2018-04-25
3-16463
Aegis Capital, LLC
Circle One Wealth Management, LLC
Lamm, Diane W.
Strategic Consulting Advisors, LLC
Osunkwo, David I.
/litigation/apdocuments/ap-3-16463.xml
2015-03-30
34-74608
IA-4054
IC-31541
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 15(b)(6) of the Securities Exchange Act of 1934, 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
/litigation/admin/2015/34-74608.pdf
2015-04-06
AP-2495
Order Scheduling Hearing and Designating Presiding Judge
/alj/aljorders/2015/ap-2495.pdf
2015-04-07
AP-2512
Order Postponing Hearing and Scheduling Prehearing Conference
/alj/aljorders/2015/ap-2512.pdf
2015-04-22
AP-2571
Order Rescheduling Prehearing Conference
/alj/aljorders/2015/ap-2571.pdf
2015-05-18
AP-2684
Order to Show Cause as to Aegis Capital, LLC, and Circle One Wealth Management, LLC
/alj/aljorders/2015/ap-2684.pdf
2015-05-21
AP-2704
Order Setting Prehearing Schedule and General Prehearing Rules
/alj/aljorders/2015/ap-2704.pdf
2015-05-27
AP-2732
Order On Motion for More Definite Statement
/alj/aljorders/2015/ap-2732.pdf
2015-05-12
Answer of Respondents Strategic Consulting Advisors, LLC and David I. Osunkwo
/litigation/apdocuments/3-16463-event-6.pdf
2015-05-13
Motion for a Motion Definite Statement
/litigation/apdocuments/3-16463-event-9.pdf
2015-05-18
Division's Response to Motion for More Definite Statement
/litigation/apdocuments/3-16463-event-11.pdf
2015-06-04
AP-2770
Order Regarding Briefing On Motion to Stay Proceeding
/alj/aljorders/2015/ap-2770.pdf
2015-05-19
United States Attorney's Application to Intervene and Motion to Stay This Administrative Proceeding
/litigation/apdocuments/3-16463-event-13.pdf
2015-05-19
United States Attorney's Memorandum of Law in Support of Motion to Stay This Administrative Proceeding
/litigation/apdocuments/3-16463-event-14.pdf
2015-05-19
Respondents Strategic Consulting Advisors, LLC and David I. Osunkwo's Opposition to United States Attorney's Application to Intervene and Motion to St a Y This Administrative Proceeding
/litigation/apdocuments/3-16463-event-17.pdf
2015-05-19
Declaration of Respondent David I. Osunkwo in Opposition to United States Attorney's Application to Intervene and Motion to Stay This Administrative Proceeding
/litigation/apdocuments/3-16463-event-18.pdf
2015-06-10
AP-2794
Order On Stay Motion
/alj/aljorders/2015/ap-2794.pdf
2015-05-13
AP-2671
Order Following Prehearing Conference
/alj/aljorders/2015/ap-2671.pdf
2015-06-05
United States Attorney's Reply to Respondents Strategic Consulting Advisors, LLC and Osunkwo's Opposition to the United States Attorney's Application to Intervene and Motion to Stay
/litigation/apdocuments/3-16463-event-23.pdf
2015-06-05
Division's Reply to Respondents' Opposition to Motion to Stay
/litigation/apdocuments/3-16463-event-24.pdf
2015-06-11
Respondents Strategic Consulting Advisors, LLC and David I. Osunkwo's Opposition to the Division of Enforcement's Reply to the Motion to Stay
/litigation/apdocuments/3-16463-event-26.pdf
2015-09-08
AP-3103
Order Extending Stay
/alj/aljorders/2015/ap-3103.pdf
2015-05-28
Answer and Affirmative Defenses of Diane W. Lamn
/litigation/apdocuments/3-16463-event-19.pdf
2016-01-07
AP-3474
Second Order Extending Stay
/alj/aljorders/2016/ap-3474.pdf
2016-01-21
Respondents Strategic Consulting Advisors, LLC and David I. Osunkwo's Motion to Sever
/litigation/apdocuments/3-16463-event-31.pdf
2016-02-11
34-77115
IA-4333
IC-31994
Extension Order
/litigation/admin/2016/34-77115.pdf
2016-01-27
Division's Opposition to Respondent's Strategic Consulting Advisors, LLC's and Osunkwo's Motion to Sever
/litigation/apdocuments/3-16463-event-32.pdf
2016-02-16
Reply in Further Support of Respondents Strategic Consulting Advisors, LLC and Osunkwo's Motion to Sever
/litigation/apdocuments/3-16463-event-35.pdf
2016-02-17
Corrected Reply in Further Support of Respondents Strategic Consulting Advisors LLC and David I. Osunkwo's Motion to Sever
