2017-11-28
3-16462
Tilton, Lynn
Patriarch Partners, LLC
Patriarch Partners VIII, LLC
Patriarch Partners XIV, LLC
Patriarch Partners XV, LLC
/litigation/apdocuments/ap-3-16462.xml
2015-03-30
IA-4053
IC-31539
AAER-3644
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to 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, and Notice of Hearing
/litigation/admin/2015/ia-4053.pdf
2015-04-06
AP-2494
Order Scheduling Hearing and Designating Presiding Judge
/alj/aljorders/2015/ap-2494.pdf
2015-04-22
Respondents' Answer
/litigation/apdocuments/3-16462-event-10.pdf
2015-04-22
Respondents' Motion for a More Definite Statement
/litigation/apdocuments/3-16462-event-11.pdf
2015-04-22
Respondents' Memorandum of Points of Authorities in Support of Respondents' Motion for a More Definite Statement
/litigation/apdocuments/3-16462-event-12.pdf
2015-05-01
AP-2617
Scheduling Order
/alj/aljorders/2015/ap-2617.pdf
2015-05-07
AP-2647
Prehearing Order
/alj/aljorders/2015/ap-2647.pdf
2015-04-30
Division's Brief in Opposition to Respondents' Motion for a More Definite Statement
/litigation/apdocuments/3-16462-event-13.pdf
2015-05-04
Respondents' Reply Memorandum in Further Support of Respondents' Motion for a More Definite Statement
/litigation/apdocuments/3-16462-event-15.pdf
2015-06-05
Respondents' Memorandum of Points of Authorities in Support of Motion to Halt the Division's Search for a Substitute Case for Trial
/litigation/apdocuments/3-16462-event-25.pdf
2015-06-05
Respondents' Motion to Halt the Division's Search for a Substitute Case for Trial
/litigation/apdocuments/3-16462-event-26.pdf
2015-06-05
Declaration of Christopher J. Gunther in Support of Respondents' Motion to Halt the Division's Search for a Substitute Case for Trial
/litigation/apdocuments/3-16462-event-27.pdf
2015-06-08
Responden's Motion for Summary Disposition
/litigation/apdocuments/3-16462-event-28.pdf
2015-06-08
Respondents' Memorandum and Points of Authority in Support of Respondents' Motion for Summary Disposition
/litigation/apdocuments/3-16462-event-30.pdf
2015-06-12
Division's Brief in Opposition to Respondents' Motion to Halt the Division's Search for a Substitute Case for Trial
/litigation/apdocuments/3-16462-event-32.pdf
2015-06-18
Reply Brief in Support of Respondents' Motion to Halt the Division's Search for a Substitute Case for Trial
/litigation/apdocuments/3-16462-event-36.pdf
2015-07-01
AP-2892
Order
/alj/aljorders/2015/ap-2892.pdf
2015-06-22
Non-Party Rabobank International, New York Branch's Motion On Consent of Respondents for Issuance of a Protective Order, with a Draft Proposed Protective Order
/litigation/apdocuments/3-16462-event-38.pdf
2015-07-13
Reply Memorandum and Points of Authorities in Support of Respondents' Motion for Summary Disposition
/litigation/apdocuments/3-16462-event-44.pdf
2015-06-26
Division's Brief in Opposition to Respondents' Motion for Summary Disposition
/litigation/apdocuments/3-16462-event-39_redacted.pdf
2015-07-15
AP-2931
Order
/alj/aljorders/2015/ap-2931.pdf
2015-09-01
AP-3090
Order
/alj/aljorders/2015/ap-3090.pdf
2015-08-28
Division's Brief in Opposition to Respondents' Motion to Adjourn the Trial
/litigation/apdocuments/3-16462-event-54.pdf
2015-08-21
Respondents' Motion to Adjourn the Trial
/litigation/apdocuments/3-16462-event-53.pdf
2015-09-01
Respondent's Reply in Further Support of Their Motion to Adjourn the Trial
/litigation/apdocuments/3-16462-event-55.pdf
2015-09-10
AP-3111
Order
/alj/aljorders/2015/ap-3111.pdf
2015-08-07
Division's Witness List
/litigation/apdocuments/3-16462-event-47.pdf
2015-08-18
Respondents' Witness List
/litigation/apdocuments/3-16462-event-51.pdf
2015-09-02
Unopposed Motion of Non-Party Varde Partners, Inc. for Extension of Time to Apply to Quash or Limited Subpoena Served by Respondents and Request for Expedited Consideration
/litigation/apdocuments/3-16462-event-57.pdf
2015-09-16
AP-3136
Order
/alj/aljorders/2015/ap-3136.pdf
2015-09-17
AP-3144
Order
/alj/aljorders/2015/ap-3144.pdf
2015-09-17
AP-3146
Notice
/alj/aljorders/2015/ap-3146.pdf
2015-09-18
Non-Party Natixis North America LLP's Motion On Consent for Issuance of a Protective Order, with a Draft of the Proposed Order
/litigation/apdocuments/3-16462-event-66.pdf
2016-06-02
Letter from Division to ALJ Foelak notifying her that the Court of Appeals, 2nd Circuit, vacated stay by order of 6/1/16
/litigation/apdocuments/3-16462-event-68.pdf
2016-06-03
