Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Sections 15(b) and 21C of the Securities Exchange Act of 1934, Sections 203(f) and 203(k) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940 and Notice of Hearing

2018-12-21 3-16182 Lloyd, Paul Edward "Ed", Jr., CPA /litigation/apdocuments/ap-3-16182.xml 2014-09-30 33-9660 34-73260 IA-3940 IC-31272 Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Sections 15(b) and 21C of the Securities Exchange Act of 1934, Sections 203(f) and 203(k) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940 and Notice of Hearing /litigation/admin/2014/33-9660.pdf 2014-10-02 AP-1880 Order Scheduling Hearing and Designating Presiding Judge /alj/aljorders/2014/ap-1880.pdf 2014-10-22 AP-1934 Postponement Order /alj/aljorders/2014/ap-1934.pdf 2014-11-04 AP-1980 Postponement Order /alj/aljorders/2014/ap-1980.pdf 2014-11-12 AP-2005 Prehearing Order /alj/aljorders/2014/ap-2005.pdf 2014-10-27 Respondent's Answer and Motions /litigation/apdocuments/3-16182-event-8.pdf 2014-11-10 Division's Response in Opposition to Respondent's Answer and Motions Filed 10/27/14 /litigation/apdocuments/3-16182-event-11.pdf 2014-11-19 Respondent's Response to Division's Response in Opposition to Respondent's Answer and Motions /litigation/apdocuments/3-16182-event-13.pdf 2015-01-14 AP-2217 Scheduling Order /alj/aljorders/2015/ap-2217.pdf 2015-01-09 Joint Consent to Prehearing Schedule /litigation/apdocuments/3-16182-event-15.pdf 2015-01-21 Respondent's Motion for Summary Disposition /litigation/apdocuments/3-16182-event-17.pdf 2015-01-21 Respondent's Brief in Suppot of Motion for Summary Disposition /litigation/apdocuments/3-16182-event-18.pdf 2015-01-26 Letter of 1/20/15 to OS from Counsel for Respondent Enclosing Exhibit 9 of Respondent's Brief in Support of the Motion for Summary Disposition That Was Unsigned /litigation/apdocuments/3-16182-event-19.pdf 2015-01-26 Division's Response in Opposition to Respondent's Motion for Summary Disposition /litigation/apdocuments/3-16182-event-20.pdf 2015-02-02 Respondent's Response to Division's Response in Opposition to Respondent's Motion for Summary Disposition /litigation/apdocuments/3-16182-event-22.pdf 2015-02-05 Respondenfs Notice of Fiing of Expert Report of Thomas N. Long. Esq. /litigation/apdocuments/3-16182-event-23.pdf 2015-02-13 Division's Witness List /litigation/apdocuments/3-16182-event-24.pdf 2015-02-13 Division's Exhibit List /litigation/apdocuments/3-16182-event-25.pdf 2015-01-26 Division's Brief in Support of Division's Response in Opposition to Respondent's Motion for Summary Disposition /litigation/apdocuments/3-16182-event-21.pdf 2015-02-24 Respondent's Witness List /litigation/apdocuments/3-16182-event-26.pdf 2015-02-24 Respondent's Exhibit List /litigation/apdocuments/3-16182-event-27.pdf 2015-02-27 AP-2366 Order /alj/aljorders/2015/ap-2366.pdf 2015-03-12 AP-2416 Order /alj/aljorders/2015/ap-2416.pdf 2015-03-16 AP-2425 Order Redesignating Presiding Judge and Setting Prehearing Conference /alj/aljorders/2015/ap-2425.pdf 2015-03-16 AP-2429 Order /alj/aljorders/2015/ap-2429.pdf 2015-04-01 AP-2484 Post-Hearing Scheduling Order /alj/aljorders/2015/ap-2484.pdf 2015-04-20 AP-2560 Order Taking Official Notice Pursuant to 17 C.F.R. § 201.323 /alj/aljorders/2015/ap-2560.pdf 2015-04-28 AP-2600 Order Granting Motion for Protective Order and Sealing Certain Division of Enforcement Exhibits /alj/aljorders/2015/ap-2600.pdf 2015-05-06 AP-2635 Order Directing Briefing On Certain Issues /alj/aljorders/2015/ap-2635.pdf 2015-03-09 Division's Prehearing Memorandum /litigation/apdocuments/3-16182-event-30.pdf 2015-03-09 Respondents Prehearing Brief /litigation/apdocuments/3-16182-event-32.pdf 2015-05-01 Respondent's Post Hearing Brief /litigation/apdocuments/3-16182-event-57.pdf 2015-05-01 Division's Post Hearing Brief /litigation/apdocuments/3-16182-event-58.pdf 2015-05-29 Division's Post Hearing Reply Brief /litigation/apdocuments/3-16182-event-71.pdf 2015-05-29 Respondent's Reply Brief /litigation/apdocuments/3-16182-event-72.pdf 2015-07-27 ID-840 Initial Decision /alj/aljdec/2015/id840ce.pdf 2015-08-18 AP-3047 Order On Motion to Correct Manifest Errors of Fact /alj/aljorders/2015/ap-3047.pdf 2015-08-06 Respondent's Proposed Corrections for Manifest Error of Fact in the Initial Decision /litigation/apdocuments/3-16182-event-83.pdf 