Reply Brief in Support of Its Cross-Petition for Review /litigation/apdocuments/3-15918-event-199.pdf 2016-07-27 33-10115 34-78429 IA-4463 IC-32194 Opinion of the Commission /litigation/opinions/2016/33-10115.pdf 2016-08-31 33-10202 34-78739 IA-4516 IC-32250 Order Granting Partial Stay /litigation/opinions/2016/33-10202.pdf 2016-09-13 33-10207 34-78822 IA-4528 IC-32258 Corrected Order Imposing Remedial Sanctions /litigation/opinions/2016/33-10207.pdf