2023-03-30
3-16509
Daspin, Edward M. (a/k/a "Edward (Ed) Michael")
Agostini, Luigi
Lux, Lawrence R.
/litigation/apdocuments/ap-3-16509.xml
2023-03-29
/litigation/apdocuments/3-16509-docket-2023-03-29.pdf
2015-04-23
33-9755
34-74799
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933 and Sections 15(b) and 21C of the Securities Exchange Act of 1934
/litigation/admin/2015/33-9755.pdf
2015-04-24
AP-2581
Order Scheduling Hearing and Designating Presiding Judge
/alj/aljorders/2015/ap-2581.pdf
2015-05-08
AP-2654
Postponement Order
/alj/aljorders/2015/ap-2654.pdf
2015-05-20
AP-2699
Prehearing Order
/alj/aljorders/2015/ap-2699.pdf
2015-05-26
AP-2725
Prehearing Order
/alj/aljorders/2015/ap-2725.pdf
2015-06-04
AP-2773
Prehearing Order
/alj/aljorders/2015/ap-2773.pdf
2015-06-15
AP-2810
Order
/alj/aljorders/2015/ap-2810.pdf
2015-06-15
AP-2811
Order
/alj/aljorders/2015/ap-2811.pdf
2015-06-04
Answer to the Order Instituting Administrative and Cease and Desist Proceedings of Respondent Luigi Agostini
/litigation/apdocuments/3-16509-event-17.pdf
2015-06-04
Answer to the Order Instituting Administrative And Cease and Desist Proceedings of Respondent Edward M. Daspin
/litigation/apdocuments/3-16509-event-18.pdf
2015-06-25
AP-2863
Order
/alj/aljorders/2015/ap-2863.pdf
2015-07-16
AP-2936
Order
/alj/aljorders/2015/ap-2936.pdf
2015-07-17
AP-2939
Order
/alj/aljorders/2015/ap-2939.pdf
2015-07-30
AP-2991
Stay Order as to Lawrence R. Lux
/alj/aljorders/2015/ap-2991.pdf
2015-07-31
AP-2999
Order Redesignating Presiding Judge
/alj/aljorders/2015/ap-2999.pdf
2015-08-03
AP-3003
Notice
/alj/aljorders/2015/ap-3003.pdf
2015-08-10
AP-3023
Order Scheduling Prehearing Conference
/alj/aljorders/2015/ap-3023.pdf
2015-08-11
AP-3027
Order Rescheduling Prehearing Conference
/alj/aljorders/2015/ap-3027.pdf
2015-08-14
AP-3041
Scheduling Order
/alj/aljorders/2015/ap-3041.pdf
2015-09-30
AP-3183
Order Denying Stay Request
/alj/aljorders/2015/ap-3183.pdf
2015-10-06
AP-3202
Order
/alj/aljorders/2015/ap-3202.pdf
2015-10-14
AP-3222
Order
/alj/aljorders/2015/ap-3222.pdf
2015-10-16
33-9963
34-76178
Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Section 8A of the Securities Act of 1933 and Sections 15(b) and 21C of the Securities Exchange Act of 1934 as to Lawrence R. Lux
/litigation/admin/2015/33-9963.pdf
2015-10-28
AP-3263
Order
/alj/aljorders/2015/ap-3263.pdf
2015-11-18
AP-3328
Order
/alj/aljorders/2015/ap-3328.pdf
2015-12-04
AP-3372
Order
/alj/aljorders/2015/ap-3372.pdf
2015-12-14
AP-3393
Order
/alj/aljorders/2015/ap-3393.pdf
2015-12-14
Division's Memorandum in Opposition to Respondent Daspin's Motion for Summary Disposition
/litigation/apdocuments/3-16509-event-92.pdf
2015-12-14
Ltr. Dated 12/8/15 from Respondent Daspin to ALJ Grimes Re: Supplemental Declaration in Further Support of Motion to Court.