Letter from Division to ALJ Foelak in Response to Respondent's Letter in Opposition
dated 6/3/16
/litigation/apdocuments/3-16462-event-70.pdf
2016-07-15
AP-3990
Order
/alj/aljorders/2016/ap-3990.pdf
2016-07-18
AP-3997
Order
/alj/aljorders/2016/ap-3997.pdf
2016-07-20
AP-4004
Order
/alj/aljorders/2016/ap-4004.pdf
2016-07-27
AP-4027
Order
/alj/aljorders/2016/ap-4027.pdf
2016-07-20
Respondents' Motion for Reconsideration & Adjourn or, in the Alternative, for Certification for Interlocutory Review, Memorandum of Law and Declaration of Lisa H. Rubin
/litigation/apdocuments/3-16462-event-81.pdf
2016-07-20
Respondents' Motion Requesting that Hearing Officer Ask the Chief Administrative Law Judge to Submit a Motion to the Commission Requesting An Extension of Time Period for Filing the Initial Decision and Memo of Law
/litigation/apdocuments/3-16462-event-82.pdf
2016-07-25
Respondents' Expedited Petition to Commission for (A) an Order Extending the 300-Day Rule & Setting a 12/16 Hearing Date, (B) Interlocutory Review of Hearing Officer Determinations & (C) Order Applying the SEC's Amended Rules of Practice to Proceeding
/litigation/apdocuments/3-16462-event-90.pdf
2016-07-25
Memorandum of Law in Support of Respondents' Expedited Petition to Commission for (A) Order Extend the 300-Day Rule & Setting 12/16 Hearing Date, (B) Interlocutory Review of Hearing Officer Determinations & (C) Order Applying SEC's Amended Rules of Practice
/litigation/apdocuments/3-16462-event-91.pdf
2016-07-25
Declaration of Lisa H. Rubin Support of Respondents' Expedited Petition to Commission for ((A) Order Extend the 300-Day Rule & Setting 12/16 Hearing Date, (B) Interlocutory Review of Hearing Officer Determinations & (C) Order Applying SEC's Amended Rules of Practice
/litigation/apdocuments/3-16462-event-92.pdf
2016-08-05
AP-4046
Order
/alj/aljorders/2016/ap-4046.pdf
2016-08-03
Reply Memorandum of Law in Further Support of Respondents' Expedited Petition to the Commission
/litigation/apdocuments/3-16462-event-105.pdf
2016-08-24
IA-4495
IC-32236
AAER-3796
Order Denying Petition for Interlocutory Review and Petition to Apply the Commission's Amended Rules of Practice
/litigation/opinions/2016/ia-4495.pdf
2016-08-18
Letter Dated 8/18/16 From Respondents' Counsel to Chair White, Commissioner Stein, and Commissioner Piwowar Requesting Ruling on Expedited Petition
/litigation/apdocuments/3-16462-event-118.pdf
2016-08-30
AP-4104
Order
/alj/aljorders/2016/ap-4104.pdf
2016-09-01
AP-4116
Order
/alj/aljorders/2016/ap-4116.pdf
2016-09-01
AP-4118
Order
/alj/aljorders/2016/ap-4118.pdf
2016-09-02
AP-4124
Order
/alj/aljorders/2016/ap-4124.pdf
2016-09-08
AP-4137
Order
/alj/aljorders/2016/ap-4137.pdf
2016-09-01
Respondents' Motion to Compel the Production of Brady Materials
/litigation/apdocuments/3-16462-event-155.pdf
2016-09-01
Respondents' Memorandum of Law in Support of Motion to Compel the Production of Brady Materials
/litigation/apdocuments/3-16462-event-156.pdf
2016-09-01
Declaration of Mary Kay Dunning in Support of Respondents' Motion to Compel the Production of Brady Materials
/litigation/apdocuments/3-16462-event-157.pdf
2016-09-01
Respondents' Reply in Further Support of their Motion to Compel the Produdction of Witness Statements Under The Jencks Act
/litigation/apdocuments/3-16462-event-168.pdf
2016-09-02
Respondents' Motion In Limine To Exclude Transcripts of Investigative Testimony
/litigation/apdocuments/3-16462-event-169.pdf
2016-09-02
Reply In Support Of Respondents' Motion For Limited Modification of May 7, 2015 Order
/litigation/apdocuments/3-16462-event-170.pdf
2016-09-02
Reply Memorandum of Law in Further Support of Respondents' Motion in Limine to Preclude Testimony and Evidence Regarding the Subjective States of Mind of Zohar Fund Investors
/litigation/apdocuments/3-16462-event-171.pdf
2016-09-14
AP-4153
Order
/alj/aljorders/2016/ap-4153.pdf
2016-09-16
AP-4157
Order
/alj/aljorders/2016/ap-4157.pdf
2016-09-16
AP-4159
Order
/alj/aljorders/2016/ap-4159.pdf
2016-09-16
AP-4161
Order
/alj/aljorders/2016/ap-4161.pdf
2016-09-16
AP-4162
Order
/alj/aljorders/2016/ap-4162.pdf
2016-08-23
Motion for Limited Modification of May 7, 2015 Order, with Memorandum of Law
/litigation/apdocuments/3-16462-event-129.pdf
2016-08-23
Respondents' Motion in Limine to Preclude Testimony and Evidence Regarding the Subjective States of Mind of Zohar Fund Investors, with Memorandum of Law
/litigation/apdocuments/3-16462-event-130.pdf
2016-08-23
