Order Instituting Public Administrative and Cease-and-Desist Proceedings Pursuant to Sections 4C and 21C of the Securities Exchange Act of 1934 and Rule 102(e) of the Commission's Rules of Practice

2023-03-30 3-16293 Bebo, Laurie Buono, John, CPA /litigation/apdocuments/ap-3-16293.xml 2023-03-29 /litigation/apdocuments/3-16293-docket-2023-03-29.pdf 2014-12-03 34-73722 Order Instituting Public Administrative and Cease-and-Desist Proceedings Pursuant to Sections 4C and 21C of the Securities Exchange Act of 1934 and Rule 102(e) of the Commission's Rules of Practice /litigation/admin/2014/34-73722.pdf 2014-12-03 AP-2086 Order Scheduling Hearing and Designating Presiding Judge /alj/aljorders/2014/ap-2086.pdf 2014-12-17 AP-2140 Order Postponing Hearing, Scheduling Prehearing Conference, and Extending Time to File Answer /alj/aljorders/2014/ap-2140.pdf 2014-12-18 AP-2149 Order Staying Proceeding as to John Buono, CPA /alj/aljorders/2014/ap-2149.pdf 2015-01-05 AP-2180 Order /alj/aljorders/2015/ap-2180.pdf 2015-01-06 AP-2183 General Prehearing Order /alj/aljorders/2015/ap-2183.pdf 2015-01-12 AP-2208 Prehearing Scheduling Order /alj/aljorders/2015/ap-2208.pdf 2015-01-15 AP-2221 Order Regarding Subpoenas to Produce /alj/aljorders/2015/ap-2221.pdf 2015-01-20 AP-2236 Order Setting Hearing Location /alj/aljorders/2015/ap-2236.pdf 2015-01-13 Letter of 1/12/15 to ALJ Elliot from Division w/ Agreement to Prehearing & Hearing Schedule /litigation/apdocuments/3-16293-event-17.pdf 2015-01-21 Division's Response to the Court's Order Regarding Subpoenas to Produce /litigation/apdocuments/3-16293-event-20.pdf 2015-01-23 AP-2247 Order On Request for Issuance of Subpoenas /alj/aljorders/2015/ap-2247.pdf 2015-01-14 Respondent Laurie Bebo's Request for Issuance of Subpoena Duces Tecum to Produce Documents /litigation/apdocuments/3-16293-event-18.pdf 2015-01-22 Respondent Laurie Bebo's Submission in Response to Division's Position Regarding Her Request for Subpoenas /litigation/apdocuments/3-16293-event-22.pdf 2015-01-23 Division's Request for Issuance of Subpoenas /litigation/apdocuments/3-16293-event-24.pdf 2015-01-29 34-74177 34-74177 Order Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order Against John Buono Pursuant to Sections 4C and 21C of the Securities Exchange Act of 1934 and Rule 102(e) of the Commission's Rules of Practice /litigation/admin/2015/34-74177.pdf 2014-12-15 Stipulation Regarding Service of Order Instituting Proceedings /litigation/apdocuments/3-16293-event-5.pdf 2014-12-17 Joint Motion to Postpone the Hearing Date and Schedule a Telephonic Prehearing Conference /litigation/apdocuments/3-16293-event-7.pdf 2014-12-19 Division and Respondent John Buono's Joint Motion to Stay Proceedings, as to Buono, Pending Commission Consideration of Buono's Offer of Settlement /litigation/apdocuments/3-16293-event-10.pdf 2015-01-02 Resp. Laurie Bebo's Prehearing Conference Submission Regarding the Necessity for Relief from Rule 360(b) Presumptive Hearing Schedule /litigation/apdocuments/3-16293-event-11.pdf 2015-01-05 Resp. Bebo's Answer and Affirmative Defenses to OIP and C&D Proceedings Pursuant to Secs. 4C and 21C of the Securities Exchange Act of 1934 and Rule 102(e) of the Commission's Rules of Practice /litigation/apdocuments/3-16293-event-12.pdf 2015-01-28 Division's Motion to Introduce Prior Sworn Statements of ALC Personnel Included in Covenant Calculations /litigation/apdocuments/3-16293-event-25.pdf 2015-02-06 AP-2290 Order Granting Motion to Introduce Prior Sworn Statements /alj/aljorders/2015/ap-2290.pdf 2015-02-10 AP-2298 Order On