/litigation/apdocuments/3-16509-event-90.pdf
2015-12-16
AP-3403
Order
/alj/aljorders/2015/ap-3403.pdf
2015-12-17
AP-3409
Order
/alj/aljorders/2015/ap-3409.pdf
2015-12-18
AP-3416
Order
/alj/aljorders/2015/ap-3416.pdf
2015-12-22
AP-3429
Order
/alj/aljorders/2015/ap-3429.pdf
2015-12-18
The Division's Pre-Hearing Memorandum
/litigation/apdocuments/3-16509-event-100.pdf
2016-01-05
AP-3465
Order
/alj/aljorders/2016/ap-3465.pdf
2016-01-06
AP-3470
Motion to the Commission for Extension
/alj/aljorders/2016/ap-3470.pdf
2016-01-08
AP-3481
Order Following Prehearing Conference
/alj/aljorders/2016/ap-3481.pdf
2016-01-14
AP-3508
Order Staying Proceeding as to Luigi Agostini
/alj/aljorders/2016/ap-3508.pdf
2016-01-22
AP-3532
Order Sealing Hearing and Setting Hearing Location
/alj/aljorders/2016/ap-3532.pdf
2016-01-27
AP-3539
Order Scheduling Prehearing Conference
/alj/aljorders/2016/ap-3539.pdf
2016-02-01
AP-3564
Order Following Prehearing Conference
/alj/aljorders/2016/ap-3564.pdf
2016-02-09
33-10038
34-77088
Order Denying Stay
/litigation/opinions/2016/33-10038.pdf
2016-02-09
AP-3586
Order
/alj/aljorders/2016/ap-3586.pdf
2016-02-10
AP-3594
Order
/alj/aljorders/2016/ap-3594.pdf
2016-02-10
AP-3597
Order
/alj/aljorders/2016/ap-3597.pdf
2016-02-16
AP-3606
Order to Show Cause
/alj/aljorders/2016/ap-3606.pdf
2016-02-18
33-10040
34-77177
Order Granting Extension
/litigation/opinions/2016/33-10040.pdf
2016-03-08
AP-3683
Order Finding Respondent Edward M. Daspin in Default
/alj/aljorders/2016/ap-3683.pdf
2016-03-16
AP-3713
Order Denying Motion to Set Aside Default and Setting Motion for Sanctions Schedule
/alj/aljorders/2016/ap-3713.pdf
2016-03-21
AP-3724
Order On Transcript Corrections
/alj/aljorders/2016/ap-3724.pdf
2016-04-05
AP-3764
Protective Order
/alj/aljorders/2016/ap-3764.pdf
2016-04-11
AP-3776
Order to Submit Exhibit List
/alj/aljorders/2016/ap-3776.pdf
2016-05-03
AP-3822
Order Granting Extension
/alj/aljorders/2016/ap-3822.pdf
2016-07-12
AP-3980
Order Scheduling Prehearing Conference
/alj/aljorders/2016/ap-3980.pdf
2016-07-18
AP-3996
Motion to the Commission for Extension
/alj/aljorders/2016/ap-3996.pdf
2016-07-20
AP-4005
Order Following Prehearing Conference
/alj/aljorders/2016/ap-4005.pdf
2016-08-01
AP-4031
Order On Transcript Corrections
/alj/aljorders/2016/ap-4031.pdf
2016-08-16
AP-4067
Order On Subpoena Requests
/alj/aljorders/2016/ap-4067.pdf
2016-08-22
AP-4080
Order
/alj/aljorders/2016/ap-4080.pdf
2016-08-23
AP-4084
Order On Revisions to Record Index
/alj/aljorders/2016/ap-4084.pdf
2016-08-23
ID-1051
Initial Decision of Default as to Edward M. Daspin
/alj/aljdec/2016/id1051jeg.pdf
2016-08-31
AP-4107
Order
/alj/aljorders/2016/ap-4107.pdf
2016-09-02
AP-4120
Order Scheduling Prehearing Conference
/alj/aljorders/2016/ap-4120.pdf
2016-09-08
AP-4140
Order Following Prehearing Conference
/alj/aljorders/2016/ap-4140.pdf
2016-09-12
AP-4146
Stay Order