Motion to Compel the Production of Witness Statements Under the Jencks Act
/litigation/apdocuments/3-16462-event-131.pdf
2016-08-29
Respondents' Motion in Limine to Strike Entirety of Report of Division's Expert Mayer And To Preclude Testimony
/litigation/apdocuments/3-16462-event-143.pdf
2016-08-29
Respondents' Motion in Limine to Strike Entirety of Rebuttal Report of Division's Expert Wagner, Portions of Wagner's Opening Report, And To Preclude Testimony on Stricken Matters And Related Topics
/litigation/apdocuments/3-16462-event-144.pdf
2016-08-29
Respondents' Memorandum of Law in Support of Motions in Limine to Strike parts or all of Division's Expert Reports and to Preclude Testimony on the Stricken Subjects
/litigation/apdocuments/3-16462-event-145.pdf
2016-08-29
Respondents' Motion In Limine to Preclude Evidence Concerning Recklessness and Negligence and to Require the Division to Prove Intentional Misconduct
/litigation/apdocuments/3-16462-event-146.pdf
2016-08-29
Respondents' Memorandum of Law in Support of Motion In Limine to Preclude Evidence Concerning Recklessness and Negligence and to Require the Division to Prove Intentional Misconduct
/litigation/apdocuments/3-16462-event-147.pdf
2016-08-29
Division's Opposition to Respondents' Motion to Compel the Production of Witness Statements under the Jencks Act
/litigation/apdocuments/3-16462-event-149.pdf
2016-08-29
Division's Opposition to Respondents' Motion for Limited Modification of May 7, 2015 Order
/litigation/apdocuments/3-16462-event-150.pdf
2016-08-29
Division's Opposition to Respondents' Motion in Limine to Preclude Testimony and Evidence Regarding the Subjection States of Mind of Zahar Fund Investors
/litigation/apdocuments/3-16462-event-151.pdf
2016-09-01
Respondents' Motion in Limine to Exclude the Expert Testimony of Steven L. Henning
/litigation/apdocuments/3-16462-event-158.pdf
2016-09-01
Respondents' Memorandum of Law in Support of Motion in Limine to Exclude the Expert Testimony of Steven Henning
/litigation/apdocuments/3-16462-event-159.pdf
2016-09-01
Declaration of Akiva Shapiro in Support of Respondents' Motion in Limine to Exclude the Expert Testimony of Steven Henning
/litigation/apdocuments/3-16462-event-160.pdf
2016-09-01
Respondents' Motion in Limine to Preclude the Division of Enforcement from Seeking Disgorgement
/litigation/apdocuments/3-16462-event-162.pdf
2016-09-01
Respondents' Memorandum of Law in Support of Motions in Limine to Exclude the Expert Testimony of Michael G. Mayer and Ira Wagner, and to Preclude the Division of Enforcement from Seeking Disgorgement
/litigation/apdocuments/3-16462-event-164.pdf
2016-09-02
Division's Opposition to Respondents' Motion in Limine to Preclude Evidence concerning Recklessness and Negligence and to Require the Division to Prove Intentional Misconduct
/litigation/apdocuments/3-16462-event-174.pdf
2016-09-06
Respondents' Motion in Limine to Exclude the Zohar COO 2003-1, LLC, et al. v. Patriarch Partners, LLC, et al., Case No. 12247-VCS (DEL. CH. Aug. 9 and 10, 2016) Trial Transcripts Marked Division Exhibits 207 and 208
/litigation/apdocuments/3-16462-event-175.pdf
2016-09-06
Respondents' Memo in Support of Motion in Limine to Exclude the Zahar COO 2003-1, LLC, et al. v. Patriarch Partners, LLC, et al., Case No. 12247-VCS (DEL. CH. Aug. 9 and 10, 2016) Trial Transcripts Marked Division Exhibits 207 and 208
/litigation/apdocuments/3-16462-event-176.pdf
2016-09-08
Reply Memorandum of Law in Further Support of Respondents' motion in Limine to Preclude Evidence Concerning Recklessness and Negligence and to Require Division to Prove Intentional Misconduct
/litigation/apdocuments/3-16462-event-180.pdf
2016-09-08
Division's Opposition to Respondents' Motion to Compel the Production of Brady Materials
/litigation/apdocuments/3-16462-event-181.pdf
2016-09-09
Division's Opposition to Respondent's Motion in Limine to Exclude Transcripts of Investigative Testimony Including Division Exhibits 194-206
/litigation/apdocuments/3-16462-event-182.pdf
2016-09-12
Division's Opposition to Respondents' Motion in Limine to Exclude the Zahar COO 2003-1 LLC, et al. v. Patriarch Partners LLC, et al. Case No. 12247-VCS (Del. Ch. Aug. 9 and 10, 2016) Trial Transcripts Marked Division Exhibits 207 and 208
/litigation/apdocuments/3-16462-event-185.pdf
2016-09-13
Respondents' Motion in Limine to Exclude Division Exhibits 71-73
/litigation/apdocuments/3-16462-event-186.pdf
