Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 8A of the Securities Act of 1933, Section 21C of the Securities Exchange Act of 1934, and Section 9(b) of the Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order and Notice of Hearing

2016-11-14 3-16498 Schalk, Russell C., Jr. /litigation/apdocuments/ap-3-16498.xml 2015-04-17 33-9751 34-74753 IC-31555 Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 8A of the Securities Act of 1933, Section 21C of the Securities Exchange Act of 1934, and Section 9(b) of the Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order and Notice of Hearing /litigation/admin/2015/33-9751.pdf 2015-04-20 AP-2561 Order Scheduling Hearing and Designating Presiding Judge /alj/aljorders/2015/ap-2561.pdf 2015-05-07 AP-2645 Order Postponing Hearing and Scheduling Prehearing Conference /alj/aljorders/2015/ap-2645.pdf 2015-06-09 AP-2785 Order Following Prehearing Conference /alj/aljorders/2015/ap-2785.pdf 2015-06-16 AP-2820 Scheduling Order /alj/aljorders/2015/ap-2820.pdf 2015-06-23 AP-2849 Order Scheduling Prehearing Conference /alj/aljorders/2015/ap-2849.pdf 2015-06-25 AP-2868 Order Rescheduling Prehearing Conference /alj/aljorders/2015/ap-2868.pdf 2015-07-08 AP-2907 Order Following Prehearing Conference /alj/aljorders/2015/ap-2907.pdf 2015-08-17 AP-3045 Protective Order /alj/aljorders/2015/ap-3045.pdf 2015-09-15 AP-3132 Extension Order /alj/aljorders/2015/ap-3132.pdf 2015-11-02 AP-3282 Order /alj/aljorders/2015/ap-3282.pdf 2015-11-16 AP-3321 Order Scheduling Prehearing Conference /alj/aljorders/2015/ap-3321.pdf 2015-11-19 AP-3332 Order Rescheduling Prehearing Conference /alj/aljorders/2015/ap-3332.pdf 2015-12-01 AP-3359 Order Rescheduling Prehearing Conference /alj/aljorders/2015/ap-3359.pdf 2016-02-10 ID-958 Initial Decision /alj/aljdec/2016/id958jeg.pdf 2016-03-09 Respondent's Petition for Review of Initial Decision /litigation/apdocuments/3-16498-event-28.pdf 2016-04-19 33-10069 34-77654 IC-32080 Order Granting Petition for Review and Scheduling Briefs /litigation/opinions/2016/33-10069.pdf 2016-05-18 Respondent's Brief in Support of Petition for Review /litigation/apdocuments/3-16498-event-31.pdf 2016-07-07 33-10109 34-78253 IC-32173 Order Requesting Additional Briefs /litigation/opinions/2016/33-10109.pdf 2016-07-14 Respondent's Motion to Correct a Manifest Error of Fact /litigation/apdocuments/3-16498-event-36.pdf 2016-09-21 33-10219 34-78898 IC-32279 Russell C. Schalk, Jr. /litigation/opinions/2016/33-10219.pdf 2015-11-09 Letter of 11/6/15 to ALJ regarding Division's requests an order requiring Respondent to pay disgorgement, prejudgment Interest, and a thrid-tier penalty in the amounts agreed upon by the parties and ordered by the Commission /litigation/apdocuments/3-16498-event-21.pdf