2016-07-14
3-16037
Page, Edgar R.
PageOne Financial Inc.
/litigation/apdocuments/ap-3-16037.xml
2014-08-26
IA-3904
IC-31223
Order Instituting Administrative and Cease-Anddesist 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
/litigation/admin/2014/ia-3904.pdf
2014-08-28
AP-1735
Order Scheduling Hearing and Designating Presiding Judge
/alj/aljorders/2014/ap-1735.pdf
2014-09-05
AP-1765
Postponement Order
/alj/aljorders/2014/ap-1765.pdf
2014-09-18
Answer of Edgar R. Page and PageOne Financial, Inc.
/litigation/apdocuments/3-16037-event-6.pdf
2014-09-26
AP-1850
Order Redesignating Presiding Judge
/alj/aljorders/2014/ap-1850.pdf
2014-09-29
AP-1855
Order Setting Prehearing Schedule
/alj/aljorders/2014/ap-1855.pdf
2014-10-28
AP-1954
Order Amending OIP and Permitting Filing of Second Answer
/alj/aljorders/2014/ap-1954.pdf
2014-10-30
AP-1960
Notice of Hearing Location
/alj/aljorders/2014/ap-1960.pdf
2014-12-23
AP-2162
Order Granting in Part Respondents' Motion
/alj/aljorders/2014/ap-2162.pdf
2015-01-09
AP-2199
Order Regarding Peterson Testimony Date
/alj/aljorders/2015/ap-2199.pdf
2015-01-13
AP-2213
Order Regarding Respondents' Reliance On Advice Defenses
/alj/aljorders/2015/ap-2213.pdf
2015-01-14
AP-2216
Order On Motions in Limine
/alj/aljorders/2015/ap-2216.pdf
2014-12-12
Division's Request the Issuance of Trial Subpoenas Ad Testificandum (ArenaJ, BurkeS, CookJ, JacksonR, MadiganH, MilkiewiczP, PageER, PetersonJ, QuinnT, TobiaR, Van BusKirkB, and XifarasM)
/litigation/apdocuments/3-16037-event-16.pdf
2014-12-22
Motion to Extend Hearing as Witness Is Unavailable Until February 18, 2015 or, in Alternative, Permit Witness to Be Deposed Prior to Hearing and to Have That Deposition Introduced as Evidence At the Hearing
/litigation/apdocuments/3-16037-event-19.pdf
2014-12-22
Witness List and Exhibit List of Edgar R. Page and Pageone Financial, Inc.
/litigation/apdocuments/3-16037-event-20.pdf
2014-12-31
Ltr of 12/20 to ALJ Patil from Resps Requesting the Issuance of Subpoenas (to Joseph Arena; Keith Axelrod; Bill Benson; Gordon D'angelo; Michael Del Giudice; Bryan Harrison; Frank Healy; Edgar Page; John Peterson; Ira Stier; Steven Thel; Michael Xifaras)
/litigation/apdocuments/3-16037-event-22.pdf
2015-01-02
Letter of 12/30/14 to ALJ Patil from Division Attorney Eric Schmidt Requesting the Issuance of a Trial Subpoena Ad Testificandum (to Robert Tobia)
/litigation/apdocuments/3-16037-event-23.pdf
2015-01-05
Respondents' Expert Report of Steve Thel
/litigation/apdocuments/3-16037-event-24.pdf
2015-01-05
Division's Expert Report of Arthur B. Laby
/litigation/apdocuments/3-16037-event-25.pdf
2015-01-12
Prehearing Brief of Edgar R. Page and Pageone Financial, Inc.
