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

2018-12-21 3-16349 Duka, Barbara /litigation/apdocuments/ap-3-16349.xml 2015-01-21 33-9706 34-74105 IC-31425 Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 8A of the Securities Act of 1933, Sections 15E(d) and 21C of the Securities Exchange Act of 1934, and Section 9(b) of the Investment Company Act of 1940 /litigation/admin/2015/33-9706.pdf 2015-01-22 AP-2245 Order Scheduling Hearing and Designating Presiding Judge /alj/aljorders/2015/ap-2245.pdf 2015-02-11 AP-2304 Order On Agreed Motion to Convert Hearing Date to Telephonic Prehearing Conference /alj/aljorders/2015/ap-2304.pdf 2015-02-18 AP-2321 Order Granting Motion for Extension of Time to Answer /alj/aljorders/2015/ap-2321.pdf 2015-02-26 AP-2354 Order Following Prehearing Conference /alj/aljorders/2015/ap-2354.pdf 2015-02-23 Respondent's Answer. /litigation/apdocuments/3-16349-event-7.pdf 2015-03-03 AP-2373 Protective Order /alj/aljorders/2015/ap-2373.pdf 2015-03-04 AP-2378 Scheduling and General Prehearing Order /alj/aljorders/2015/ap-2378.pdf 2015-05-08 Division's Motion for Partial Summary Disposition (Exhibits A through T) /litigation/apdocuments/3-16349-event-17-a.pdf 2015-05-08 Division's Motion for Partial Summary Disposition (Exhibits U through QQ) /litigation/apdocuments/3-16349-event-17-b.pdf 2015-05-08 Respondent's Motion for Summary Disposition /litigation/apdocuments/3-16349-event-18.pdf 2015-05-08 Respondent's Memorandum of Points and Authorities in Support of Motion for Summary Disposition /litigation/apdocuments/3-16349-event-19.pdf 2015-05-27 AP-2728 Order Setting Hearing Location /alj/aljorders/2015/ap-2728.pdf 2015-07-01 AP-2889 Order Denying Division of Enforcement's Motion for Partial Summary Disposition /alj/aljorders/2015/ap-2889.pdf 2015-07-02 AP-2893 Order On Respondent's Motion for Summary Disposition /alj/aljorders/2015/ap-2893.pdf 2015-07-08 AP-2911 Order Denying Motion for Adjournment of Hearing /alj/aljorders/2015/ap-2911.pdf 2015-07-24 AP-2969 Order Redesignating Presiding Judge /alj/aljorders/2015/ap-2969.pdf 2015-07-28 AP-2983 Notice /alj/aljorders/2015/ap-2983.pdf 2015-08-03 AP-3006 Notice of Stay /alj/aljorders/2015/ap-3006.pdf 2015-08-12 AP-3030 Notice of Stay /alj/aljorders/2015/ap-3030.pdf 2016-09-16 AP-4158 Order Scheduling Prehearing Conference /alj/aljorders/2016/ap-4158.pdf 2016-09-21 AP-4185 Order Following Prehearing Conference and Setting Procedural Schedule /alj/aljorders/2016/ap-4185.pdf 2016-10-20 AP-4286 Order Regarding Hearing Location /alj/aljorders/2016/ap-4286.pdf 2016-11-04 AP-4324 Order On Motions to Exclude /alj/aljorders/2016/ap-4324.pdf 2016-11-09 AP-4336 Order Following Prehearing Conference /alj/aljorders/2016/ap-4336.pdf 2016-10-31 Division's Opposition to Respondent's Motion in Limine to Exclude CMBS Investors as Witnesses /litigation/apdocuments/3-16349-event-58.pdf 2016-10-31 Division's Opposition to Respondent's Memo of Law in Support of Her Motion in Limine to Strike Substantial Portions of the Expert Report of Peter D. Rubinstein, PHD /litigation/apdocuments/3-16349-event-59.pdf 2016-11-01 Memo of Law of Resp