2015-08-06 Respondent's Brief in Support of Proposed Corrections for Manifest Error of Fact in the Initial Decision /litigation/apdocuments/3-16182-event-84.pdf 2015-09-09 Respondent's Petition for Review of Initial Decision /litigation/apdocuments/3-16182-event-87.pdf 2015-09-17 Division's Cross Petition for Review of Initial Decision /litigation/apdocuments/3-16182-event-88.pdf 2015-09-28 IA-4211 Order Granting Petition for Review and Scheduling Briefs /litigation/opinions/2015/ia-4211.pdf 2015-10-08 IA-4222 Corrected Order Granting Petition for Review and Scheduling Briefs /litigation/opinions/2015/ia-4222.pdf 2015-11-09 Respondent's Motion for Oral Argument /litigation/apdocuments/3-16182-event-93.pdf 2015-12-10 Division's Principal and Response Brief /litigation/apdocuments/3-16182-event-95.pdf 2015-12-29 Respondent's Response and Reply Brief /litigation/apdocuments/3-16182-event-96.pdf 2017-06-30 IA-4722 Order Scheduling Oral Argument /litigation/opinions/2017/ia-4722.pdf 2017-07-20 IA-4732 Order Rescheduling Oral Argument /litigation/opinions/2017/ia-4732.pdf 2017-10-04 IA-4788 Order Rescheduling Oral Argument /litigation/opinions/2017/ia-4788.pdf 2017-10-12 IA-4794 Order Changing Location of Oral Argument /litigation/opinions/2017/ia-4794.pdf 2017-11-06 IA-4808 Order Rescheduling and Changing Location of Oral Argument /litigation/opinions/2017/ia-4808.pdf 2017-12-01 IA-4818 Order Cancelling Oral Argument /litigation/opinions/2017/ia-4818.pdf 2017-12-06 AP-5280 Notice to the Parties /alj/aljorders/2017/ap-5280.pdf 2017-12-06 AP-5299 Order Scheduling Conference /alj/aljorders/2017/ap-5299.pdf 2017-12-12 AP-5370 Order Scheduling Submission of New Evidence, Taking Official Notice, Granting Respondent's Motion for Protective Order, and Sealing Certain Exhibits /alj/aljorders/2017/ap-5370.pdf 2018-01-26 AP-5539 Order Ratifying in Part and Revising in Part Prior Actions /alj/aljorders/2018/ap-5539.pdf 2018-01-05 Respondent's Response to Order Scheduling Submission of New Evidence, and Brief Identifying Challenged Rulings, Findings, or Conclusions /litigation/apdocuments/3-16182-event-111.pdf 2018-01-08 Letter Dated 1 /5/18 from Division to ALJ Replacing Letter Sent Earlier this Date, Requesting that He Ratify All Prior Actions Made in this Proceeding, with Proposed Order /litigation/apdocuments/3-16182-event-113.pdf 2018-01-16 Division's Response to Respondent’s Response to Order Scheduling Submission of New Evidence, and Brief Identifying Challenged Rulings, Findings or Conclusions /litigation/apdocuments/3-16182-event-115.pdf 2018-02-14 Respondent's Petition for Review of Initial Decision /litigation/apdocuments/3-16182-event-118.pdf 2018-01-16 Letter Dated 1 /16/18 from Respondent's Counsel to ALJ and Secretary Fields in Response to Division's letter of 1/5/18 /litigation/apdocuments/3-16182-event-116.pdf 2018-02-26 Division's Renewed Petition for Cross Review of the Initial Decision /litigation/apdocuments/3-16182-event-119.pdf 2018-04-20 33-10484 34-83086 IA-4893 IC-33074 Supplemental Briefing Order /litigation/opinions/2018/33-10484.pdf 2018-06-04 Division's Response to Respondent's Brief In Support of Renewed Petition for Review /litigation/apdocuments/3-16182-event-122.pdf 2018-05-21 Respondent's Brief In Support of Renewed Petition for Review /litigation/apdocuments/3-16182-event-121.pdf 2018-06-20 IA-4945 Order Rescheduling Oral Argument /litigation/opinions/2018/ia-4945.pdf 2018-06-26 IA-4948 Order Cancelling Oral Argument /litigation/opinions/2018/ia-4948.pdf 2018-08-23 AP-5954 Notice from the Chief Administrative Law Judge /alj/aljorders/2018/ap-5954.pdf 2018-09-12 AP-5955 Chief Administrative Law Judge’s Order Assigning Proceedings Post Lucia v. SEC /alj/aljorders/2018/ap-5955.pdf 2018-09-19 AP-6031 Order Following Reassignment /alj/aljorders/2018/ap-6031.pdf 2018-10-10 AP-6152 Stay Order /alj/aljorders/2018/ap-6152.pdf 2018-11-02 AP-6285 Order Regarding Lapse in Stay /alj/aljorders/2018/ap-6285.pdf 2018-12-06 AP-6388 Order Extending Deadline for Filing Proposals /alj/aljorders/2018/ap-6388.pdf 2018-12-21 IA-5089 IC-33337 Order Making Findings and Imposing Remedial Sanctions Pursuant to Sections 203(f) and (k) of the Investment Advisers Act of 1940 and Section 9(b) of the Investment Company Act of 1940 /litigation/admin/2018/ia-5089.pdf