2016-09-13
Respondents' Memorandum of Law in Support of Motion in Limine to Exclude Division Exhibits 71-73
/litigation/apdocuments/3-16462-event-187.pdf
2016-09-13
Respondents' Motion in Limine to Preclude the Introduction of Division Exhibits 118-123
/litigation/apdocuments/3-16462-event-188.pdf
2016-09-13
Respondents' Memorandum of Law in Support of Motion in Limine to Preclude Division Exhibits 118-123
/litigation/apdocuments/3-16462-event-189.pdf
2016-09-13
Respondents' Motion in Limine to Preclude the Division from Introducing into Evidence Exhibits or Portions of Exhibits Containing Unreliable Hearsay, Including but Not Limited to Exhibits 129, 140, 142, 174, 184 and 190.
/litigation/apdocuments/3-16462-event-190.pdf
2016-09-13
Memorandum of Law in Support of Resps' Motion in Limine to Preclude the Division from Introducing into Evidence Exhibits or Portions of Exhibits Containing Unreliable Hearsay, Including but Not Limited to Exhibits 129, 140, 142, 174, 184 and 190
/litigation/apdocuments/3-16462-event-191.pdf
2016-09-13
Respondents' Motion in Limine to Preclude the Admission of Any Portions of Investigative Testimony Transcripts without Introduction of Corresponding Portions of Audio Recordings, and to Exclude Transcripts for which Audio not Preserved and Produced
/litigation/apdocuments/3-16462-event-192.pdf
2016-09-13
Respondents' Memorandum of Law in Support of Motion in Limine to Preclude the Admission of Any Portions of Investigative Testimony Transcripts w/out Introduction of Corresponding Portions of Audio Recordings, and to Exclude Transcript for which Audio not Preserved and Produced
/litigation/apdocuments/3-16462-event-193.pdf
2016-09-13
Declaration of Mary Kay Dunning in Support of Respondents' Motion in Limine to Preclude Admission of Any Portions of lnvestigative Testimony Transccript without Intro of Corresponding Portions of Audio Recordings, and to Exclude Transcript for which Audio not Preserved and Produced with Exhibit 1
/litigation/apdocuments/3-16462-event-194.pdf
2016-09-13
Divison's Opposition to Respondents' Motion in Limine to Strike as Inadmissible, In Whole or In Part, Certain Lay Opinion Testimony
/litigation/apdocuments/3-16462-event-195.pdf
2016-09-14
Respondents' Reply in Further Support of their Motion to Compel the Production of Brady Materials
/litigation/apdocuments/3-16462-event-196.pdf
2016-09-15
Memorandum of Law in Further Support of Respondents' Motion in Limine to Exclude Transcripts of Investigative Testimony, Including Division Exhibits 194 thorugh 206
/litigation/apdocuments/3-16462-event-197.pdf
2016-07-29
Division's Opposition to Respondents' Expedited Petition to the Commission
/litigation/apdocuments/3-16462-event-100.pdf
2016-08-03
Office of Litigation and Administrative Practice's Opposition to Respondents' Requests for the Issuance of Subpoenas to Produce Documents
/litigation/apdocuments/3-16462-event-103.pdf
2016-09-15
Memorandum of Law in Further Support of Motion in Limine to Exclude The Zohair CDO 2003-1, LLC, et al., V. Patriarch Partners, LLC, et al., Case No. 12247-VCS (Del. Ch. Aug 9 and 10, 2016) Trial Transcript marked Division Exhibits 207 and 208
/litigation/apdocuments/3-16462-event-198.pdf
2016-09-16
Respondents' Reply Memorandum of Law in Further Support of Motion in Limine to Strike as Inadmissible, in Whole or in Part, Certain Lay Opinion Testimony
/litigation/apdocuments/3-16462-event-199.pdf
2016-09-19
Division's Opposition to Respondents' Motion in Limine to Precl ude Div from Introducing into Evidence Exhibits or Portions of Exhibits Containing Unreliable Hearsay, Including (but not limited to) Exhibits 129, 140, 142, 174, 184, and 190
/litigation/apdocuments/3-16462-event-204.pdf
2016-09-19
Division's Opposition to Respondents' Motion in Limine to Exclude Division Exhibits 71 Through 73
/litigation/apdocuments/3-16462-event-205.pdf
2016-09-19
Division's Opposition to Respondents' Motion in Limine to Preclude Introduction of Division Exhibits 118-123
/litigation/apdocuments/3-16462-event-206.pdf
2016-09-19
Division's Opposition to Respondents' Motion in Limine to Preclude Admission of Portions of lnvestigative Testimony Transcript Without lntroduction of Corresponding Portions of Audio Recordings of the Testimony, and to Exclude Transcript for which no Recordings Produced, w/ Exhibits 1-3
/litigation/apdocuments/3-16462-event-207.pdf
2016-09-23