/litigation/apdocuments/3-16037-event-27.pdf
2015-01-12
Respondents' Supplemental Trial Exhibit List
/litigation/apdocuments/3-16037-event-28.pdf
2015-01-21
AP-2239
Post-Final Prehearing Conference Order
/alj/aljorders/2015/ap-2239.pdf
2015-01-27
AP-2262
Order
/alj/aljorders/2015/ap-2262.pdf
2015-01-12
Respondents Rebuttal Expert Report of Steve Thel
/litigation/apdocuments/3-16037-event-29.pdf
2015-01-12
Respondents' Motion in Limine to Exclude Certain Testimony of Arthur B. Laby
/litigation/apdocuments/3-16037-event-30.pdf
2015-01-12
Division's Prehearing Brief
/litigation/apdocuments/3-16037-event-32.pdf
2015-01-12
Division's Motion and Memorandum of Law in Support of Its Motion in Limine No.1 to Preclude Respondents from Offering Evidence or Argument in Support of Their Defense That They Relied On Advice of Counsel and Other Experts
/litigation/apdocuments/3-16037-event-33.pdf
2015-01-12
Division's Motion and Memorandum of Law in Support of Its Motion in Limine No. 2 to Preclude Report or Testimony of Professor Steve Thel
/litigation/apdocuments/3-16037-event-34.pdf
2015-01-12
Division's Motion and Memorandum of Law in Support of Its Motion in Limine No.3 to Preclude Irrelevant Evidence of Transactions Not At Issue in This Case
/litigation/apdocuments/3-16037-event-35.pdf
2015-01-12
Division's Motion and Memorandum of Law in Support of Its Motion in Limine No.4 to Preclude Respondents from Offering Any Evidence_or Argument That Division Failed to Comply with Section 929U of Dodd-Frank
/litigation/apdocuments/3-16037-event-36.pdf
2015-01-12
Division's Objections to Respondents' Exhibits and Witnesses
/litigation/apdocuments/3-16037-event-37.pdf
2015-01-12
Rebuttal Report of Arthur B. Laby
/litigation/apdocuments/3-16037-event-38.pdf
2015-01-14
Division's List of Rebuttal Witnesses and Supplemental Exhibits
/litigation/apdocuments/3-16037-event-40.pdf
2015-01-20
Respondents' Memorandum in Opposition to the Division's Motion in Limine No. 2 to Preclude the Report or Testimony of Professor Thel
/litigation/apdocuments/3-16037-event-45.pdf
2015-01-20
Respondents' Offer of Proof in Opposition to the Division's Motion in Limine No. 3 to Preclude Irrelevant Evidence of Transcations Not At Issue in This Case
/litigation/apdocuments/3-16037-event-46.pdf
2015-01-22
Ltr of 1/15/15 to OS from MKLohman, Iseman, Cunningham, Riester & Hyde, LLP Regarding Respondent's Revised Trail Exhibit List Correcting Errors Contained in the Original Exhibit List Filed On 12/22/14
/litigation/apdocuments/3-16037-event-50.pdf
2015-01-23
Ltr of 1/23 to ALJ Patil from Counsel for Resps Stating Resps Shouldn't Be Precluded from Introducing Proof of Mere Engage & Involvement of Counsel B/C Evidence Is Relevant Not Prejudicial & Doesn't Put Any Privileged Commun or Substance of Legal Advice
/litigation/apdocuments/3-16037-event-51.pdf
2015-01-27
Respondents' Stipulation of Facts
/litigation/apdocuments/3-16037-event-52.pdf
2015-01-29
Ltr of 1/26/15 to ALJ from Div Re Court Requested Briefg as to Whether Resps Can Offer Evidence That Attys Were Present During the Negotia of United Group's Acquisition of PageOne to Show Resps' Good Faith, Mental State & Scienter, w/o Waiving Privilege
/litigation/apdocuments/3-16037-event-54.pdf
2015-02-02
AP-2274
Stay Order
/alj/aljorders/2015/ap-2274.pdf
2015-02-02
Joint Motion to Stay Proceeding Pending Commission Consideration of Offer of Settlement.