/alj/aljorders/2016/ap-4146.pdf
2016-09-21
AP-4184
Order
/alj/aljorders/2016/ap-4184.pdf
2016-11-01
33-10243
Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Section 8A of the Securities Act of 1933 as to Luigi Agostini
/litigation/admin/2016/33-10243.pdf
2016-11-28
33-10260
34-79413
Order Granting Petition for Review and Scheduling Briefs
/litigation/opinions/2016/33-10260.pdf
2017-01-26
33-10296
34-79886
Order Denying Request to Exceed Word Limit
/litigation/opinions/2017/33-10296.pdf
2017-02-17
33-10310
34-80057
Order Denying Request for Extension of Time to File Reply Brief
/litigation/admin/2017/33-10310.pdf
2017-12-07
AP-5307
Notice to the Parties and Order Following Remand
/alj/aljorders/2017/ap-5307.pdf
2017-12-27
AP-5424
Order Granting in Part Motion for Extension
/alj/aljorders/2017/ap-5424.pdf
2018-01-22
AP-5508
Order Regarding Respondent's Unauthorized Filings
/alj/aljorders/2018/ap-5508.pdf
2018-02-15
AP-5607
Order Extending Deadline for Decision On Ratification
/alj/aljorders/2018/ap-5607.pdf
2018-02-28
AP-5633
Order Denying Request for Extension
/alj/aljorders/2018/ap-5633.pdf
2018-03-08
33-10468
34-82836
Order Denying Motion for Reconsidertion
/litigation/opinions/2018/33-10468.pdf
2018-03-13
AP-5646
Order Denying Rule 111 Motion
/alj/aljorders/2018/ap-5646.pdf
2018-05-07
33-10493
34-83183
Supplemental Briefing Order
/litigation/opinions/2018/33-10493.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
2018-09-17
AP-5988
Order Following Reassignment
/alj/aljorders/2018/ap-5988.pdf
2018-11-02
AP-6284
Order Scheduling Prehearing Conference
/alj/aljorders/2018/ap-6284.pdf
2018-11-19
AP-6342
Order Following Prehearing Conference
/alj/aljorders/2018/ap-6342.pdf
2018-11-30
AP-6382
Order Regarding Request for Copies of Record Materials
/alj/aljorders/2018/ap-6382.pdf
2018-12-26
AP-6423
Order On Edward M. Daspin's Motion for Reconsideration
/alj/aljorders/2018/ap-6423.pdf
2019-02-06
AP-6441
Order Denying Motion for an Order to Show Cause and Entering Protective Order
/alj/aljorders/2019/ap-6441.pdf
2019-02-14
AP-6459
Order Denying Motion to Postpone Hearing and for Issuance of Subpoenas
/alj/aljorders/2019/ap-6459.pdf
2019-02-28
AP-6471
Notice of Hearing Location and Order Denying Motion
/alj/aljorders/2019/ap-6471.pdf
2019-03-06
AP-6484
Order Denying Motion for Extension of Procedural Schedule and to Quash or Modify Subpoenas
/alj/aljorders/2019/ap-6484.pdf
2019-01-28
Letter dated 1/20/2019 from Respondent, Supplemental declaration in opposition to
the Divisions' contempt motion
/litigation/apdocuments/3-16509-event-345.pdf
2019-01-28
Letter dated 1/9/2019 from Repsondent, requesting review of Judge's order.
/litigation/apdocuments/3-16509-event-342.pdf
2019-03-08
AP-6490
Order Denying Motion for Stay or Dismissal
/alj/aljorders/2019/ap-6490.pdf
2019-01-28
Letter dated 1/14/2019 from Respondent, Declaration Request.
