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, and Notice of Hearing

2021-03-30 3-16318 Crow, Michael W. Clug, Alexandre S. Aurum Mining, LLC Panam Terra, Inc. the Corsair Group, Inc. /litigation/apdocuments/ap-3-16318.xml 2023-03-20 /litigation/apdocuments/3-16318-docket-2023-03-20.pdf 2014-12-16 33-9690 34-73851 IC-31378 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, and Notice of Hearing /litigation/admin/2014/33-9690.pdf 2014-12-17 AP-2146 Order Scheduling Hearing and Designating Presiding Judge /alj/aljorders/2014/ap-2146.pdf 2015-01-14 AP-2218 Order Postponing Hearing and Ordering Parties to Conduct a Prehearing Conference /alj/aljorders/2015/ap-2218.pdf 2015-01-15 Letter of 1/14/15 to ALJ Patil from Division Counsel Providing a Status Report /litigation/apdocuments/3-16318-event-6.pdf 2015-02-04 AP-2286 Prehearing Scheduling Order /alj/aljorders/2015/ap-2286.pdf 2015-02-10 AP-2301 Order Denying Motion for a More Definite Statement /alj/aljorders/2015/ap-2301.pdf 2015-02-10 Division's Memorandum of Law in Opposition to Respondents' Motion for a More Definite Statement /litigation/apdocuments/3-16318-event-14.pdf 2015-02-03 Respondents' Motion for a More Definite Statement. /litigation/apdocuments/3-16318-event-8.pdf 2015-02-03 Respondents' Memorandum and Points of Authorities in Support of Its Motion for a More Definite Statement. /litigation/apdocuments/3-16318-event-9.pdf 2015-02-03 Respondents' Answer and Affirmative Defenses. /litigation/apdocuments/3-16318-event-10.pdf 2015-06-18 AP-2831 Notice of Hearing Location and Order Regarding Courthouse Requirements /alj/aljorders/2015/ap-2831.pdf 2015-06-24 AP-2854 Order /alj/aljorders/2015/ap-2854.pdf 2015-06-29 AP-2877 Order Rescheduling Prehearing Conference /alj/aljorders/2015/ap-2877.pdf 2015-07-07 AP-2906 Order On Pending Motions /alj/aljorders/2015/ap-2906.pdf 2015-07-09 AP-2918 Notice of Hearing Start Time /alj/aljorders/2015/ap-2918.pdf 2015-07-23 AP-2966 Notice of Continuation of Hearing /alj/aljorders/2015/ap-2966.pdf 2015-07-31 AP-3001 Post-Hearing Order /alj/aljorders/2015/ap-3001.pdf 2015-08-27 AP-3073 Extension Order /alj/aljorders/2015/ap-3073.pdf 2015-09-08 AP-3102 Motion to the Commission for Extension /alj/aljorders/2015/ap-3102.pdf 2015-09-08 AP-3105 Order Granting Motion to Correct Hearing Transcript /alj/aljorders/2015/ap-3105.pdf 2015-09-01 Division's Post-Hearing Brief /litigation/apdocuments/3-16318-event-88_redacted.pdf 2015-09-01 Division's Proposed Findings of Fact, Conclusions of Law /litigation/apdocuments/3-16318-event-89_redacted.pdf 2015-09-17 AP-3142 Extension Order /alj/aljorders/2015/ap-3142.pdf 2015-10-05 Respondents Alexandre Clug, Aurum Mining, LLC, Panam Terra, Inc. and the Corsair Group, Inc.'s Objections to the Division's Proposed Findings of Fact, Conclusions of Law /litigation/apdocuments/3-16318-event-95.pdf 2015-10-05 Respondents Alexandre Clug, Aurum Mining, LLC, Panam Terra, Inc. and the Corsair Group, Inc.'s Post Hearing Brief /litigation/apdocuments/3-16318-event-96.pdf 2015-10-05 Respondents Alexandre Clug, Aurum Mining, LLC, Panam Terra, Inc. and the Corsair Group, Inc.'s Findings of Fact, Conclusions of Law /litigation/apdocuments/3-16318-event-97.pdf 2015-10-21 Divisions' Responses and Counterstatements to the Proposed Fofcol of Respondents Clug, Aurum Mining, Panam Terra and the Corsair Group /litigation/apdocuments/3-16318-event-98.pdf 2015-10-21 Division's