Unopposed Motion /alj/aljorders/2015/ap-2298.pdf 2015-02-10 AP-2300 Order On Unopposed Motion /alj/aljorders/2015/ap-2300.pdf 2014-12-05 Notices of Appearances of Benjamin J. Hanauer, Eric M. Phillips, and Scott B. Tandy and Certificate of Service /litigation/apdocuments/3-16293-event-3.pdf 2015-02-04 Respondent Bebo's Brief in Opposition to the Division's Motion to Introduce Prior Sworn Statements of Alc Personnel Included in Covenant Calculations /litigation/apdocuments/3-16293-event-27.pdf 2015-02-05 Respondent Bebo's Request for Issuance of Supplemental Subpoenas Duces Tecum /litigation/apdocuments/3-16293-event-28.pdf 2015-02-06 Division's Reply in Support of Its Motion to Introduce Prior Sworn Statements of Alc Personnel Included in Covenant Calculations /litigation/apdocuments/3-16293-event-29.pdf 2015-02-23 AP-2343 Order On Unopposed Motion /alj/aljorders/2015/ap-2343.pdf 2015-02-23 Assisted Living Concepts, LLC's Motion to Quash or Modify Respondent's Subpoenas for Documents /litigation/apdocuments/3-16293-event-40.pdf 2015-02-23 Milbank Tweed Hadley & McCloy LLP's Motion to Quash Non-Party Subpoena Duces Tecum Issued At the Request of Respondent Bebo /litigation/apdocuments/3-16293-event-41.pdf 2015-03-03 AP-2375 Order Denying Motion for Leave to File Reply /alj/aljorders/2015/ap-2375.pdf 2015-03-06 AP-2384 Order On Motions to Quash Subpoenas /alj/aljorders/2015/ap-2384.pdf 2015-03-03 Respondent Laurie Bebo's Response to Milbank Tweed Hadley & McCloy LLP's Motion to Quash Respondenrs Subpoena for Documents /litigation/apdocuments/3-16293-event-45.pdf 2015-03-11 AP-2410 Order On Motion to Modify Subpoena /alj/aljorders/2015/ap-2410.pdf 2015-03-18 AP-2439 Order Canceling Prehearing Conference /alj/aljorders/2015/ap-2439.pdf 2015-04-03 AP-2490 Order Denying Motion to Compel and Granting in Part Motion in Limine /alj/aljorders/2015/ap-2490.pdf 2015-04-07 AP-2510 Order On Respondent's Motion for Declaratory and Injunctive Relief for Constitutional Violations and Request for Leave to File Overlength Motion /alj/aljorders/2015/ap-2510.pdf 2015-04-07 AP-2505 Order Denying Renewed Motion for Relief from Rule 360(a)(2) Presumptive Hearing Schedule /alj/aljorders/2015/ap-2505.pdf 2015-04-08 AP-2518 Order Denying Certain Motions in Limine /alj/aljorders/2015/ap-2518.pdf 2015-05-12 AP-2664 Scheduling Order /alj/aljorders/2015/ap-2664.pdf 2015-03-04 Milbank Tweed Hadley & McCloy LLP's Motion for Leave to File a Reply in Further Support of Its Motion to Quash Non-Party Subpoena Duces Tecum /litigation/apdocuments/3-16293-event-49.pdf 2015-03-10 Bebo's Response to Ventas's Motion to Modify the Supoena /litigation/apdocuments/3-16293-event-51.pdf 2015-03-10 Affidavit of Ryan S. Stippich in Support of Respondent Bebo's Response to Ventas's Motion to Modify the Subpoena /litigation/apdocuments/3-16293-event-52.pdf 2015-03-11 Non-Party Ventas's Motion to Modify Subpoena /litigation/apdocuments/3-16293-event-55.pdf 2015-03-16 Expert Report of David H. Martin /litigation/apdocuments/3-16293-event-61.pdf 2015-03-16 Expert Report of David C. Smith, Ph.D. /litigation/apdocuments/3-16293-event-62.pdf 2015-03-16 Expert Report of John Durso /litigation/apdocuments/3-16293-event-63.pdf 2015-03-16 Division's List of Potential Witnesses, and the Preliminary Report of John Barron, CPA, CFE /litigation/apdocuments/3-16293-event-64.pdf 2015-03-19 Respondent Bebo's Amended Witness List /litigation/apdocuments/3-16293-event-66.pdf 2015-04-03 Division's Motion to Introduce Prior Sworn Statements of Two Members of ALC's Board of Directors Who Reside Outside