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(e), 203(f) and 203(k) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940

2021-05-07 3-16311 Reliance Financial Advisors, LLC Dembski, Timothy S. Grenda, Walter F., Jr. /litigation/apdocuments/ap-3-16311.xml 2014-12-10 33-9686 34-73801 IA-3976 IC-31367 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(e), 203(f) and 203(k) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940 /litigation/admin/2014/33-9686.pdf 2014-12-11 AP-2120 Order Scheduling Hearing and Designating Presiding Judge /alj/aljorders/2014/ap-2120.pdf 2014-12-29 AP-2168 Order Postponing Hearings /alj/aljorders/2014/ap-2168.pdf 2014-12-10 34-73801 33-9686 IA-3976 IC-31367 Order Instituting Administrative and Cease-and-Desist Proceedings /litigation/admin/2014/34-73801.pdf 2015-01-09 AP-2205 Order /alj/aljorders/2015/ap-2205.pdf 2014-12-24 Letter of 12/23/14 to Alj Patil from Division Atty Birnbaum Requesting_ That Hearings Be Converted to One Combined Telephonic Prehearing Scheduling Conference On 1/8/15 At 9:30 Am in Ny, Ny; Reps. Stephan and Dembski Join In. Request /litigation/apdocuments/3-16311-event-5.pdf 2015-01-12 Answer and Affirmative Defenses of Respondent Timothy Dembski /litigation/apdocuments/3-16311-event-8.pdf 2015-01-12 Letter of 1/9/15 to Alj Patil from Division Making Joint Request for Consolidated Hearings in 3-16311 and 3-16312 with a Proposed Schedule (Respondent Grenda . Made No Response & Respondent Dembski Reserved Right to Move for Severance) /litigation/apdocuments/3-16311-event-9.pdf 2015-01-22 AP-2243 Order to Show Cause /alj/aljorders/2015/ap-2243.pdf 2015-02-03 Respondents Reliance Financial Advisors, LLC and Grenda's Answer and Affirmative Defenses /litigation/apdocuments/3-16311-event-11.pdf 2015-02-24 AP-2346 Order Regarding Expert Disclosures /alj/aljorders/2015/ap-2346.pdf 2015-02-23 Letter of 2/20/15 from the Division to ALJ Patil Seeking Clarification of the Court's 1/9/15 Order as It Pertains to Expert Reports. the Division Notes Order Does Not Address Deadline and Proposes for All Parties to Exchange Expert Reports by 4/15/15 /litigation/apdocuments/3-16311-event-13.pdf 2015-03-19 Division's Expert Witness Disclosure /litigation/apdocuments/3-16311-event-15.pdf 2015-04-13 AP-2537 Notice of Hearing Location /alj/aljorders/2015/ap-2537.pdf 2015-04-16 AP-2553 Order Extending Prehearing Deadlines /alj/aljorders/2015/ap-2553.pdf 2015-04-17 AP-2557 Order Denying Motion to Extend Prehearing Deadlines and Postpone Hearing /alj/aljorders/2015/ap-2557.pdf 2015-04-21 AP-2562 Order Regarding Exhibit Lists /alj/aljorders/2015/ap-2562.pdf 2015-04-23 AP-2578 Order Regarding Motions in Limine /alj/aljorders/2015/ap-2578.pdf 2015-04-24 AP-2583 Order Regarding Testimony /alj/aljorders/2015/ap-2583.pdf 2015-04-28 AP-2601 Order Regarding Testimony /alj/aljorders/2015/ap-2601.pdf 2015-04-29 AP-2603 Order Regarding Compliance with U.S. Court of Appeals for the Second Circuit Courtroom Requirements /alj/aljorders/2015/ap-2603.pdf 2015-04-29 AP-2606 Order Regarding Respondent Dembski's Advice of Counsel Defense and Opposition to Motions in Limine /alj/aljorders/2015/ap-2606.pdf 2015-04-30 AP-2612 Order Regarding Respondent Dembski's Advice of Counsel Defense /alj/aljorders/2015/ap-2612.pdf 2015-04-23 Order Regarding Motions in Limine /litigation/apdocuments/3-16311-event-25.pdf 2015-05-04 AP-2627 Order Following Prehearing Conference /alj/aljorders/2015/ap-2627.pdf 2015-05-06 AP-2641 Stay Order /alj/aljorders/2015/ap-2641.pdf 2015-05-07 AP-2646 Order /alj/aljorders/2015/ap-2646.pdf 2015-05-04 Division's Prehearing Brief /litigation/apdocuments/3-16311-event-37.pdf 2015-05-21 AP-2708 Post-Hearing Order /alj/aljorders/2015/ap-2708.pdf 2015-06-05 AP-2778 Order Extending Deadline to File Stipulations or Motions Regarding Transcript Corrections /alj/aljorders/2015/ap-2778.pdf 2015-06-09 AP-2792 Order Extending Deadline to File Stipulations as to Proposed Findings of Fact and Conclusions of Law /alj/aljorders/2015/ap-2792.pdf 2015-06-12 AP-2805 Order Extending Stay Order and Admitting Exhibit /alj/aljorders/2015/ap-2805.pdf 2015-06-15 AP-2815 Order Granting Motion to Correct Hearing Transcript /alj/aljorders/2015/ap-2815.pdf 2015-06-15 AP-2816 Order /alj/aljorders/2015/ap-2816.pdf 2015-06-24 AP-2853 Order /alj/aljorders/2015/ap-2853.pdf 2015-07-08 AP-2914 Order Lifting Stay, Scheduling Hearing, and Setting Prehearing Deadlines /alj/aljorders/2015/ap-2914.pdf 2015-07-16 AP-2934 Order Scheduling Hearing /alj/aljorders/2015/ap-2934.pdf 2015-07-16 AP-2937 Notice of Hearing Location /alj/aljorders/2015/ap-2937.pdf 2015-07-20 AP-2944 Stay Order /alj/aljorders/2015/ap-2944.pdf 2015-07-06 Division's Post Hearing Brief as to Respondent Dembski /litigation/apdocuments/3-16311-event-67.pdf 2015-07-06 Division's Post Hearing Brief Seeking Relief Against Respondent Stephan /litigation/apdocuments/3-16311-event-68.pdf 2015-07-06 Division's Proposed Findings of Fact and Conclusions of Law. (as to Respondent Stephan) /litigation/apdocuments/3-16311-event-69.pdf 2015-07-06 Respondent Stephan's Post Hearing Brief /litigation/apdocuments/3-16311-event-70.pdf 2015-07-31 33-9872 34-75577 IA-4152 IC-31730 Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Section 8A of the Securities Act of 1933, Sections 15(b) and 21C of the Securities Exchange Act of 1934, Sections 203(e), 203(f) and 203(k) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940 as to Reliance Financial Advisors, LLC and Walter F. Grenda, Jr. /litigation/admin/2015/33-9872.pdf 2015-07-31 Division's Response to Respondent Dembski's Post-Hearing Memorandum /litigation/apdocuments/3-16311-event-80.pdf 2015-07-31 Division's Brief Response to Respondent Stephan's Post-Hearing Memorandum /litigation/apdocuments/3-16311-event-81.pdf 2015-07-31 Division's Response to Respondent Dembski's Proposed Findings of Facts /litigation/apdocuments/3-16311-event-82.pdf 2015-08-28 AP-3074 Motion to the Commission for Extension /alj/aljorders/2015/ap-3074.pdf 2015-09-09 AP-3108 Protective Order /alj/aljorders/2015/ap-3108.pdf 2015-10-01 33-9958 34-76067 IA-4214 IC-31857 Order Granting Extension /litigation/opinions/2015/33-9958.pdf 2016-01-11 ID-941 Initial Decision as to Timothy S. Dembski /alj/aljdec/2016/id941jsp.pdf 2016-01-29 Respondent Dembski's Petition for Review /litigation/apdocuments/3-16311-event-108.pdf 2016-02-22 33-10044 34-77201 IA-4336 IC-31999 Order Granting Petition for Review and Scheduling Briefs /litigation/opinions/2016/33-10044.pdf 2016-03-28 Respondent Dembski's Brief in Support of Petition for Review /litigation/apdocuments/3-16311-event-110.pdf 2016-04-22 Division's Brief in Opposition to Respondent Dembski's Petition for Review of the Initial Decision /litigation/apdocuments/3-16311-event-111.pdf 2016-05-31 Respondent Dembski's Motion to Adduce Additional Evidence /litigation/apdocuments/3-16311-event-113.pdf 2017-03-24 33-10326 34-80306 IA-4671 IC-32575 Opinion of the Commission /litigation/opinions/2017/33-10326.pdf 2021-05-07 34-91793 Order Appointing Tax Administrator /litigation/admin/2021/34-91793.pdf