Responses and Counterstatements to the Proposed Fofcol of Respondent Michael Crow /litigation/apdocuments/3-16318-event-99.pdf 2015-10-21 Division's Post-Hearing Reply Brief /litigation/apdocuments/3-16318-event-100.pdf 2016-02-08 ID-953 Initial Decision /alj/aljdec/2016/id953jsp.pdf 2016-03-01 Respondent Clug's Petition for Review of Initial Decision /litigation/apdocuments/3-16318-event-118.pdf 2016-03-15 AP-3708 Order Granting the Division's Motion to Correct a Manifest Error of Fact /alj/aljorders/2016/ap-3708.pdf 2016-03-10 Division's Brief Opposing Respondent Crow's Motion to Correct a Manifest Error of Fact in the Initial Decison /litigation/apdocuments/3-16318-event-120.pdf 2016-03-22 33-10057 34-77420 IC-32037 Order Granting Petition for Review and Scheduling Briefs /litigation/opinions/2016/33-10057.pdf 2016-04-04 Division's Cross-Petition for Review of Initial Decision /litigation/apdocuments/3-16318-event-123.pdf 2016-04-05 Respondent Clug's Petition for Rejecting Division's Cross Petition /litigation/apdocuments/3-16318-event-124.pdf 2016-04-08 Division's Reply to Respondent Clug's Petition for Rejecting Division's Cross Petition /litigation/apdocuments/3-16318-event-125.pdf 2016-05-04 33-10076 34-77766 IC-32104 Order Denying Petition to Reject Division's Cross-Petition for Review as Untimely, Granting the Division's Cross-Petition, and Setting a Briefing Schedule /litigation/opinions/2016/33-10076.pdf 2016-06-03 Division's Brief in Support of its Cross-Petition for Review, and in Opposition to Respondent Club's Petition for Review of Initial Decision /litigation/apdocuments/3-16318-event-129.pdf 2016-07-20 Division's Reply Brief in Further Support of its Cross-Petition for Review of Initial Decision /litigation/apdocuments/3-16318-event-132.pdf 2016-08-08 Respondent Clug's Brief in Opposition to Division's Cross-Petition for Review and Reply Brief in Support of Petition for Review /litigation/apdocuments/3-16318-event-131.pdf 2016-04-22 Respondent Clug's Brief in Support of Petition of Review /litigation/apdocuments/3-16318-event-126.pdf 2017-12-06 AP-5300 Notice to the Parties and Order Following Remand /alj/aljorders/2017/ap-5300.pdf 2018-01-12 AP-5456 Order Regarding Inability to Pay Evidence /alj/aljorders/2018/ap-5456.pdf 2018-01-08 Division's Brief in Support of Submission of New Evidence, Declaration of Ibrahim Bah with Exhibits A-C, and Declaration of David Stoelting /litigation/apdocuments/3-16318-event-135.pdf 2018-02-16 AP-5617 Order Extending Deadline for Determination Regarding Ratification /alj/aljorders/2018/ap-5617.pdf 2018-03-08 AP-5641 Second Order Extending Deadline for Determination Regarding Ratification /alj/aljorders/2018/ap-5641.pdf 2018-04-20 AP-5691 Order Ratifying in Part and Revising in Part Prior Actions /alj/aljorders/2018/ap-5691.pdf 2018-04-27 Division's Petition for Review of Initial Decision and Ratification Order /litigation/apdocuments/3-16318-event-144_redacted.pdf 2018-05-10 Alexandre S. Clug's Petition For Review of Initial Decision and Ratification Order /litigation/apdocuments/3-16318-event-145.pdf 2018-02-27 Division's Reply /litigation/apdocuments/3-16318-event-139.