of Tha United States /litigation/apdocuments/3-16293-event-78.pdf 2015-05-15 AP-2677 Protective Order /alj/aljorders/2015/ap-2677.pdf 2015-05-20 AP-2697 Notice of Hearing Location /alj/aljorders/2015/ap-2697.pdf 2015-04-06 The Division of Enforcement's Prehearing Brief /litigation/apdocuments/3-16293-event-88.pdf 2015-04-06 Respondent Laurie Bebo's Prehearing Brief /litigation/apdocuments/3-16293-event-87.pdf 2015-04-06 Respondent Laurie Bebo's Motion for Declaratory and Injunctive Relief for Constitutional Violations /litigation/apdocuments/3-16293-event-91.pdf 2015-05-27 AP-2733 Order Setting Telephonic Conference /alj/aljorders/2015/ap-2733.pdf 2015-06-02 AP-2756 Notice of Hearing Location /alj/aljorders/2015/ap-2756.pdf 2015-06-04 AP-2768 Order Sealing Filings /alj/aljorders/2015/ap-2768.pdf 2015-06-09 AP-2791 Order Scheduling Telephonic Conference /alj/aljorders/2015/ap-2791.pdf 2015-06-11 AP-2801 Protective Order /alj/aljorders/2015/ap-2801.pdf 2015-06-11 AP-2804 Order /alj/aljorders/2015/ap-2804.pdf 2015-06-19 AP-2839 Order Unsealing Offer of Proof /alj/aljorders/2015/ap-2839.pdf 2015-06-24 AP-2851 Post-Hearing Scheduling Order /alj/aljorders/2015/ap-2851.pdf 2015-06-25 AP-2866 Revised Post-Hearing Scheduling Order /alj/aljorders/2015/ap-2866.pdf 2015-08-19 AP-3053 Order Regarding Exhibits /alj/aljorders/2015/ap-3053.pdf 2015-08-03 Division's Post-Hearing Brief /litigation/apdocuments/3-16293-event-172.pdf 2015-08-03 Respondent Bebo's Post-Hearing Brief /litigation/apdocuments/3-16293-event-171.pdf 2015-08-28 Division's Post-Hearing Reply Brief /litigation/apdocuments/3-16293-event-194.pdf 2015-08-31 Respondent Bebo's Reply to the Division's Post-Hearing Brief /litigation/apdocuments/3-16293-event-196.pdf 2015-10-02 ID-893 Initial Decision /alj/aljdec/2015/id893ce.pdf 2015-10-21 34-76216 Extension Order /litigation/admin/2015/34-76216.pdf 2015-12-08 34-76592 Order Granting Petition for Review and Scheduling Briefs /litigation/opinions/2015/34-76592.pdf 2015-11-16 Respondent Bebe's Petition For Review of the Initial Decision /litigation/apdocuments/3-16293-event-209.pdf 2015-12-24 34-76773 Extension Order /litigation/admin/2015/34-76773.pdf 2016-01-29 Respondent Bebo's Opening Brief in Support of Her Appeal to the Commission /litigation/apdocuments/3-16293-event-216.pdf 2016-02-17 34-77163 Order Striking Respondent's "Offer of Proof" /litigation/opinions/2016/34-77163.pdf 2016-02-22 34-77204 Order Partially Granting Motion for a Protective Order /litigation/opinions/2016/34-77204.pdf 2017-12-06 AP-5298 Order Following Remand and Scheduling Conference /alj/aljorders/2017/ap-5298.pdf 2017-12-08 AP-5340 Order Rescheduling Conference /alj/aljorders/2017/ap-5340.pdf 2017-12-14 AP-5381 Order Following Telephonic Conference /alj/aljorders/2017/ap-5381.pdf 2018-01-08 AP-5436 Order On Ratification Letter /alj/aljorders/2018/ap-5436.pdf 2018-01-08 Letter dated 1/5/18 to ALJ from Division requesting ratification of previous decisions issued, with proposed Ratification Order /litigation/apdocuments/3-16293-event-237.pdf 2018-01-26 Respondent Bebo's Brief in Response to the Commission's Nov. 30, 2017 Order /litigation/apdocuments/3-16293-event-241.pdf 2018-02-16 AP-5615 Order Ratifying Actions /alj/aljorders/2018/ap-5615.pdf 2018-02-16 Division's Response to Respondent Bebo's Brief in Response to the Commission's Nov. 30, 2017 Order /litigation/apdocuments/3-16293-event-243.pdf 2018-03-09 Respondent Laurie Bebo's Supplemental Petition for Review of the ALJ's Order Ratifying Actions /litigation/apdocuments/3-16293-event-244b.pdf 2018-05-01 