Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934 and Section 9(b) of the Investment Company Act of 1940

2019-02-22 3-16175 Meissner, Kenneth C. Scott, James Doug Tomich, Mark S. "Mike" /litigation/apdocuments/ap-3-16175.xml 2014-09-25 34-73226 IC-31266 Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934 and Section 9(b) of the Investment Company Act of 1940 /litigation/admin/2014/34-73226.pdf 2014-09-30 AP-1864 Order Scheduling Hearing and Designating Presiding Judge /alj/aljorders/2014/ap-1864.pdf 2014-10-17 AP-1915 Order Postponing Hearing, Scheduling Prehearing Conference, and Extending Time to File Answer /alj/aljorders/2014/ap-1915.pdf 2014-11-03 AP-1978 Order Following Prehearing Conference /alj/aljorders/2014/ap-1978.pdf 2014-11-12 AP-2010 Stay Order as to Mark S. "Mike" Tomich /alj/aljorders/2014/ap-2010.pdf 2014-11-18 AP-2030 Order Scheduling Prehearing Conference /alj/aljorders/2014/ap-2030.pdf 2014-11-21 AP-2041 Order Following Prehearing Conference and Protective Order /alj/aljorders/2014/ap-2041.pdf 2014-11-19 Respondent James Doug Scott's Answer to OIP /litigation/apdocuments/3-16175-event-12.pdf 2014-12-23 34-73925 IC-31399 Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934 and Section 9(b) of the Investment Company Act of 1940 as to Mark S. "Mike" Tomich /litigation/admin/2014/34-73925.pdf 2015-01-30 Division's Motion for Summary Disposition, Kerry Matticks Declaration /litigation/apdocuments/3-16175-event-20.pdf 2015-03-03 AP-2376 Order On Motion for Summary Disposition and to Show Cause /alj/aljorders/2015/ap-2376.pdf 2015-03-04 AP-2380 Order Scheduling Prehearing Conference /alj/aljorders/2015/ap-2380.pdf 2015-03-02 Division's Reply and Supplement to Motion for Summary Disposition /litigation/apdocuments/3-16175-event-21.pdf 2015-03-09 AP-2387 Order Following Prehearing Conference /alj/aljorders/2015/ap-2387.pdf 2015-03-13 Respondent Kenneth C. Meissner's Reply to Order On Motion for Summay Disposition and to Show Cause /litigation/apdocuments/3-16175-event-25.pdf 2015-03-31 AP-2479 Order Scheduling Prehearing Conference /alj/aljorders/2015/ap-2479.pdf 2015-04-07 ID-768 Initial Decision as to Respondent Kenneth C. Meissner /alj/aljdec/2015/id768ce.pdf 2015-03-30 Division's Reply in Support of Motion for Summary Disposition /litigation/apdocuments/3-16175-event-30.pdf 2015-04-07 AP-2508 Order Following Prehearing Conference and Protective Order /alj/aljorders/2015/ap-2508.pdf 2015-05-06 AP-2640 Order Granting Extension /alj/aljorders/2015/ap-2640.pdf 2015-05-20 34-75005 IC-31611 Notice That Initial Decision Has Become Final /alj/aljdec/2015/34-75005.pdf 2015-05-22 AP-2716 Order Regarding Need for Hearing /alj/aljorders/2015/ap-2716.pdf 2015-06-01 AP-2752 Order Scheduling Prehearing Conference /alj/aljorders/2015/ap-2752.pdf 2015-06-03 AP-2765 Order Following Prehearing Conference /alj/aljorders/2015/ap-2765.pdf 2015-06-04 AP-2769 Notice to Parties /alj/aljorders/2015/ap-2769.pdf 2015-06-23 AP-2845 Order /alj/aljorders/2015/ap-2845.pdf 2015-06-24 AP-2860 Order Canceling Hearing /alj/aljorders/2015/ap-2860.pdf 2015-07-10 Division's Brief On Sanctions Against James Doug Scott /litigation/apdocuments/3-16175-event-55.pdf 2015-08-04 ID-850 Initial Decision as to Respondent James Doug Scott /alj/aljdec/2015/id850ce.pdf 2015-07-29 Response to the Brief of Sanctions and the State of Mind of James Doug Scott /litigation/apdocuments/3-16175-event-56.pdf 2015-09-28 34-76001 IC-31852 Notice That Initial Decision Has Become Final /litigation/opinions/2015/34-76001.pdf 2016-12-09 34-79522 Order Appointing Tax Administrator /litigation/admin/2016/34-79522.pdf 2017-08-14 34-81385 Order Establishing Fair Fund /litigation/admin/2017/34-81385.pdf 2017-08-21 34-81449 Notice of Proposed Plan of Distribution and Opportunity for Comment /litigation/admin/2017/34-81449.pdf 2017-09-25 34-81696 Order Approving Plan of Distribution, Appointing a Distribution Plan Administrator, and Authorizing Transfer of Fair Fund Funds /litigation/admin/2017/34-81696.pdf 2019-02-22 34-85173 Order Directing Second Disbursement of Fair Fund /litigation/admin/2019/34-85173.pdf 2023-05-12 34-97496 Order Authorizing the Transfer to the U.S. Treasury of the Remaining Funds and Any Funds Returned to the Fair Fund in the Future, Discharging the Plan Administrator, and Terminating the Fair Fund /litigation/admin/2023/34-97496.pdf