Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933 and Sections 15(b) and 21C of the Securities Exchange Act of 1934

2019-05-30 3-16178 Bolan, Gregory T., Jr. Ruggieri, Joseph C. /litigation/apdocuments/ap-3-16178.xml 2014-09-29 33-9659 34-73244 Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933 and Sections 15(b) and 21C of the Securities Exchange Act of 1934 /litigation/admin/2014/33-9659.pdf 2014-09-30 AP-1866 Order Scheduling Hearing and Designating Presiding Judge /alj/aljorders/2014/ap-1866.pdf 2014-10-22 AP-1933 Order Postponing Hearing, Directing an Initial Prehearing Conference, and Extending Time to Answer /alj/aljorders/2014/ap-1933.pdf 2014-11-26 AP-2058 Order Setting Procedural Schedule /alj/aljorders/2014/ap-2058.pdf 2014-12-16 AP-2139 Order /alj/aljorders/2014/ap-2139.pdf 2014-11-17 Respondent Bolan's Answer /litigation/apdocuments/3-16178-event-12.pdf 2014-11-17 Respondent Ruggieri's Answer /litigation/apdocuments/3-16178-event-13.pdf 2014-11-20 Joint Prehearing Conference Statement /litigation/apdocuments/3-16178-event-14.pdf 2014-11-24 Letter of 11/18/14 to Os from Counsel for Respondent Ruggieri Attaching a Certificate of Service of Proof as to Whom the Answer Filed 11/17/14 Was Served On /litigation/apdocuments/3-16178-event-15.pdf 2014-11-26 Respondent Bolan's Motion for the Issuance of Subpoenas /litigation/apdocuments/3-16178-event-16.pdf 2014-12-01 Ltr of 11/26 to ALJ Patil from Div stating Resp Bolan filed an unopposed request for subpoenas, what is essentially a prehg brief; the Div does not agree w/ characterization of evidence collection or arguments; Div does not oppose issuance of 3d pty subp. /litigation/apdocuments/3-16178-event-19.pdf 2014-12-15 Letter of 12/12/14 to ALJ Patil from counsel for Resp Ruggieri, writing on behalf of both Resps, for leave to file a mtn for summ disp & attaching the 2nd Circuit decision US v. Newman, et al., 2014 WK 6911278 /litigation/apdocuments/3-16178-event-20.pdf 2014-12-15 Letter of 12/15/14 to Alj Patil from Div Responding to Resps Letter of 12/12 Requestng Leave to File a Mtn for Summ Disp; the Div Opposes Their Request; Div States the Court Should Deny Resps Request for Leave to Move for Summ Disp. /litigation/apdocuments/3-16178-event-21.pdf 2015-01-09 AP-2202 Notice of Hearing Location /alj/aljorders/2015/ap-2202.pdf 2015-01-08 Respondent Bolan's Motion for Summary Disposition Against All Claims and Memorandum in Support /litigation/apdocuments/3-16178-event-24.pdf 2015-01-08 Affidavit of Samuel J. Lieberman in Support of Respondent Bolan's Motion for Summary Disposition /litigation/apdocuments/3-16178-event-25.pdf 2015-01-26 AP-2256 Order /alj/aljorders/2015/ap-2256.pdf 2015-01-22 Division's Memorandum in Opposition to Respondents' Motions for Summary Disposition /litigation/apdocuments/3-16178-event-30.pdf 2015-01-22 Declaration of Sandeep Satwalekar in Support of the Division's Opposition to Respondents' Motions for Summary Disposition /litigation/apdocuments/3-16178-event-31.pdf 2015-01-22 Divs Exhibits in Support of Opposition to Respondents' Mtn for Summ Disp /litigation/apdocuments/3-16178-event-32.pdf 2015-01-14 Respondent Gregory T. Bolan, Jr.'s Motion for Summary Disposition Against All Claims and Memorandum in Support /litigation/apdocuments/3-16178-event-28.pdf 2015-01-14 Affidavit of Samuel J. Lieberman in Support of Respondent Gregory T. Boylan, Jr.'s