/litigation/apdocuments/3-16509-event-344.pdf
2018-09-13
Email dated 9/13/2018, Respondent's update to vacate his case
/litigation/apdocuments/3-16509-event-323.pdf
2018-09-14
Email dated 9/14/2018 from Resp.w/ 5 duplicate docs.: Declaration of Daspin Motion and Prayer for Releif (hard copy rcv'd 9/1718); Proposed Order(s) for Summary
Disposition/settlements'; Request for $2,800,000; email; and letter
/litigation/apdocuments/3-16509-event-324.pdf
2018-12-12
Respondent's confidential brief and declaration and supplement declaration
/litigation/apdocuments/3-16509-event-334.pdf
2018-08-28
Respondent's brief seeking to vacate the complaint, to void default judgement and
financial penalties, and such other relief as requested in the three orders attached to
the brief
/litigation/apdocuments/3-16509-event-316.pdf
2018-09-05
Division of Enforcement's Response to Respondent Daspin's August 28, 2018 Filing
/litigation/apdocuments/3-16509-event-317.pdf
2018-09-10
Letter dated 9/7 /18 Resp. Daspin's Reply to Enforcement's Reply to his 8/25/18
Declaration with Supplemental Modification Declaration and Brief Re:8/25/18
/litigation/apdocuments/3-16509-event-318.pdf
2018-09-10
Letter dated 9/7/18 Resp. Daspin's Reply to his 8/25/18 submissions and Motion for
summary judgement
/litigation/apdocuments/3-16509-event-319.pdf
2018-09-10
Letter dated 8/5/2018, Respondent Daspin's Supplemental Modified Declaration and
Brief Re: 8/25/18; to the Commissioners submissions
/litigation/apdocuments/3-16509-event-320.pdf
2019-01-28
Letter dated 1/25/2019 from Respondent, Supplemental Declaration In Support of
Dismal, Vacate and/or Settlement & Opposition to Contempt
/litigation/apdocuments/3-16509-event-346.pdf
2019-03-13
AP-6494
Order Clarifying Procedural Schedule
/alj/aljorders/2019/ap-6494.pdf
2019-02-25
Division's Response to Respondent Edward Daspin's February 13, 2019 and February 15, 2019 Filings
/litigation/apdocuments/3-16509-event-358.pdf
2019-02-25
Division's Response to Respondent Daspin's February 15, 2109 Filings Regarding
"Documents from the Division"
/litigation/apdocuments/3-16509-event-359.pdf
2019-03-04
Division's Response to Respondent' Filing Dated February 20, 2019
/litigation/apdocuments/3-16509-event-362.pdf
2019-03-11
Letter dated 3/1/19, from Respondent's Declaration & Brief to support motion for a
tolling of time to postpone the case for medical reasons or dismiss it for those reasons
/litigation/apdocuments/3-16509-event-366.pdf
2019-03-12
Letter from respondent to ALJ office and OS; with redlined attachment dated 3/10/19
/litigation/apdocuments/3-16509-event-367.pdf
2019-03-13
Letter dated March 12, 2019, from Division of Enforcement to ALJ office
/litigation/apdocuments/3-16509-event-368.pdf
2018-10-30
Daspin's Brief in Support and Declaration of the motions, with exhibits 1-8
/litigation/apdocuments/3-16509-event-327.pdf
2018-11-14
Email dated 11/14/2018 from Respondent with declaration and Brief and certificate of service
/litigation/apdocuments/3-16509-event-330.pdf
2018-12-12
Division of Enforcement's Opposition to Respondent Daspin's December 5, 2018
Filing.