Respondents' Reply Memorandum in Further Support of Motion in Limine to Preclude the Introduction of Division Exhibits 118-123
/litigation/apdocuments/3-16462-event-210.pdf
2016-09-23
Respondents' Reply Memorandum in Further Support of Motion in Limine to Exclude Division Exhibits 71 through 73
/litigation/apdocuments/3-16462-event-211.pdf
2016-09-23
Respondents' Reply Memorandum in Further Support of Motion in Limine to Preclude the Division from Introducing into Evidence Exhibits or Portions of Exhibits Containing Unreliable Hearsay Including but not Limited to Exhibits 129, 140, 142, 174, 184, and 190
/litigation/apdocuments/3-16462-event-212.pdf
2016-09-23
Respondents' Reply Memorandum in Further Support of Motion in Limine to Preclude Admission of any Portions of Investigative Testimony Transcripts w/out Introduction of Audio Recordings of the Testimony for which Audio Recordings not Preserved and Produced
/litigation/apdocuments/3-16462-event-213.pdf
2016-10-04
Letter of 10/3/16 from Respondents to Division counsel, with attachments
/litigation/apdocuments/3-16462-event-219.pdf
2016-09-28
Declaration of Dugan Bliss Regarding the Division of Enforcement's Search for Material Exculpatory Evidence
/litigation/apdocuments/3-16462-event-215.pdf
2016-10-12
AP-4245
Order
/alj/aljorders/2016/ap-4245.pdf
2016-10-06
Respondents' Motion to Compel Disclosure of Identities of the Authors of Division's Handwritten Notes
/litigation/apdocuments/3-16462-event-222.pdf
2016-10-06
Respondents' Memorandum of Law in Support of Motion to Compel Disclosure of Identities of the Authors of Division's Handwritten Notes
/litigation/apdocuments/3-16462-event-223.pdf
2016-10-06
Declaration of Monica Losemen in Support of Respondents' Motion to Compel Disclosure of Identities of the Authors of Division's Handwritten Notes
/litigation/apdocuments/3-16462-event-224.pdf
2016-10-06
Respondents' Motion to Compel MBIA to Produce Documents Responsive to the Subpoenas
/litigation/apdocuments/3-16462-event-225.pdf
2016-10-06
Respondents' Memorandum of Law in Support of Motion to Compel MBIA to Produce Documents Responsive to the Subpoenas
/litigation/apdocuments/3-16462-event-226.pdf
2016-10-14
AP-4258
Order
/alj/aljorders/2016/ap-4258.pdf
2016-10-18
AP-4271
Order
/alj/aljorders/2016/ap-4271.pdf
2016-10-18
AP-4274
Order
/alj/aljorders/2016/ap-4274.pdf
2016-10-19
AP-4280
Order
/alj/aljorders/2016/ap-4280.pdf
2016-10-06
Declaration of Lisa H. Rubin in Support of Respondents' Motion to Compel MBIA to Produce Documents Responsive to the Subpoenas
/litigation/apdocuments/3-16462-event-227.pdf
2016-10-12
Respondents' Motion to Preclude the Division's Witness, Matthew Mach, from Testifying and for Expedited Briefing
/litigation/apdocuments/3-16462-event-232.pdf
2016-10-12
Memorandum of Law in Support of Respondents' Motion to Preclude the Division's Witness, Matthew Mach, from Testifying and for Expedited Briefing
/litigation/apdocuments/3-16462-event-233.pdf
2016-10-12
Declaration of Mary Beth Maloney in Support of Resps' Motion to Preclude the Division's Witness, Matthew Mach, from Testifying and for Expedited Briefing
/litigation/apdocuments/3-16462-event-234.pdf
2016-10-12
Division's Motion to Partially Strike Respondents' Statements of Messrs. Lundelius, Vinella and Schwarcz
/litigation/apdocuments/3-16462-event-235.pdf
2016-10-12
Division's Motion to Strike Respondents' Further Amended Witness List and Requests for Hearing Subpoenas to Previously Undisclosed Witnesses
/litigation/apdocuments/3-16462-event-236.pdf
2016-10-21
AP-4293
Order
/alj/aljorders/2016/ap-4293.pdf
2016-10-21
AP-4296
Order
/alj/aljorders/2016/ap-4296.pdf
2016-10-13
Respondents' Motion to Compel the Produciton of Brady Material and Jencks Act Witness Statements
/litigation/apdocuments/3-16462-event-238.pdf
2016-10-13
Memorandum of Law in Support of Respondents' Motion to Compel the Production of Brady Material and Jencks Act Witness Statements
/litigation/apdocuments/3-16462-event-239.pdf
2016-10-13
Declaration of Monica Loseman in Support of Respondents' Motion to Compel the Produciton of Brady Material and Jencks Act Witness Statements
/litigation/apdocuments/3-16462-event-240.pdf
2016-10-13
Division's Response to Respondents' Motion to Compel Disclosure of the Identities of the Authors of the Division's Handwritten Notes
/litigation/apdocuments/3-16462-event-242.pdf
2016-10-13
Division's Response to Respondents' Motion to Compel MBIA to Produce Documents