in Oppos to The Divisions's Motion in Limine to Exclude Test and EXs Refer the Find and Conclusions of Sand P's Internal Invest and In Response to the Division's Objection to Respondent's Exhibits /litigation/apdocuments/3-16349-event-60.pdf 2016-11-07 Respondent's Pre-Hearing Brief /litigation/apdocuments/3-16349-event-63.pdf 2016-11-07 Division's Pre-hearing Brief /litigation/apdocuments/3-16349-event-64.pdf 2016-12-16 AP-4455 Order Regarding Hearing Location /alj/aljorders/2016/ap-4455.pdf 2016-10-26 Motion in Limine to Exclude Testimony & Exhibits Referencing The Findings & Conclusions Of S&P's Internal Investigations /litigation/apdocuments/3-16349-event-52.pdf 2016-12-06 Division's Opposition to Motion in Limine To Exclude Testimony of CMBS Investor Ethan Penner /litigation/apdocuments/3-16349-event-71.pdf 2017-01-09 AP-4507 Post-Hearing Order /alj/aljorders/2017/ap-4507.pdf 2017-01-05 Letter dated 1/3/17 from Resps counsel to ALJ, in support of Court's ruling barring testimony of Kurt Pollem /litigation/apdocuments/3-16349-event-79.pdf 2017-01-30 AP-4568 Extension Order /alj/aljorders/2017/ap-4568.pdf 2017-02-22 AP-4618 Order Regarding Transcript Corrections /alj/aljorders/2017/ap-4618.pdf 2017-02-21 Division's Post Hearing Brief /litigation/apdocuments/3-16349-event-101.pdf 2017-02-21 Respondent's Post Hearing Brief /litigation/apdocuments/3-16349-event-102.pdf 2017-02-17 Division's Proposed Findings of Fact and Conclusions of Law /litigation/apdocuments/3-16349-event-99.pdf 2017-02-17 Respondents' Proposed Findings of Fact and Conclusions of Law /litigation/apdocuments/3-16349-event-100.pdf 2017-03-16 Division's Response to Respondent's Post-Hearing Brief /litigation/apdocuments/3-16349-event-110.pdf 2017-03-17 Respondent's Post-Hearing Opposition Brief /litigation/apdocuments/3-16349-event-111.pdf 2017-06-15 AP-4872 Order Correcting Record Index as to Division Exhibits 209 and 324 /alj/aljorders/2017/ap-4872.pdf 2017-08-22 Letter Dated 8/22/17 from the Division to ALJ Grimes in Response to Counsel for Respondent's to ALJ Grimes in Regards to Judge Patil's 8/16/17 Lathen Decision /litigation/apdocuments/3-16349-event-119.pdf 2017-08-29 ID-1167 Initial Decision /alj/aljdec/2017/id1167jeg.pdf 2017-12-07 AP-5325 Notice to the Parties and Order Following Remand /alj/aljorders/2017/ap-5325.pdf 2017-12-21 Letter dated 12/20/17 from counsel for Respondent Duka to ALJ Grimes informing the court that neither Duka nor the Division intends to submit new evidence per the Notice to the Parties and Order Following Remand /litigation/apdocuments/3-16349-event-124.pdf 2018-01-10 AP-5442 Order Ratifying Prior Actions /alj/aljorders/2018/ap-5442.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 2018-10-01 AP-6124 Order Staying Proceedings /alj/aljorders/2018/ap-6124.pdf 2018-12-21 33-10599 34-84923 IC-33339 Order Making Findings and Imposing Remedial Sanctions and a Cease-And- Desist Order Pursuant to Section 8A of the Securities Act of 1933, Sections 15E(d) and 21C of the Securities Exchange Act of 1934, and Section 9(b) of the Investment Company Act of 1940 /litigation/admin/2018/33-10599.pdf