/litigation/apdocuments/3-16509-event-335.pdf
2018-12-14
Respondent's Declaration and Response to Division's Reply to Respondent's Declaration of 12/7/18
/litigation/apdocuments/3-16509-event-336.pdf
2018-12-17
Division's Motion to Dismiss or Strike Respondent's December 11, 2018, Filings
/litigation/apdocuments/3-16509-event-338.pdf
2019-02-13
Division's Motion for an Order to Show Cause Why Respondent Daspin Should Not be Deemed in Default
/litigation/apdocuments/3-16509-event-353.pdf
2019-04-10
AP-6538
Final Prehearing Order
/alj/aljorders/2019/ap-6538.pdf
2019-04-05
Plaintiffs Motion for Evidentiary Sanctions
/litigation/apdocuments/3-16509-event-376.pdf
2019-04-05
Division of Enforcement's Prehearing Memorandum
/litigation/apdocuments/3-16509-event-378.pdf
2019-04-10
Letter dated 4/3/2019 from Respondent to ALJ and OS; Declaration and brief &
opposition to contempt and Proof of Innocence
/litigation/apdocuments/3-16509-event-379.pdf
2019-05-03
AP-6562
Order for Continued Hearing
/alj/aljorders/2019/ap-6562.pdf
2019-04-01
Letter from Respondent to Division and ALJ, regarding certified mail delivery and
extension
/litigation/apdocuments/3-16509-event-373.pdf
2019-05-10
AP-6570
Order for Continued Hearing
/alj/aljorders/2019/ap-6570.pdf
2019-05-20
AP-6582
Post-Hearing Order
/alj/aljorders/2019/ap-6582.pdf
2019-05-22
Letter dated 5/21/19 from Division to ALJ notifying her that it does not intend to
respond to Respondent's interim emails
/litigation/apdocuments/3-16509-event-398.pdf
2019-05-24
Email from Respondent to ALJ; dated 5/20/2019 regarding making certain factual and legal arguments related to the hearing that just concluded
/litigation/apdocuments/3-16509-event-400_redacted.pdf
2019-06-14
AP-6609
Order Denying Motion for Relief
/alj/aljorders/2019/ap-6609.pdf
2019-06-13
Letter dated 6/6/19 from Respondent regarding motion for relief and for a turnover
order to the division
/litigation/apdocuments/3-16509-event-403.pdf
2019-06-24
AP-6614
Order Denying Motion for Transcript Copy
/alj/aljorders/2019/ap-6614.pdf
2019-06-28
33-10654
34-86230
Order Denying Interlocutory Motions
/litigation/opinions/2019/33-10654.pdf
2019-07-29
AP-6645
Post-Hearing Order On Exhibits
/alj/aljorders/2019/ap-6645.pdf
2019-07-30
AP-6646
Order Granting Extension
/alj/aljorders/2019/ap-6646.pdf
2019-08-05
AP-6649
Order Denying Extensions and Leave to File Reply Brief
/alj/aljorders/2019/ap-6649.pdf
2019-08-07
Division of Enforcement's Post-Hearing Reply Memorandum
/litigation/apdocuments/3-16509-event-420.pdf
2019-10-16
ID-1387
Initial Decision
/alj/aljdec/2019/id1387bpm.pdf
2019-11-04
Letter dated 1/11/2019 from Respondent Regarding Declaration & Motion and Brief for the Following Violations
/litigation/apdocuments/3-16509-event-444_redacted.pdf
2019-11-13
Letter dated 10/29/1 from Respondent Daspin, Declaration and Motion to Extend the Time to Prove Manifest Errors
/litigation/apdocuments/3-16509-event-446_redacted.pdf
2019-12-04
AP-6714
Notice
/alj/aljorders/2019/ap-6714.pdf
2019-12-06
Letter dated 12/4/19 from Respondent to OS requesting additional time to respond to the Initial Decision
/litigation/apdocuments/3-16509-event-453.pdf
2019-12-12
Division's Partial Opposition to Respondent's Requests for a Free Hearing Transcript,
Exhibit Copies, and More Time to File a Motion to Correct Manifest Errors of Fact,
Declaration of Barry O'Connel, and Ex. A-K
/litigation/apdocuments/3-16509-event-454.pdf
2020-01-10
33-10743
34-87944
Extension Order
/litigation/opinions/2020/33-10743.pdf
2020-01-21
Respondent's Petition for Review of the Initial Decision (titled "Supplemental Appeal
and Corrections of Manifest Errors of Fact")
/litigation/apdocuments/3-16509-event-457_redacted.pdf
2020-01-29
Respondent's Supplemental Due Process Violation, Declaration and Renewed
