Order Instituting Cease-and-Desist Proceedings Pursuant to Section 21C of the Securities Exchange Act of 1934 and Notice of Hearing

2017-06-16 3-16383 Hill, Charles L., Jr. /litigation/apdocuments/ap-3-16383.xml 2015-02-11 34-74249 Order Instituting Cease-and-Desist Proceedings Pursuant to Section 21C of the Securities Exchange Act of 1934 and Notice of Hearing /litigation/admin/2015/34-74249.pdf 2015-02-18 AP-2318 Order Scheduling Hearing and Designating Presiding Judge /alj/aljorders/2015/ap-2318.pdf 2015-02-23 AP-2341 Order Postponing Hearing and Scheduling Prehearing Conference /alj/aljorders/2015/ap-2341.pdf 2015-03-02 Division's Status Report Regarding Service of Process and Rule 230 Document Production /litigation/apdocuments/3-16383-event-4.pdf 2015-03-12 AP-2414 Order Following Prehearing Conference /alj/aljorders/2015/ap-2414.pdf 2015-04-07 AP-2513 Notice to Parties /alj/aljorders/2015/ap-2513.pdf 2015-03-11 Letter of 3/1 0/15 to ALJ Grimes from Division Setting Forth a Proposed Prehearing Schedule /litigation/apdocuments/3-16383-event-6.pdf 2015-04-09 AP-2521 Order Granting Respondent's Motion for Leave to File Separate Motions for Summary Disposition /alj/aljorders/2015/ap-2521.pdf 2015-04-14 AP-2538 Order Granting in Part Respondent's Motion for Leave to File Motion for Summary Disposition and Exhibits Under Seal and in Redacted Form /alj/aljorders/2015/ap-2538.pdf 2015-04-21 AP-2564 Order /alj/aljorders/2015/ap-2564.pdf 2015-04-22 AP-2569 Order Granting in Part Motion for Protective Order /alj/aljorders/2015/ap-2569.pdf 2015-04-13 Respondent's Motion for Protective Order and Leave to File Motion for Summary Disposition and Exhibits Under Seal and in Redacted Form /litigation/apdocuments/3-16383-event-16.pdf 2015-04-14 Division's Response to Respondent's Motion for Protective Order /litigation/apdocuments/3-16383-event-18.pdf 2015-04-16 Respondent's Reply Brief in Support of Motion for Protective Order and Leave to File Motion for Summary Disposition and Exhibits Under Seal and in Redacted Form /litigation/apdocuments/3-16383-event-20.pdf 2015-04-24 AP-2580 Order /alj/aljorders/2015/ap-2580.pdf 2015-05-01 AP-2622 Order On Motions /alj/aljorders/2015/ap-2622.pdf 2015-05-08 AP-2648 Order Denying Motion to Quash Subpoena /alj/aljorders/2015/ap-2648.pdf 2015-05-08 AP-2649 Order Denying Respondent's Motion for Summary Disposition On the Merits /alj/aljorders/2015/ap-2649.pdf 2015-04-16 Respondent's Motion for Summary Disposition On His Constitutional Affirmative Defenses and Memorandum of Points and Authorities in Support Thereof /litigation/apdocuments/3-16383-event-21.pdf 2015-05-13 AP-2672 Order Modifying Prehearing Schedule /alj/aljorders/2015/ap-2672.pdf 2015-05-14 AP-2675 Order Denying Respondent's Motion for Summary Disposition On Constitutional Issues /alj/aljorders/2015/ap-2675.pdf 2015-05-15 AP-2680 Order Granting Respondent's Unopposed Request For Videotaped Deposition /alj/aljorders/2015/ap-2680.pdf 2015-05-21 AP-2706 Order Granting in Part Subpoena Request /alj/aljorders/2015/ap-2706.pdf 2015-05-22 AP-2710 Order Granting Respondent's Motion for Leave to Amend His Answer and Affirmative Defenses /alj/aljorders/2015/ap-2710.pdf 2015-05-26 AP-2722 Order Granting Consent Motion to Extend Deadlines /alj/aljorders/2015/ap-2722.pdf 2015-05-26 AP-2723 Order Granting Motion for Leave to File Substitute Subpoena Duces Tecum /alj/aljorders/2015/ap-2723.pdf 2015-05-28 AP-2735 Order Scheduling Prehearing Conference /alj/aljorders/2015/ap-2735.pdf 