Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to 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

2019-07-16 3-16353 Spring Hill Capital Markets, LLC Spring Hill Capital Partners, LLC Spring Hill Capital Holdings, LLC White, Kevin D. /litigation/apdocuments/ap-3-16353.xml 2015-01-22 34-74119 IC-31426 Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to 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/2015/34-74119.pdf 2015-01-28 AP-2265 Order Scheduling Hearing and Designating Presiding Judge /alj/aljorders/2015/ap-2265.pdf 2015-02-13 AP-2313 Postponement Order /alj/aljorders/2015/ap-2313.pdf 2015-02-20 AP-2330 Prehearing Order /alj/aljorders/2015/ap-2330.pdf 2015-04-06 AP-2499 Scheduling Order /alj/aljorders/2015/ap-2499.pdf 2015-04-29 AP-2610 Scheduling Order /alj/aljorders/2015/ap-2610.pdf 2015-05-04 AP-2623 Prehearing Order /alj/aljorders/2015/ap-2623.pdf 2015-04-21 Div's Expert Report by Yui M. Chan /litigation/apdocuments/3-16353-event-16.pdf 2015-04-27 Division's Motion in Limine to Preclude Respondent's from Invoking a 'Reliance On Counsel' Defense /litigation/apdocuments/3-16353-event-20.pdf 2015-04-29 Division's Prehearing Brief /litigation/apdocuments/3-16353-event-21.pdf 2015-04-30 Division's Memorandum of Law in Opposition to Respondent's Motion in Limine to Exclude Evidence Pursuant to Rule 320 /litigation/apdocuments/3-16353-event-23.pdf 2015-04-30 Resps' Motion in Limine to Exclude Evidence Re to the Gramercy Trades That Is Irrelevant, Immaterial & Unduly Repitious to Claims Asserted by SEC /litigation/apdocuments/3-16353-event-25.pdf 2015-04-30 Respondents' Objections to the SEC's Witness List /litigation/apdocuments/3-16353-event-27.pdf 2015-05-04 Division's Memorandum of Law in Opposition to Respondent's Motion in Limine Relating to Statute of Limitation /litigation/apdocuments/3-16353-event-28.pdf 2015-05-06 Stipulations Entered Into by the Parties /litigation/apdocuments/3-16353-event-30.pdf 2015-05-11 Supplemental Stipulations /litigation/apdocuments/3-16353-event-34.pdf 2015-04-30 Respondents' Motion in Limine to Preclude All Evidence of Conduct or Actions Relating Charge That Springhill Capital Partners, LLC Acted as Unregistered Broker or to Preclude All Evidence Prior to 1/22/10 as Outside 5 Year Statue of Limitations /litigation/apdocuments/3-16353-event-24.pdf 2015-07-02 Respondents' Findings of Fact /litigation/apdocuments/3-16353-event-51.pdf 2015-06-29 Division's Proposed Findings of Fact and Conclusions of Law /litigation/apdocuments/3-16353-event-48.pdf 2015-07-02 Respondents' Post-Hearing Brief /litigation/apdocuments/3-16353-event-50.pdf 2015-07-22 Respondents' Reply Brief /litigation/apdocuments/3-16353-event-53.pdf 2015-09-02 Respondent's Notice of Filing Supplemental Authority /litigation/apdocuments/3-16353-event-54.pdf 2015-11-30 ID-919 Initial Decision /alj/aljdec/2015/id919cff.pdf 2015-12-24 34-76772 Extenstion Order /litigation/admin/2015/34-76772.pdf 2015-12-22 Respondents' Petition for Review /litigation/apdocuments/3-16353-event-67.pdf 2016-01-14 34-76913 Order Granting Petition for Review and Scheduling Briefs /litigation/opinions/2016/34-76913.pdf 2016-01-20 Division's Cross-Petition for Review /litigation/apdocuments/3-16353-event-70.pdf 2016-02-10 34-77108 Extenstion Order /litigation/admin/2016/34-77108.pdf 2016-04-01 Division's Brief in Opposition to Respondents' Petition for Review, and in Support of Division's Cross Petition for Review /litigation/apdocuments/3-16353-event-76.pdf 2016-04-15 Respondents' Reply Brief /litigation/apdocuments/3-16353-event-77.pdf 2016-08-02 Respondents' Notice of Supplemenal Authority /litigation/apdocuments/3-16353-event-78.pdf 2017-06-20 Respondents' Second Notice Of Supplemental Authority /litigation/apdocuments/3-16353-event-79.pdf 2017-08-18 34-81441 Order Scheduling Oral Argument /litigation/admin/2017/34-81441.pdf 2017-10-05 34-81822 Order Rescheduling Oral Argument /litigation/opinions/2017/34-81822.pdf 2017-10-12 34-81868 Order Changing Location of Oral Argument /litigation/opinions/2017/34-81868.pdf 2017-11-06 34-82022 Order Rescheduling Oral Argument /litigation/opinions/2017/34-82022.pdf 2017-12-01 34-82205 Order Cancelling Oral Argument /litigation/opinions/2017/34-82205.pdf 2017-12-18 AP-5400 Order /alj/aljorders/2017/ap-5400.pdf 2018-01-08 Respondents' Submission Pursuant to Order Dated December 18, 2017 /litigation/apdocuments/3-16353-event-90.pdf 2018-02-26 AP-5630 Order /alj/aljorders/2018/ap-5630.pdf 2018-04-16 Respondents' Submission Pursuant to Order Dated February 26, 2018 /litigation/apdocuments/3-16353-event-93.pdf 2018-06-28 AP-5876 Order /alj/aljorders/2018/ap-5876.pdf 2018-07-25 AP-5950 Order /alj/aljorders/2018/ap-5950.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 2018-09-26 AP-6092 Order Following Reassignment /alj/aljorders/2018/ap-6092.pdf 2018-10-17 AP-6206 Order Scheduling Prehearing Conference /alj/aljorders/2018/ap-6206.pdf 2018-10-24 AP-6248 Scheduling Order /alj/aljorders/2018/ap-6248.pdf 2018-11-15 AP-6324 Order Regarding Corrections to Transcript of the October 23, 2018 Prehearing Conference /alj/aljorders/2018/ap-6324.pdf 2019-03-19 AP-6511 Notice of Hearing Location /alj/aljorders/2019/ap-6511.pdf 2019-04-01 AP-6533 Stay Order /alj/aljorders/2019/ap-6533.pdf 2019-04-22 AP-6548 Order Extending Stay /alj/aljorders/2019/ap-6548.pdf 2019-07-16 34-86397 IC-33559 Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to 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/2019/34-86397.pdf