/litigation/apdocuments/3-16037-event-56.pdf
2015-03-10
IA-4044
IC-31503
Order Making Findings, Imposing Remedial Sanctions and a Cease-and-Desist Order 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, and Ordering Continuation of Proceedings
/litigation/admin/2015/ia-4044.pdf
2015-03-12
AP-2418
Order Setting Hearing Date
/alj/aljorders/2015/ap-2418.pdf
2015-04-02
AP-2485
Order Setting Prehearing Schedule
/alj/aljorders/2015/ap-2485.pdf
2015-04-08
AP-2519
Order Denying Respondents' Request for Extensions and Setting Deadline for Prehearing Briefs
/alj/aljorders/2015/ap-2519.pdf
2015-05-05
AP-2629
Post-Hearing Order
/alj/aljorders/2015/ap-2629.pdf
2015-05-11
AP-2658
Order Setting Response Deadlines
/alj/aljorders/2015/ap-2658.pdf
2015-05-12
AP-2660
Order Closing Hearing Record
/alj/aljorders/2015/ap-2660.pdf
2015-05-13
AP-2666
Order Granting Motion to Correct Transcript
/alj/aljorders/2015/ap-2666.pdf
2015-05-13
AP-2670
Order Granting in Part Motion for Protective Order and Sealing Certain Exhibits
/alj/aljorders/2015/ap-2670.pdf
2015-05-20
AP-2695
Order Granting Respondents' Request to Amend Filing
/alj/aljorders/2015/ap-2695.pdf
2015-05-20
AP-2696
Order Temporarily Sealing Filings
/alj/aljorders/2015/ap-2696.pdf
2015-06-01
AP-2742
Order Sealing Certain Unredacted Filings and Striking One Filing
/alj/aljorders/2015/ap-2742.pdf
2015-05-18
Respondents' Post-Remedies Hearing Brief
/litigation/apdocuments/3-16037-event-86.pdf
2015-06-25
ID-822
Initial Decision
/alj/aljdec/2015/id822jsp.pdf
2015-06-04
Division's REDACTED Brief in Response to Respondents' Post Remedies Hearing
Brief
/litigation/apdocuments/3-16037-event-101.pdf
2015-06-04
Division's REDACTED Post Hearing Brief Seeking Relief Against Respondents
/litigation/apdocuments/3-16037-event-102.pdf
2015-06-04
Division's REDACTED Proposed Findings of Fact and Conclusions of Law
/litigation/apdocuments/3-16037-event-103.pdf
2015-06-04
Respondents' REDACTED Amended Proposed Findings of Fact and Conclusions
of Law
/litigation/apdocuments/3-16037-event-104.pdf
2015-06-04
Division's REDACTED Response to Respondents' Finding of Fact and Conclusions
of Law
/litigation/apdocuments/3-16037-event-105.pdf
2015-06-04
Respondents' REDACTED Post-Remedies Hearing Brief
/litigation/apdocuments/3-16037-event-106.pdf
2015-08-05
IA-4157
IC-31739
Order Granting Review and Scheduling Briefs
/litigation/opinions/2015/ia-4157.pdf
2015-09-04
Memorandum of Law in Support of Petition for Review of Initial Decision of Respondents Edgar R. Page and PageOne Financial, Inc.
/litigation/apdocuments/3-16037-event-113.pdf
2015-10-05
Division's Memorandum of Law in Opposition to Respondents' Appeal and in Support of the Division's Cross-Appeal from Initial Decision No. 822
/litigation/apdocuments/3-16037-event-115.pdf
2015-10-22
Reply in Memorandum of Law in Further Support of Petition for Review of Initial Decision of Respondents and in Opposition to the Division's Cross-Appeal
/litigation/apdocuments/3-16037-event-116.pdf
2016-02-05
IA-4331
IC-31987
Order Scheduling Order Scheduling
/litigation/admin/2016/ia-4331.pdf
2016-03-15
Respondents' Notice of Supplemental Developments
/litigation/apdocuments/3-16037-event-120.pdf
2016-03-16
Division's Opposition to Respondents' Notice of Supplemental Developements
/litigation/apdocuments/3-16037-event-121.pdf
2016-05-27
IA-4400
IC-32131
Opinion of the Commission
/litigation/opinions/2016/ia-4400.pdf
2016-06-08
IA-4416
IC-32143
Order Denying Stay in Light of Pending Reconsideration Motion
/litigation/opinions/2016/ia-4416.pdf
2016-06-07
Respondents' Memorandum of Law in Support of Motion to Reconsider and Stay
/litigation/apdocuments/3-16037-event-127.pdf
2016-07-14
IA-4454
IC-32177
Order Denying Motion for Reconsideration
/litigation/opinions/2016/ia-4454.pdf