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 2018-12-10 33-10583 34-84776 IC-33319 Supplemental Briefing Order /litigation/opinions/2018/33-10583.pdf 2018-12-21 33-10596 34-84914 IC-33336 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, and Section 9(b) of the Investment Company Act of 1940 /litigation/admin/2018/33-10596.pdf 2019-01-28 Respondent's Response to Division's Supplemental Brief Dated January 9, 2019, Per Commission's Briefing Order Dated December 10, 2018. /litigation/apdocuments/3-16318-event-161.pdf 2019-01-28 Supplemental Brief of The Division of Enforcement /litigation/apdocuments/3-16318-event-162.pdf 2018-03-06 Alexandre S. Clug's Corrections to Division of Enforcement's Reply to Alexandre S. Clug's Response to the Division's Submission of New Evidence /litigation/apdocuments/3-16318-event-138.pdf 2018-01-31 Alexandre S Clug, Response to Division's Brief in Support of its Submission of New Evidence /litigation/apdocuments/3-16318-event-135-b.pdf 2019-06-24 33-10653 34-86192 Order Scheduling Oral Argument /litigation/opinions/2019/33-10653.pdf 2019-08-06 33-10667 34-86586 IC-33583 Order Denying Motion to Reschedule Oral Argument /litigation/opinions/2019/33-10667.pdf 2019-12-16 33-10732 34-87767 IC-33717 Order Extending Time to Issue Decision /litigation/opinions/2019/33-10732.pdf 2020-01-15 33-10744 34-87977 IC-33747 Order Extending Time to Issue Decision /litigation/opinions/2020/33-10744.pdf 2020-02-14 33-10754 34-88224 Order Extending Time to Issue Decision /litigation/opinions/2020/33-10754.pdf 2020-03-16 33-10766 34-88396 IC-33819 Order Extending Time to Issue Decision /litigation/opinions/2020/33-10766.pdf 2020-04-14 33-10772 34-88629 IC-33838 Order Extending Time to Issue Decision /litigation/opinions/2020/33-10772.pdf 2020-05-14 33-10785 34-88867 IC-33866 Order Extending Time to Issue Decision /litigation/opinions/2020/33-10785.pdf 2020-06-12 33-10791 34-89053 IC-33891 Order Extending Time to Issue Decision /litigation/opinions/2020/33-10791.pdf 2020-07-15 33-10803 34-89327 IC-33928 Order Extending Time to Issue Decision /litigation/opinions/2020/33-10803.pdf 2020-08-14 33-10819 34-89555 IC-33970 Order Extending Time to Issue Decision /litigation/opinions/2020/33-10819.pdf 2020-09-14 33-10840 34-89858 IC-34010 Order Extending Time to Issue Decision /litigation/opinions/2020/33-10840.pdf 2020-09-29 33-10859 34-90039 IC-34032 Order Extending Time to Issue Decision /litigation/opinions/2020/33-10859.pdf 2020-10-09 33-10874 34-90143 IC-34048 Order Extending Time to Issue Decision /litigation/opinions/2020/33-10874.pdf 2020-10-26 33-10880 34-90273 IC-34073 Order Extending Time to Issue Decision /litigation/opinions/2020/33-10880.pdf 2020-11-09 33-10886 34-90385 IC-34089 Opinion of the Commission /litigation/opinions/2020/33-10886.pdf 2020-11-24 Respondent Alexandre S. Clug's Motion for Reconsideration of Financial Disgorgement in Opinion of the Commission /litigation/apdocuments/3-16318-2020-11-24-respondent-alexandre-s-clug-motion-for-reconsideration.pdf 2020-12-15 33-10904 34-90666 IC-34140 Order Requesting Additional Written Submissions /litigation/opinions/2020/33-10904.pdf 2021-01-15 Brief of the Division's in Opposition to Respondent Alexandre's Clug's Motion for Reconsideration /litigation/apdocuments/3-16318-2021-01-15-brief-of-the-divisions-in-opposition.pdf 2021-02-17 Alexandre S. Clug's Response to Division's Supplemental Brief Dated January 15,2021, Per Commission's Briefing Order Dated December 15, 2020 /litigation/apdocuments/3-16318-2021-02-17-alexandre-s-clugs-response.pdf 2023-06-02 33-11198 34-97640 IA-6323 IC-34933 AAER-4413 Order Dismissing Proceedings /litigation/opinions/2023/33-11198.pdf