Motion for Summary Disposition /litigation/apdocuments/3-16178-event-29.pdf 2015-02-12 AP-2309 Order /alj/aljorders/2015/ap-2309.pdf 2015-02-06 Reply Affidavit of Samuel J. Lieberman in Support of His Motion for Summary Disposition /litigation/apdocuments/3-16178-event-33.pdf 2015-02-09 Division's Witness List /litigation/apdocuments/3-16178-event-34.pdf 2015-02-11 Respondent Ruggieri's Witness List /litigation/apdocuments/3-16178-event-36.pdf 2015-02-18 Expert Report of Stephen D. Prowse, Ph.D, CFA /litigation/apdocuments/3-16178-event-40.pdf 2015-02-18 Division's Expert Report of Edward S. O'Neal /litigation/apdocuments/3-16178-event-41.pdf 2015-02-18 Division's Supplemental Submission Opposing Respondents' Motions for Summary Disposition /litigation/apdocuments/3-16178-event-42.pdf 2015-02-19 Respondent Ruggieri's Reply to Division's Supplemental Submission Opposing Respondents' Motions for Summary Disposition /litigation/apdocuments/3-16178-event-43.pdf 2015-02-24 Respondent Bolan's Exhibit List /litigation/apdocuments/3-16178-event-47.pdf 2015-02-25 AP-2350 Order On Motions for Summary Disposition /alj/aljorders/2015/ap-2350.pdf 2015-02-26 AP-2359 Notice of Hearing Location and Order On Procedural Matters /alj/aljorders/2015/ap-2359.pdf 2015-03-06 Application by Non-Party Wells Fargo to Modify Subpoena /litigation/apdocuments/3-16178-event-54.pdf 2015-03-11 AP-2405 Order /alj/aljorders/2015/ap-2405.pdf 2015-03-18 AP-2437 Order On Motions in Limine and Scheduling /alj/aljorders/2015/ap-2437.pdf 2015-03-27 AP-2476 Stay Order as to Respondent Bolan /alj/aljorders/2015/ap-2476.pdf 2015-03-09 Respondent Bolan's Prehearing Brief /litigation/apdocuments/3-16178-event-56.pdf 2015-03-09 Division's Prehearing Memorandum /litigation/apdocuments/3-16178-event-58.pdf 2015-03-11 Respondent Ruggieri's Prehearing Brief /litigation/apdocuments/3-16178-event-62.pdf 2015-03-24 Joint Findings of Fact and Conclusions of Law /litigation/apdocuments/3-16178-event-75.pdf 2015-03-24 Respondent Bolan's Disputed Findings of Fact and Conclusions of Law /litigation/apdocuments/3-16178-event-76.pdf 2015-04-15 AP-2548 Post-Hearing Order /alj/aljorders/2015/ap-2548.pdf 2015-04-27 AP-2591 Order /alj/aljorders/2015/ap-2591.pdf 2015-05-04 Respondent Ruggieri's Post Trial Proposed Findings of Fact and Concluions of Law /litigation/apdocuments/3-16178-event-98.pdf 2015-05-04 Respondent Ruggieri's Chronology of Events /litigation/apdocuments/3-16178-event-99.pdf 2015-05-12 AP-2661 Order On Transcript Corrections /alj/aljorders/2015/ap-2661.pdf 2015-05-21 AP-2703 Order on Trader A Stipulations /alj/aljorders/2015/ap-2703.pdf 2015-05-28 AP-2734 Notice to the Parties /alj/aljorders/2015/ap-2734.pdf 2015-05-28 33-9795 34-75066 Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Section 8A of the Securities Act of 1933 as to Gregory T. Bolan, Jr. /litigation/admin/2015/33-9795.pdf 2015-06-12 Division's Response to Respondent Ruggieri's Constitutional Objection /litigation/apdocuments/3-16178-event-126.pdf 2015-06-19 Respondent Ruggieri's Reply to Division's Response to His Constitutional Objection /litigation/apdocuments/3-16178-event-127.pdf 2015-05-20 Joint Stipulation Relating to Trader a Telephone Lines /litigation/apdocuments/3-16178-event-113.pdf 2015-05-22 Division's Post Hearing Memorandum of Law /litigation/apdocuments/3-16178-event-115.pdf 2015-05-22 Division's Post-Hearing