2019-05-31
3-16227
Middlebury Securities, LLC
/litigation/apdocuments/ap-3-16227.xml
2014-10-31
33-9672
34-73484
IC-31324
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, and Section 9(b) of the Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order, and Notice of Hearing
/litigation/admin/2014/33-9672.pdf
2014-11-03
AP-1976
Order Scheduling Hearing and Designating Presiding Judge
/alj/aljorders/2014/ap-1976.pdf
2014-11-24
AP-2051
Order Postponing Hearing and Scheduling Prehearing Conference
/alj/aljorders/2014/ap-2051.pdf
2014-12-02
AP-2076
Order
/alj/aljorders/2014/ap-2076.pdf
2014-12-04
AP-2092
Order Following Prehearing Conference and Granting Stay
/alj/aljorders/2014/ap-2092.pdf
2015-12-15
AP-3399
Status Report Order
/alj/aljorders/2015/ap-3399.pdf
2016-01-11
AP-3489
Order Extending Stay
/alj/aljorders/2016/ap-3489.pdf
2016-03-07
AP-3680
Order Extending Stay
/alj/aljorders/2016/ap-3680.pdf
2016-03-25
AP-3740
Order Extending Stay
/alj/aljorders/2016/ap-3740.pdf
2016-06-07
AP-3898
Order Lifting Stay and Scheduling Prehearing Conference
/alj/aljorders/2016/ap-3898.pdf
2016-06-14
AP-3915
Scheduling and Consolidation Order
/alj/aljorders/2016/ap-3915.pdf
2016-08-02
AP-4034
Order
/alj/aljorders/2016/ap-4034.pdf
2016-08-30
AP-4101
Notice
/alj/aljorders/2016/ap-4101.pdf
2016-09-01
AP-4115
Order Granting Motion for Extension
/alj/aljorders/2016/ap-4115.pdf
2016-08-22
Respondent Middlebury Securities LLC's Memorandum of Law in Opposition to the Division's Motion for Summary Disposition
/litigation/apdocuments/3-16227-event-24.pdf
2016-09-07
AP-4129
Order
/alj/aljorders/2016/ap-4129.pdf
2016-09-08
AP-4143
Order Setting Prehearing Conference
/alj/aljorders/2016/ap-4143.pdf
2016-09-14
AP-4152
Order
/alj/aljorders/2016/ap-4152.pdf
2016-09-16
AP-4163
Order Following Prehearing Conference
/alj/aljorders/2016/ap-4163.pdf
2016-09-28
AP-4207
Order
/alj/aljorders/2016/ap-4207.pdf
2016-09-06
Respondents' Declaration in explanation of actual events and in opposition to Jim Robinson & Middlebury's FINRA settlement, representation of facts in statements to the SEC regarding Navagate and Greg Olson as well as explanation of certain SEC claims
/litigation/apdocuments/3-16227-event-30.pdf
2016-09-08
Supplemental Declaration of James B. Robinson in Support of Respondent Middlebury Securities LLC's Opposition to the Division's Motion for Summary Disposition
/litigation/apdocuments/3-16227-event-32.pdf
2016-09-09
Letter dated 9/7/16 from Respondent Osborn to ALJ Elliot in response to violation of email directive, with attachment
/litigation/apdocuments/3-16227-event-33.pdf
2016-10-27
33-10240
IC-32341
34-79177
Order Scheduling Briefs
/litigation/opinions/2016/33-10240.pdf
2016-11-10
Division's Memorandum of Law in Opposition to Respondent Osborn's Penalty Reassessment Request
/litigation/apdocuments/3-16227-event-44.pdf
2016-11-10
Declaration of Jorge G. Tenreiro in Support of Division's Memorandum of Law in Opposition to Respondent Osborn's Penalty Reassessment Request
/litigation/apdocuments/3-16227-event-45.pdf
2016-12-08
AP-4424
Order
/alj/aljorders/2016/ap-4424.pdf
2017-01-18
AP-4531
Order
/alj/aljorders/2017/ap-4531.pdf
2017-01-23
AP-4539
Order
/alj/aljorders/2017/ap-4539.pdf
2017-01-25
AP-4548
Order
/alj/aljorders/2017/ap-4548.pdf
2017-01-23
Second Supplemental Declaration of James B. Robinson in Support of Respondent
Middlebury's Opp to Division's Motion for Summary Disposition
/litigation/apdocuments/3-16227-event-49.pdf
2017-01-23
Division's Supplemental Reply Memorandum of Law in Further Support of its Motion
for Summary Disposition and Relief against Respondents
/litigation/apdocuments/3-16227-event-50_redacted.pdf
2017-03-01
ID-1110
Initial Decision
/alj/aljdec/2017/id1110ce.pdf
2017-05-05
33-10353
34-80618
IC-32627
Notice That Initial Decision Has Become Final
/litigation/opinions/2017/33-10353.pdf
2019-05-31
33-10641
IC-33498
Order Denying Request to Modify Settlement Order
/litigation/opinions/2019/33-10641.pdf