34-83150 Supplemental Briefing Order /litigation/opinions/2018/34-83150.pdf 2018-05-31 Respondent Bebo's Brief in Response to the Commission's May 1, 2018 Order /litigation/apdocuments/3-16293-event-247.pdf 2018-05-31 Division's Brief in Opposition to Respondent. Bebo's appeal of the ALJ's Order Ratifying Actions /litigation/apdocuments/3-16293-event-246.pdf 2018-06-14 Division's Response in Opposition to Respondent Laurie Bebo's Brief in Response to the Commission's May 1, 2018 Order /litigation/apdocuments/3-16293-event-248.pdf 2018-06-14 Respondent Laurie Bebo's Brief in Response to the Division's Opposition to her appeal of the ALJ's Order Ratifying Actions (Fax copy; Hard copy rcvd 6/15/18) /litigation/apdocuments/3-16293-event-249.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 2018-10-02 AP-6128 Order /alj/aljorders/2018/ap-6128.pdf 2018-11-26 AP-6364 Order /alj/aljorders/2018/ap-6364.pdf 2018-12-18 AP-6412 Order /alj/aljorders/2018/ap-6412.pdf 2019-02-28 AP-6470 Order /alj/aljorders/2019/ap-6470.pdf 2019-03-04 AP-6478 Order /alj/aljorders/2019/ap-6478.pdf 2019-03-01 Respondent's Motion for Summary Disposition for Constitutional Violations and Certificate of Service /litigation/apdocuments/3-16293-event-272.pdf 2019-03-25 AP-6516 Order /alj/aljorders/2019/ap-6516.pdf 2019-03-22 Division's Opposition to Respondent Laurie Bebe's Moition for Summary Disposition /litigation/apdocuments/3-16293-event-278.pdf 2019-04-03 Respondent Laurie Bebo's Reply Brief in Support of Her Motion for Summary Disposition for Constitution Violations /litigation/apdocuments/3-16293-event-281.pdf 2019-05-10 AP-6571 Order /alj/aljorders/2019/ap-6571.pdf 2019-06-05 AP-6595 Order /alj/aljorders/2019/ap-6595.pdf 2019-06-14 AP-6606 Order /alj/aljorders/2019/ap-6606.pdf 2019-06-14 AP-6607 Order /alj/aljorders/2019/ap-6607.pdf 2019-07-24 AP-6642 Order /alj/aljorders/2019/ap-6642.pdf 2019-08-28 AP-6664 Order /alj/aljorders/2019/ap-6664.pdf 2019-09-27 AP-6684 Order Redesignating Presiding Judge /alj/aljorders/2019/ap-6684.pdf 2019-09-30 Respondent Laurie Bebe's Supplemental Post-Hearing Brief; and Declaration of Hirschfeld /litigation/apdocuments/3-16293-event-297.pdf 2019-10-30 AP-6702 Order Denying Respondent's Motion to Strike /alj/aljorders/2019/ap-6702.pdf 2019-11-04 The Division of Enforcement's Supplemental Post-Hearing Response Brief /litigation/apdocuments/3-16293-event-301_redacted.pdf 2019-11-04 Respondent' Laurie Bebo's Supplemental Post Hearing Brief /litigation/apdocuments/3-16293-event-302_redacted.pdf 2019-11-06 AP-6704 Order On Further Proceedings /alj/aljorders/2019/ap-6704.pdf 2019-11-22 AP-6711 Order Scheduling Oral Argument /alj/aljorders/2019/ap-6711.pdf 2020-02-10 AP-6731 Order Following Oral Argument /alj/aljorders/2020/ap-6731.pdf 2020-02-14 The Division of Enforcement's Response to February 10 Order /litigation/apdocuments/3-16293-event-311.pdf 2020-02-24 Respondent' Laurie Bebo's Submission Pursuant to February 10 Order and Response to Division's February 14 Letter /litigation/apdocuments/3-16293-event-312.pdf 2020-03-02 Divison of Enforcement Letter in reply to Respondent Laurie Bebo's February 24, 2020 letter /litigation/apdocuments/3-16293-event-314.pdf 2016-02-29 Division's Brief in Opposition to Respondent's Appeal of Initial Decision /litigation/apdocuments/3-16293-event-2016-02-29-divisions-brief-in-opposition-to-respondents-appeal-of-initial-decision.pdf 2016-03-15 Respondent's Reply Brief in Support of Appeal of Initial Decision /litigation/apdocuments/3-16293-event-2016-03-15-respondents-reply-brief-in-support-of-appeal-of-initial-decision.pdf 