Order Instituting Administrative and Cease-Anddesist Proceedings Pursuant to Sections 203(f) and 203(k) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940

2015-04-16 3-16130 Cooper, Sean C. /litigation/apdocuments/ap-3-16130.xml 2014-09-17 IA-3920 IC-31252 Order Instituting Administrative and Cease-Anddesist Proceedings Pursuant to Sections 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-3920.pdf 2014-09-22 AP-1822 Order Scheduling Hearing and Designating Presiding Judge /alj/aljorders/2014/ap-1822.pdf 2014-10-09 AP-1903 Order /alj/aljorders/2014/ap-1903.pdf 2014-10-20 Respondent's Answer and Affirmative Defenses /litigation/apdocuments/3-16130-event-6.pdf 2014-11-03 AP-1977 Order Setting Prehearing Schedule /alj/aljorders/2014/ap-1977.pdf 2014-11-21 AP-2040 Order Regarding Application to Quash Subpoena /alj/aljorders/2014/ap-2040.pdf 2014-12-03 AP-2087 Order Regarding Application to Quash Subpoena /alj/aljorders/2014/ap-2087.pdf 2014-11-13 Third Party Westend Capital Management LLC's Motion to Quash Subpoena to It for Production of Documentary Evidence. /litigation/apdocuments/3-16130-event-15.pdf 2014-11-13 Declaration of Britt Evangelist in Support of Motion to Quash Subpoena to Third Party Westend Capital Management LLC for Production of Documentary Evidence /litigation/apdocuments/3-16130-event-16.pdf 2014-11-20 Respondent's Opposition to Motion to Quash Subpoena to Third Party Westend Capital Management LLC for Production of Documentary Evidence. /litigation/apdocuments/3-16130-event-17.pdf 2014-12-08 Division's Request for Issuance of Subpoenas /litigation/apdocuments/3-16130-event-21.pdf 2015-01-09 AP-2204 Order Setting Locations for Hearing and Prehearing Conference /alj/aljorders/2015/ap-2204.pdf 2015-01-21 AP-2241 Order Modifying Prehearing Schedule /alj/aljorders/2015/ap-2241.pdf 2015-01-14 Respondent's Request for Issuance of Subpoena to Testify At Hearing Pursuant to SEC Rule of Practice 232 /litigation/apdocuments/3-16130-event-25.pdf 2015-01-20 Division's Exhibit List /litigation/apdocuments/3-16130-event-26.pdf 2015-01-20 Division's Witness List /litigation/apdocuments/3-16130-event-27.pdf 2015-01-22 Respondent's First Amended Witness and Exhibit List. /litigation/apdocuments/3-16130-event-30.pdf 2015-01-22 Respondent's Witness and Exhibit List /litigation/apdocuments/3-16130-event-29.pdf 2015-01-26 Division's Designation of Case-In-Chief Expert Witness /litigation/apdocuments/3-16130-event-31.pdf 2015-01-26 Division's Expert Report of M. Monica LP, CPA/CFF, CVA, CMA /litigation/apdocuments/3-16130-event-32.pdf 2015-02-02 Division's Amended Designation of Case-in-Chief Hearing Exhibits /litigation/apdocuments/3-16130-event-35.pdf 2015-01-29 Division's Request for Issuance of Subpoenas. (to George Bolton; Sean C. Cooper; Jeff Davenport; Christen Hardy; Gus Ozag; Elena Lombardi Wiley) /litigation/apdocuments/3-16130-event-34.pdf 2015-02-13 AP-2311 Stay Order /alj/aljorders/2015/ap-2311.pdf 2015-02-12 Joint Motion to Stay Proceedings as to Respondent Sean C. Cooper Pending Commission Consideration of Offers of Settlement. /litigation/apdocuments/3-16130-event-36.pdf 2015-04-16 IA-4063 IC-31554 Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Sections 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/2015/ia-4063.pdf