/litigation/apdocuments/3-16462-event-243.pdf
2016-10-17
Respondents' Pre-Hearing Memorandum
/litigation/apdocuments/3-16462-event-251.pdf
2016-10-17
Division's Pre-Hearing Brief
/litigation/apdocuments/3-16462-event-252.pdf
2016-10-18
Respondents' Motion for Leave to File a Motion to Compel Barclays to Produce a Document Responsive to a Court-Ordered Subpoena and for Expedited Briefing
/litigation/apdocuments/3-16462-event-264.pdf
2016-10-18
Respondents' Motion to Compel Barclays to Produce a Document Responsive to a Court-Ordered Subpoena and for Expedited Briefing
/litigation/apdocuments/3-16462-event-265.pdf
2016-10-18
Memorandum of Law in Support of Respondents' Motion for Leave to File a Motion to Compel Barclays to Produce a Document Responsive to a Court-Ordered Subpoena and for Expedited Briefing
/litigation/apdocuments/3-16462-event-266.pdf
2016-10-18
Declaration of Susan Brune in Support of Respondents' Motion for Leave to File a Motion to Compel Barclays to Produce a Document Responsive to a Court-Ordered Subpoena and for Expedited Briefing
/litigation/apdocuments/3-16462-event-267.pdf
2016-10-18
Respondents' Motion in Limine to Partially Strike and Preclude
/litigation/apdocuments/3-16462-event-269.pdf
2016-10-17
Respondents' Motion to Stay Proceedings & Compel Division to Make Further Disclosures regarding Two Division Witnesses and for Expedited Briefing & Evidentiary Hearing
/litigation/apdocuments/3-16462-event-247.pdf
2016-10-17
Respondents' Motion for Confidential Treatment of Declaration of Susan Brune in Support of Respondents' Motion to Stay Proceedings & Compel Division to Make Further Disclosures Regarding Two Division Witnesses, for Expedited Briefing, and an Evidentiary Hearing
/litigation/apdocuments/3-16462-event-248.pdf
2016-10-17
Memorandum of Law in Support of Respondents' Motion to Stay Proceedings and Compel Division to Make Further Disclosures regarding Two Division Witnesses and for Expedited Briefing and Evidentiary Hearing
/litigation/apdocuments/3-16462-event-249.pdf
2016-10-18
Respondents' Motion for Leave to File a Motion for a Protective Order
/litigation/apdocuments/3-16462-event-253.pdf
2016-10-18
Respondents' Motion for a Protective Order
/litigation/apdocuments/3-16462-event-254.pdf
2016-10-18
Memorandum of Law in Support of Respondents' Motion for a Protective Order
/litigation/apdocuments/3-16462-event-255.pdf
2016-10-18
Respondents' Motion for Leave to File a Motion to Compel the Office of Litigation and Administrative Practice to Produce Documents Responsive to Respondents' Subpoenas
/litigation/apdocuments/3-16462-event-257.pdf
2016-10-18
Respondents' Motion to Compel the Office of Litigation and Administrative Practice to Produce Documents Responsive to Respondents' Subpoenas
/litigation/apdocuments/3-16462-event-258.pdf
2016-10-18
Memorandum of Law in Support of Respondents' Motion to Compel the Office of Litigation and Administrative Practice to Produce Documents Responsive to Respondents' Subpoenas
/litigation/apdocuments/3-16462-event-259.pdf
2016-10-18
Declaration of Mary Beth Maloney in Support of Respondents' Motion to Compel the Office of Litigation and Administrative Practice to Produce Documents Responsive to Respondents' Subpoenas
/litigation/apdocuments/3-16462-event-260.pdf
2016-10-18
Division's Opposition to Respondents' Motion to Compel the Production of Brady Material and Jencks Act Witness Statements
/litigation/apdocuments/3-16462-event-268.pdf
2016-10-18
Division's Response to Respondents' Motion to Preclude Division's Witness, Matthew Mach, from Testifying
/litigation/apdocuments/3-16462-event-273.pdf
2016-10-18
Respondents' Reply Memorandum in Further Support of Respondents' Motion to Compel MBIA to Produce Documents Responsive to Respondents' Subpoena
/litigation/apdocuments/3-16462-event-274.pdf
2016-10-18
Division's Motion for Confidential Treatment of Opposition to Respondents' Motion to Stay Proceedings and Compel Division to Make Further Disclosures Regarding Two Division Witnesses
/litigation/apdocuments/3-16462-event-278.pdf
2016-10-18
Respondents' Opposition to Division's Motion to Partially Strike Respondents' Statements of Messrs. Lundelius, Vinella, and Schwarcz
/litigation/apdocuments/3-16462-event-261.pdf
2016-10-18
Declaration of Goutam U. Jois in Support of Respondents' Opposition to Division's Motion to Partially Strike Respondents' Statements of Messrs. Lundelius, Vinella, and Schwarcz, with Ex. A-D.