2020-06-24 Email from ALJ to the parties regarding supplemental authority /litigation/apdocuments/3-16293-event-2020-06-24-email-from-alj-to-the-parties-regarding-supplemental-authority.pdf 2020-07-08 Letter dated 7-8-20 from Division to ALJ in response to ALJ's email of 6-24-20 /litigation/apdocuments/3-16293-event-2020-07-08-letter-from-division-to-alj-in-response-to-alj-email.pdf 2020-07-08 Letter dated 7-8-20 from counsel for Respondent Laurie Bebo to ALJ in resp to ALJ's email of 6-24-20 /litigation/apdocuments/3-16293-event-2020-07-08-letter-from-counsel-for-respondent-laurie-bebo-to-alj.pdf 2020-06-18 AP-6770 Order Extending Deadline for Issuance of Initial Decision /alj/aljorders/2020/ap-6770.pdf 2020-07-15 AP-6775 Order Regarding Supplemental Briefing /alj/aljorders/2020/ap-6775.pdf 2020-07-21 Division’s Letter in Response to ALJ’s July 15, 2020 Order /litigation/apdocuments/3-16293-2020-07-21-letter-from-division-to-alj.pdf 2020-08-13 ID-1401 Initial Decision as to Laurie Bebo /alj/aljdec/2020/id1401jsp.pdf 2020-09-01 Respondent Laurie Bebo's Petition for Review of the Initial Decision /litigation/apdocuments/3-16293-2020-09-01-respondent-laurie-bebos-petition-for-review-of-the-initial-decision.pdf 2021-01-25 34-90979 Order Granting Petition for Review and Scheduling Briefs /litigation/opinions/2021/34-90979.pdf 2021-03-12 Respondent Laurie Bebo's Opening Brief in Support of Her Appeal to the Commission /litigation/apdocuments/3-16293-2021-03-12-respondent-laurie-bebo-opening-brief.pdf 2021-03-12 Respondent's Motion for Oral Argument with Certificate of Service /litigation/apdocuments/3-16293-2021-03-12-respondent-motion-for-oral-argument.pdf 2021-04-26 Division's Brief in Opposition to Respondent Laurie Bebo's Appeal of the Initial Decision /litigation/apdocuments/3-16293-2021-04-26-divisions-brief-in-opposition.pdf 2021-05-04 34-91768 Extension Order /litigation/opinions/2021/34-91768.pdf 2021-05-24 Respondent Laurie Bebo's Reply Brief in Support of Her Appeal to the Commission /litigation/apdocuments/3-16293-2021-05-24-respondent-laurie-bebos-reply-brief.pdf 2022-01-18 34-93984 Order Extending Time to Issue Decision /litigation/opinions/2022/34-93984.pdf 2022-04-18 34-94740 Order Extending Time to Issue Decision /litigation/opinions/2022/34-94740.pdf 2022-06-14 Respondent's Motion for Leave to File Submission of Supplemental Authority /litigation/apdocuments/3-16293-2022-06-14-respondents-motion.pdf 2022-06-21 Division Response to Respondent Motion for Leave to File Submission of Supplemental Authority /litigation/apdocuments/3-16293-2022-06-21-division-response.pdf 2022-07-01 34-95195 Order Granting Leave to File Additional Briefs /litigation/opinions/2022/34-95195.pdf 2022-07-18 34-95308 Order Extending Time to Issue Decision /litigation/opinions/2022/34-95308.pdf 2022-07-14 Division Response to Respondent Submission of Supplemental Authority with Certificate of Service /litigation/apdocuments/3-16293-2022-07-14-division-response.pdf 2022-07-29 Respondent's Reply in Support of Submission of Supplemental Authority /litigation/apdocuments/3-16293-2022-07-29-respondents-reply.pdf 2022-10-17 34-96092 Order Extending Time to Issue Decision /litigation/opinions/2022/34-96092.pdf 2023-01-17 34-96671 Order Extending Time to Issue Decision /litigation/opinions/2023/34-96671.pdf 2023-04-17 34-97315 Order Extending Time to Issue Decision /litigation/opinions/2023/34-97315.pdf 2023-06-02 33-11198 34-97640 IA-6323 IC-34933 AAER-4413 Order Dismissing Proceedings /litigation/opinions/2023/33-11198.pdf