/litigation/apdocuments/3-16463-event-37.pdf
2016-02-29
AP-3653
Order Lifting Stay
/alj/aljorders/2016/ap-3653.pdf
2016-03-02
AP-3663
Order
/alj/aljorders/2016/ap-3663.pdf
2016-03-10
AP-3692
Order Following Prehearing Conference
/alj/aljorders/2016/ap-3692.pdf
2016-04-04
AP-3759
Scheduling Order
/alj/aljorders/2016/ap-3759.pdf
2016-03-24
Division's Motion for Entry of Default and Imposition of Sanctions as to Respondents Aegis Capital, LLC and Circle One Wealth Management, LLC
/litigation/apdocuments/3-16463-event-47.pdf
2016-05-05
34-77772
IA-4382
IC-32108
Order Denying Motion to Sever
/litigation/opinions/2016/34-77772.pdf
2016-05-16
AP-3846
Order Setting Hearing Location
/alj/aljorders/2016/ap-3846.pdf
2016-06-27
AP-3947
Order Scheduling Prehearing Conference
/alj/aljorders/2016/ap-3947.pdf
2016-07-01
AP-3961
Order Denying Continuance
/alj/aljorders/2016/ap-3961.pdf
2016-07-07
AP-3971
Order On Division's Objections
/alj/aljorders/2016/ap-3971.pdf
2016-07-12
AP-3981
Stay Order as to Diane W. Lamm
/alj/aljorders/2016/ap-3981.pdf
2016-07-15
AP-3991
Order
/alj/aljorders/2016/ap-3991.pdf
2016-06-21
Notice of Filing of Expert Report by Respondents Strategic Consulting Advisors, LLC and David Osunkwo submit Expert Report & Related Exhibits of Miriam Leftkowitz
/litigation/apdocuments/3-16463-event-54.pdf
2016-06-27
Expedited Motion for Pre-Hearing Conference, Postponement and/or Extension of Time by Respondents Strategic Consulting Advisors, LLC and David Osunkwo
/litigation/apdocuments/3-16463-event-56.pdf
2016-06-28
Division's Opposition to Expedited Motion for Prehearing Conference, Postponement and/or Extension of Time by Resps Strategic Consulting Advisors, LLC and David I. Osunkwo, Declaration of W. Shawn Murnahan
/litigation/apdocuments/3-16463-event-61.pdf
2016-07-19
AP-4001
Order Regarding Transcript Corrections
/alj/aljorders/2016/ap-4001.pdf
2016-07-20
AP-4007
Stay Order as to Strategic Consulting Advisors, LLC, and David I. Osunkwo
/alj/aljorders/2016/ap-4007.pdf
2016-07-22
AP-4016
Order
/alj/aljorders/2016/ap-4016.pdf
2016-08-03
AP-4039
Order Granting Division's Motion for Leave to File Revised Default Motion Out of Time
/alj/aljorders/2016/ap-4039.pdf
2016-07-19
Respondent David Osunkwo's Pre-hearing Brief
/litigation/apdocuments/3-16463-event-83.pdf
2016-07-19
Respondent Strategic Consulting Advisors, LLC Pre-hearing Brief
/litigation/apdocuments/3-16463-event-84.pdf
2016-07-22
Letter of 7/22/16 to ALJ from Division regarding response to Court's question posed during prehear conference regarding the relief sought by the Division in its 3/24/16 Motion for Entry of Default & Imposition of Sanctions as to Aegis Capital & Circle One
/litigation/apdocuments/3-16463-event-90.pdf
2016-08-02
Division's Revised Motion for Entry of Default and Imposition of Sanctions as to Respondents Aegis Capital, LLC and Circle One Wealth Management, LLC
/litigation/apdocuments/3-16463-event-94.pdf
2016-07-20
Division's and Respondents Strategic Consulting Advisor, LLC's and David L. Osunkwo's Joint Motion to Stay Hearing as to Strategic Consulting Advisor, LLC and David I. Osunkwo Settlement
/litigation/apdocuments/3-16463-event-88.pdf
2016-09-07
ID-1053
Initial Decision of Default
/alj/aljdec/2016/id1053jeg.pdf
2016-10-28
34-79191
IA-4561
IC-32343
Notice That Initial Decision Has Become Final
/alj/aljdec/2016/34-79191.pdf
2017-08-15
34-81405
IA-4745
IC-32783
Order Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Sections 203(f) and 203(k) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940
/litigation/admin/2017/34-81405.pdf
2017-12-04
AP-5250
Notice to the Parties and Order Ratifying Stay
/alj/aljorders/2017/ap-5250.pdf
2017-12-19
Division's Motion to Commission to Dismiss Claims Against Respondent Strategic Consulting Advisors, LLC
/litigation/apdocuments/3-16463-event-107.pdf
2018-04-25
34-83106
IA-4897
IC-33086
Order Dismissing Proceedings
/litigation/opinions/2018/34-83106.pdf