Proposed Findings of Fact and Conclusions of Law /litigation/apdocuments/3-16178-event-116.pdf 2015-05-22 Letter of 5/21/15 Trial Exhibit JR-REB-115 On Behalf of Respondent Joseph C. Ruggieri. The Exhibit is a Subject of Trade Data Contained in Trial Exhibit JR-REB-146 /litigation/apdocuments/3-16178-event-117.pdf 2015-06-08 Division's Post Hearing Reply Memorandum of Law /litigation/apdocuments/3-16178-event-122.pdf 2015-06-09 Respondent Ruggieri's Reply to the Division's Post Hearing Reply Memorandum of Law /litigation/apdocuments/3-16178-event-124.pdf 2015-06-09 Respondent Ruggieri's Response to Division's Post Hearing Proposed Findings of Fact and Conclusions of Law /litigation/apdocuments/3-16178-event-125.pdf 2015-06-23 AP-2844 Motion to the Commission for Extension /alj/aljorders/2015/ap-2844.pdf 2015-08-05 33-9880 34-75620 Order Granting Extension /litigation/admin/2015/33-9880.pdf 2015-08-10 AP-3025 Order On Hearing Exhibits /alj/aljorders/2015/ap-3025.pdf 2015-09-14 ID-877 Initial Decision /alj/aljdec/2015/id877jsp.pdf 2015-10-05 The Division of Enforcement's Petition for Review of Initial Decision /litigation/apdocuments/3-16178_divisions-petition-for-review-of-initial-decision.pdf 2015-10-14 Respondent Ruggieri's Cross Petition for Review of Initial Decision /litigation/apdocuments/3-16178-event-137.pdf 2015-10-26 Respondent Joseph C. Ruggieri's Motion for Summary Affirmance /litigation/apdocuments/3-16178-event-138.pdf 2015-11-02 Division's Opposition to Respondent Ruggieri's Motion for Summary Affirmance /litigation/apdocuments/3-16178-event-139.pdf 2015-11-06 Respondent's Reply Brief in Further Support of His Motion for Summary Affirmance /litigation/apdocuments/3-16178-event-140.pdf 2015-12-10 33-9985 34-76614 Order Denying Motion for Summary Affirmance, Granting Petitions for Review, and Scheduling Briefs /litigation/opinions/2015/33-9985.pdf 2016-01-11 Division's Brief on Review of the Initial Decision /litigation/apdocuments/3-16178-event-142.pdf 2016-02-11 Respndent's Ruggieri's Brief in Support of his Cross-Petition and in Opposition to the Division's Brief in Support of its Petition for Review /litigation/apdocuments/3-16178-event-145.pdf 2016-03-09 Letter of 3/9/16 to OS from counsel for Resp Ruggieri correcting a factual error in his Brief in Support of his Cross-Petition & in Opposition to the Division's Brief in Support of its Petition for Review dated 2/11/18 /litigation/apdocuments/3-16178-event-146.pdf 2016-03-11 Division's Opposition and Reply Brief on Review of Initial Decision /litigation/apdocuments/3-16178-event-147.pdf 2016-03-28 Respondent Ruggeri's Reply Brief in Further Support of his Cross Petition on Review of Initial Decision /litigation/apdocuments/3-16178-event-148.pdf 2017-07-13 33-10389 34-81143 Order Dismissing Proceedings /litigation/opinions/2017/33-10389.pdf 2017-10-23 Motion To Vacate the May 28, 2015 Order Due to the Commission's Subsequent Contradictory Finding That Respondent Bolan Did not Provide a Tip that Led to InsiderTrading By Ruggieri /litigation/apdocuments/3-16178-event-151.pdf 2017-10-27 The Division of Enforcement's Opposition to Respondent Bolan's Motion to Vacate the Commission's Settlement Order, with Exhibits 1 and 2 /litigation/apdocuments/3-16178-event-152.pdf 2019-05-30 33-10640 34-85971 Order Denying Motion to Vacate Settled Order /litigation/opinions/2019/33-10640.pdf