/litigation/apdocuments/3-16462-event-262.pdf
2016-10-18
Memorandum of Law in Support of Respondents' Motion in Limine to Partially Strike and Preclude
/litigation/apdocuments/3-16462-event-270.pdf
2016-10-18
Declaration of Gautam U. Jois in Support of Respondents' Motion in Limine to Partially Strike and Preclude, with Ex. A-B.
/litigation/apdocuments/3-16462-event-271.pdf
2016-10-18
Respondents' Memorandum of Law in Opposition to the Division's Motion to Strike Respondents' Further Amended Witness List and Requests for Hearing Subpoenas to Previously Undisclosed Witnesses, with Ex. 1-4.
/litigation/apdocuments/3-16462-event-275.pdf
2016-10-20
Letter dated 10/20/16 to ALJ Foelak from Counsel for Non-Party MBIA regarding service of Respondent's Motion to Compel MBIA to Produce Documents Responsive to Subpoenas
/litigation/apdocuments/3-16462-event-281.pdf
2016-10-21
Letter dated 10/21/16 from Resps' counsel to ALJ regarding Subpoenas to three Division employees (A Lee, N. Kelly, and B. Mitchell)
/litigation/apdocuments/3-16462-event-282.pdf
2016-10-31
AP-4313
Protective Order
/alj/aljorders/2016/ap-4313.pdf
2016-10-31
AP-4314
Order
/alj/aljorders/2016/ap-4314.pdf
2016-10-30
Letter dated 10/30/16 from Division to ALJ and Respondents regarding witness Peter Berlant
/litigation/apdocuments/3-16462-event-295.pdf
2016-10-31
Non-Party MBIA Insurance Corp's Memorandum of Law in Opposition to Respondents' Motion to Compel MBIA to Produce Documents Responsive to Respondents' Subpoena
/litigation/apdocuments/3-16462-event-297.pdf
2016-10-31
Declaration of Jonathan M. Hoff in Support of Non-Party MBIA Insurance Corp's Opposition to Respondents' Motion to Compel MBIA to Produce Documents Responsive to Respondents' Subpoena
/litigation/apdocuments/3-16462-event-298.pdf
2016-10-31
Letter dated 10/31/16 from Respondents to ALJ regarding alleged Brady violation involving witness Peter Berlant.