Dismissal Motion, Clarification of Prior Submissions
/litigation/apdocuments/3-16509-event-458_redacted.pdf
2020-02-28
Respondent's Motion and Declaration to Dismiss
/litigation/apdocuments/3-16509-event-459.pdf
2020-03-02
Respondent's Supplemental Declaration/Motion to Dismiss
/litigation/apdocuments/3-16509-event-460.pdf
2020-03-02
Respondent's Superceeding Supplemental Declaration/Motion to Dismiss
/litigation/apdocuments/3-16509-event-461.pdf
2020-04-16
33-10773
34-88661
Order Granting Petition for Review and Scheduling Briefs
/litigation/opinions/2020/33-10773.pdf
2020-05-26
33-10787
34-88942
Extension Order
/litigation/opinions/2020/33-10787.pdf
2020-06-19
33-10792
34-89101
Extension Order
/litigation/opinions/2020/33-10792.pdf
2020-07-06
33-10799
34-89222
Extension Order
/litigation/opinions/2020/33-10799.pdf
2020-08-03
33-10813
34-89448
Order Denying Request for Documents
/litigation/opinions/2020/33-10813.pdf
2020-10-02
Division Brief in Opposition to Edward Daspin's Petition for Review of Initial Decision
/litigation/apdocuments/3-16509-2020-10-02-division-brief-in-opposition.pdf
2020-08-06
Respondent’s Final Supplemental Declaration and Brief in Support of Motions
/litigation/apdocuments/3-16509-2020-08-06-respondents-final-supplemental-declaration-and-brief-in-support-of-motions.pdf
2020-10-15
33-10875
34-90198
Order Extending Time to File Reply Brief
/litigation/opinions/2020/33-10875.pdf
2020-10-26
33-10879
34-90271
Order Denying Motion for Extension of Time
/litigation/opinions/2020/33-10879.pdf
2021-08-23
33-10966
34-92731
Order Extending Time to Issue Decision
/litigation/opinions/2021/33-10966.pdf
2021-11-23
33-11009
34-93654
Order Extending Time to Issue Decision
/litigation/opinions/2021/33-11009.pdf
2022-02-22
33-11031
34-94291
Order Extending Time to Issue Decision
/litigation/opinions/2022/33-11031.pdf
2022-04-29
Respondent Daspin Declaration with Exhibit A and B
/litigation/apdocuments/3-16509-2022-04-29-respondent-daspin-declaration.pdf
2022-05-23
33-11065
34-94969
Order Extending Time to Issue Decision
/litigation/opinions/2022/33-11065.pdf
2022-08-09
Letter with no date from Respondent Daspin to Commissioners
/litigation/apdocuments/3-16509-2022-08-09-letter-with-no-date.pdf
2022-08-22
33-11094
34-95576
Order Extending Time to Issue Decision
/litigation/opinions/2022/33-11094.pdf
2022-09-22
Supplemental Declaration to Declaration of September 8,2022 in further Support of my Prior Declarations Motion in addition to Restructuring the inhouse Process with Exhibit A
/litigation/apdocuments/3-16509-2022-09-22-supplemental-declaration.pdf
2022-11-21
33-11135
34-96365
Order Extending Time to Issue Decision
/litigation/opinions/2022/33-11135.pdf
2022-11-07
Declaration of Respondent in Support of Motion for an OSC to Restrain the SEC Commissioners from making further Extensions
/litigation/apdocuments/3-16509-2022-11-07-declaration-of-respondent.pdf
2023-02-21
33-11158
34-96956
Order Extending Time to Issue Decision
/litigation/opinions/2023/33-11158.pdf
2023-02-16
Respondent Daspin’s Letter Re Plan and Compensation
/litigation/apdocuments/3-16509-2023-02-16-respondent-clarification.pdf
2023-05-18
Declaration of Respondent Daspin
/litigation/apdocuments/3-16059-2023-05-18-respondents-final-declaration.pdf
2023-05-19
Declaration of Respondent Daspin
/litigation/apdocuments/3-16509-2023-05-19-respondents-supplemental-declaration.pdf
2023-05-22
33-11194
34-97536
Order Extending Time to Issue Decision
/litigation/opinions/2023/33-11194.pdf
2023-06-02
33-11198
34-97640
IA-6323
IC-34933
AAER-4413
Order Dismissing Proceedings
/litigation/opinions/2023/33-11198.pdf
2023-06-02
Letter from Respondent Daspin to Commissioners
/litigation/apdocuments/3-16509-2023-06-02-respondent-final-supplemental-declaration.pdf