2015-06-01 AP-2751 Order Denying Certification /alj/aljorders/2015/ap-2751.pdf 2015-06-02 AP-2757 Order Denying in Part Subpoena Request /alj/aljorders/2015/ap-2757.pdf 2015-06-03 AP-2758 Order Granting Request for Official Notice /alj/aljorders/2015/ap-2758.pdf 2015-06-04 AP-2774 Order Granting Respondent's Motion for Leave to Amend His Answer /alj/aljorders/2015/ap-2774.pdf 2015-06-09 AP-2789 Notice /alj/aljorders/2015/ap-2789.pdf 2016-09-19 AP-4176 Order Scheduling Prehearing Conference /alj/aljorders/2016/ap-4176.pdf 2016-09-16 Notice of Dismissal of District Court Action /litigation/apdocuments/3-16383-event-96.pdf 2016-10-06 AP-4232 Order Following Prehearing Conference /alj/aljorders/2016/ap-4232.pdf 2016-09-29 Respondent's Motion For Leave to File Subpoena Duces Tecum /litigation/apdocuments/3-16383-event-100.pdf 2016-10-14 AP-4253 Order Denying Subpoena Request /alj/aljorders/2016/ap-4253.pdf 2016-10-17 AP-4264 Scheduling Order /alj/aljorders/2016/ap-4264.pdf 2016-10-05 Respondent's Motion to De-Institute Administrative Proceedings /litigation/apdocuments/3-16383-event-101.pdf 2016-10-11 Respondent's Reply Brief in Support of Motion for Leave to File Subpeona Duces Tecum /litigation/apdocuments/3-16383-event-104.pdf 2016-10-13 Division's Opposition to Respondent's Motion to De-Institute Administrative Proceeding /litigation/apdocuments/3-16383-event-105.pdf 2016-10-18 Respondent's Reply Brief in Support of Motion to De-Institute Administrative Proceedings /litigation/apdocuments/3-16383-event-110.pdf 2016-11-15 AP-4351 Notice of Hearing Location /alj/aljorders/2016/ap-4351.pdf 2016-11-29 AP-4394 Order Scheduling Prehearing Conference /alj/aljorders/2016/ap-4394.pdf 2016-11-29 AP-4399 Order Granting Motion in Limine /alj/aljorders/2016/ap-4399.pdf 2016-11-17 Division's Motion in Limine To Preclude The Testimony of Matthew McNamara /litigation/apdocuments/3-16383-event-119.pdf 2016-11-17 Letter dated 11/16/16 to Chair & Commissioners from Respondent's Attorney JWilliamson regarding Respondent's Motion to De-Institute with the Commission /litigation/apdocuments/3-16383-event-121.pdf 2016-12-02 34-79459 Order Denying Motion to De-Institute Administrative Proceeding /litigation/opinions/2016/34-79459.pdf 2016-12-07 AP-4422 Order Following Prehearing Conference /alj/aljorders/2016/ap-4422.pdf 2016-12-19 AP-4462 Post-Hearing Order /alj/aljorders/2016/ap-4462.pdf 2017-01-05 Respondent's Notice of Filing of Second Amended Answer, with attached Second Amended Answer /litigation/apdocuments/3-16383-event-140.pdf 2017-01-30 AP-4566 Order Granting Respondent's Motion to File Corrected Post-Hearing Brief /alj/aljorders/2017/ap-4566.pdf 2017-01-27 Division's Post Hearing Brief /litigation/apdocuments/3-16383-event-143.pdf 2017-01-30 Respondent's Post Hearing Brief /litigation/apdocuments/3-16383-event-144.pdf 2017-01-30 Respondents Consent Motion for Leave to File Corrected Post Hearing Brief, with attached Corrected Post Hearing Brief /litigation/apdocuments/3-16383-event-145.pdf 2017-02-10 Division's Response to Respondent's Post Hearing Brief /litigation/apdocuments/3-16383-event-147.pdf 2017-02-10 Respondent's Post-Hearing Reply Brief /litigation/apdocuments/3-16383-event-148.pdf 2017-02-22 AP-4620 Order Granting in Part Respondent's Motion to Withdraw Certain Exhibits /alj/aljorders/2017/ap-4620.pdf 2017-04-18 ID-1123 Initial Decision /alj/aljdec/2017/id1123jeg.pdf 2017-06-16 34-80953 Notice That Initial Decision Has Become Final /alj/aljdec/2017/34-80953.pdf