/litigation/apdocuments/3-16462-event-301.pdf
2016-10-31
Respondents' Redacted Reply Memorandum of Law in Support of Motion to Compel MBIA to Produce Documents Responsive to Respondents' Subpoenas
/litigation/apdocuments/3-16462-event-302.pdf
2016-11-09
AP-4338
Order
/alj/aljorders/2016/ap-4338.pdf
2016-11-03
Division's Response to Respondents' Request for Issuance of a Subpoena Duces Tecum Directed at Anchin, Block & Anchin
/litigation/apdocuments/3-16462-event-309.pdf
2016-11-07
Letter dated 11/4/16 (with Exhibits A-B) from Respondents to Administrative Law Judge requesting Administrative Law Judge to order Division to produce documents listed on its Amended Privilege Log
/litigation/apdocuments/3-16462-event-313.pdf
2016-11-03
Declaration of Richard M. Humes
/litigation/apdocuments/3-16462-event-312-a.pdf
2016-11-03
Declaration of Brent S. Mitchell
/litigation/apdocuments/3-16462-event-313-a.pdf
2016-08-05
Non-Party Varde Partners, lnc.'s Memorandum in Support of its Motion to Quash
Subpoena served by Respondents
/litigation/apdocuments/3-16462-event-108.pdf
2016-08-12
Respondents' Memorandum of Law in Opposition to the Motion of Non-Party Varde
Partners, Inc., to Quash the Subpoena Service by Respondents
/litigation/apdocuments/3-16462-event-114.pdf
2016-08-22
Non-Party Varde Partners, Inc. 's Reply to Respondents' Opposition to Motion to
Quash Subpoena
/litigation/apdocuments/3-16462-event-124.pdf
2016-12-16
Respondent's Post-Hearing Brief
/litigation/apdocuments/3-16462-event-336.pdf
2016-12-16
Division's Post-Hearing Brief
/litigation/apdocuments/3-16462-event-338.pdf
2016-12-16
Division's Proposed Findings of Fact and Conclusions of Law
/litigation/apdocuments/3-16462-event-339.pdf
2016-12-19
Respondent's Proposed Conclusions of Law
/litigation/apdocuments/3-16462-event-340.pdf
2017-01-13
Respondents' Post-Hearing Opposition Brief
/litigation/apdocuments/3-16462-event-341.pdf
2017-01-13
Division's Response in Opposition to Resps' Post-Hearing Brief
/litigation/apdocuments/3-16462-event-342.pdf
2017-01-18
Division's Request for Official notice of Complaint Filed by the Zahar Funds Against Respondents
/litigation/apdocuments/3-16462-event-343.pdf
2017-01-23
Respondents' Opposition to Division's Request for Official notice of Complaint filed by the Zahar Funds against Respondents or in the Alternative, Respondents' Motion to Strike Improperly Noticed Allegations
/litigation/apdocuments/3-16462-event-344.pdf
2017-02-23
Respondents' Motion to Stay Proceedings Pending Resolution of their Constitutionality, or, in the Alternative, for Permission to Seek a Stay from the Commission
/litigation/apdocuments/3-16462-event-342-b.pdf
2017-02-23
Respondents' Memorandum of Law in Support of Motion to Stay Proceedings Pending
Resolution of their Constitutionality, or, in the Alternative, for Permission to Seek a
Stay from the Commission
/litigation/apdocuments/3-16462-event-343-b.pdf
2017-03-01
Division's Opposition to Resps' Motion to Stay these Proceedings Pending Resolution
of their Constitutionality, or, in the Alternative, for Permission to Seek a Stay from
Commission
/litigation/apdocuments/3-16462-event-341b.pdf
2017-03-10
AP-4672
Order
/alj/aljorders/2017/ap-4672.pdf
2017-06-05
Petition For Interlocutory Review of the Hearing Officer's Denial of a Stay of This Proceeding, And For a Stay; Respondents' Memorandum of Law in Support; and Declaration of Akiva Shapiro In Support; with Exs. 1-5
/litigation/apdocuments/3-16462-event-346.pdf
2017-06-08
Letter dated 10/24/16 from Division to Respondents enclosing revised rebuttal report of Ira
Wagner 8/31/2015.
/litigation/apdocuments/3-16462-event-349.pdf
2017-06-12
Letter dated 06/09/17 to ALJ from Division notifying the Court of supplemental authority in light of the US Supreme Court's decision in Kokesh v. SEC, No. 16-529
/litigation/apdocuments/3-16462-event-350.pdf
2017-06-28
Letter dated 6/27 /17 from Resps to Commissioners with supplemental authority for stay of proceedings, Ex. 1-3.
/litigation/apdocuments/3-16462-event-350b.pdf
2017-07-28
IA-4735
IC-32765
Order Denying Motion to Stay Administrative Proceeding
/litigation/opinions/2017/ia-4735.pdf
2017-09-26
AP-5096
Order
/alj/aljorders/2017/ap-5096.pdf
2016-07-18
Letter Dated 7 /18/16 from Respondents to ALJ in Response to ALJ Order Rejecting Parties’ Joint Request for December 2016 Trial Date
/litigation/apdocuments/3-16462-event-73.pdf
2016-10-27
Letter Dated 10/27 /16 from Respondents to ALJ Stating Their Position in Requiring Varde Partners to Produce Documents
/litigation/apdocuments/3-16462-event-290.pdf
2016-10-28
Letter Dated 10/28/16 from Respondents to ALJ Notifying Her that MBIA has Failed to Produce Documents Responsive to the 5/27/15 Subpoena
/litigation/apdocuments/3-16462-event-293.pdf
2017-09-22
Respondents' Unopposed Motion to Correct Record Index
/litigation/apdocuments/3-16462-event-360.pdf
2017-09-27
ID-1182
Initial Decision
/alj/aljdec/2017/id1182cff.pdf
2017-11-28
IA-4815
IC-32926
Notice That Initial Decision Has Become Final
/alj/aljdec/2017/ia-4815.pdf