Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934

2017-08-21 3-16649 Ironridge Global Partners, LLC Ironridge Global IV, Ltd. /litigation/apdocuments/ap-3-16649.xml 2015-06-23 34-75272 Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934 /litigation/admin/2015/34-75272.pdf 2015-06-24 AP-2852 Order Scheduling Hearing and Designating Presiding Judge /alj/aljorders/2015/ap-2852.pdf 2015-06-29 AP-2876 Order Postponing Hearing and Scheduling Prehearing Conference /alj/aljorders/2015/ap-2876.pdf 2015-07-17 AP-2940 Order Postponing Prehearing Conference /alj/aljorders/2015/ap-2940.pdf 2015-07-15 Respondent Ironridge Global IV, Ltd's Answer and Affirmative Defenses /litigation/apdocuments/3-16649-event-10.pdf 2015-07-28 AP-2987 Scheduling Order /alj/aljorders/2015/ap-2987.pdf 2015-08-18 AP-3049 Order On Motion for Reconsideration /alj/aljorders/2015/ap-3049.pdf 2015-08-17 Respondents' Response in Support of Subpoena /litigation/apdocuments/3-16649-event-33.pdf 2015-08-20 AP-3060 Order On Subpoena /alj/aljorders/2015/ap-3060.pdf 2015-08-03 Respondents Request for Issuance of a Subpoena Duces Tecum. (as to Us Securities and Exchange Commission - Custodian of Records) /litigation/apdocuments/3-16649-event-23.pdf 2015-08-10 Division's Opposition to Respondents' Request for Issuance of a Subpoena Duces Tecum to the Commission /litigation/apdocuments/3-16649-event-30.pdf 2015-09-21 Respondents Second Request for Issuance of a Subpoena Duces Tecum /litigation/apdocuments/3-16649-event-36.pdf 2015-09-28 Division's Opposition to Respondents' Second Request for Issuance of a Subpoena Duces Tecum /litigation/apdocuments/3-16649-event-37.pdf 2015-09-30 Respondents' Motion for Summary Disposition /litigation/apdocuments/3-16649-event-39.pdf 2015-10-15 AP-3228 Second Order On Subpoenas /alj/aljorders/2015/ap-3228.pdf 2015-10-05 Respondents' Response in Support of Their Second Subpoena Request /litigation/apdocuments/3-16649-event-41.pdf 2015-10-16 AP-3232 Order Modifying Schedule and Setting Hearing Location /alj/aljorders/2015/ap-3232.pdf 2015-10-13 Division's Opposition to Respondents' Motion for Summary Disposition /litigation/apdocuments/3-16649-event-42.pdf 2015-10-21 Respondents' Reply in Support of Summary Disposition /litigation/apdocuments/3-16649-event-48.pdf 2015-11-05 AP-3298 Order On Motion for Summary Disposition /alj/aljorders/2015/ap-3298.pdf 2015-11-10 AP-3306 Third Order On Subpoenas /alj/aljorders/2015/ap-3306.pdf 2015-11-05 Division's Opposition to Respondents' Renewed Request for a Subpoena with Attached Declaration of Matthew F. Mcnamara /litigation/apdocuments/3-16649-event-56.pdf 2015-11-18 AP-3329 Notice of Stay /alj/aljorders/2015/ap-3329.pdf 2016-10-05 AP-4227 Order Scheduling Prehearing Conference /alj/aljorders/2016/ap-4227.pdf 2016-09-30 Division's Notice of Dissolution of Injunction /litigation/apdocuments/3-16649-event-72.pdf 2016-10-20 AP-4287 Order Following Prehearing Conference /alj/aljorders/2016/ap-4287.pdf 2016-10-24 Respondent's Notice of Withdrawing Motion in Limine Related to FINRA Regulations /litigation/apdocuments/3-16649-event-77.pdf 2016-11-29 AP-4393 Order Redesignating Presiding Judge /alj/aljorders/2016/ap-4393.pdf 2016-11-10 Respondents' Opposition to the Division's Motion in Limine to Strike Legal Opinions from the Expert Report of James Burns /litigation/apdocuments/3-16649-event-81.pdf 2016-11-10 Respondents' Opposition to the Division's Motion in Limine to Exclude Investigation and Due Process Evidence /litigation/apdocuments/3-16649-event-82.pdf 2016-11-10 Respondents' Opposition to the Division's Motion in Limine to Strike the Opinions of Messrs. Pickard, Juran, and DeMartino /litigation/apdocuments/3-16649-event-83.pdf 2016-11-17 Respondents' Reply in Support of Motion in Limine /litigation/apdocuments/3-16649-event-84.pdf 2016-12-02 AP-4409 Order Granting in Part Motions in Limine Regarding the Expert Reports of Robert Lowry and James Burns /alj/aljorders/2016/ap-4409.pdf 2016-12-14 AP-4448 Order Granting in Part Division's Motion in Limine Regarding Investigation and Due Process Evidence /alj/aljorders/2016/ap-4448.pdf 2016-12-14 AP-4449 Order Denying Respondents' Combined Motions in Limine and Denying the Division's Motion in Limine Regarding Rebuttal Experts /alj/aljorders/2016/ap-4449.pdf 2016-12-14 AP-4452 Order Scheduling Prehearing Conference /alj/aljorders/2016/ap-4452.pdf 2017-01-10 AP-4512 Order Scheduling Prehearing Conference /alj/aljorders/2017/ap-4512.pdf 2017-01-30 AP-4569 Order Scheduling Prehearing Conference /alj/aljorders/2017/ap-4569.pdf 2017-01-31 AP-4574 Order Granting in Part Respondents' Combined Motion to Quash and Motion in Limine /alj/aljorders/2017/ap-4574.pdf 2017-02-01 AP-4579 Order Following Prehearing Conference /alj/aljorders/2017/ap-4579.pdf 2017-02-06 AP-4589 Order On Division's Opposition to Subpoenas /alj/aljorders/2017/ap-4589.pdf 2017-02-07 AP-4591 Order On Division's Motion to Retroactively Amend Witness List /alj/aljorders/2017/ap-4591.pdf 2017-02-09 AP-4595 Order Granting Enlargement of Time for Response to Motion for Witness Schedule /alj/aljorders/2017/ap-4595.pdf 2017-02-10 AP-4596 Stay Order /alj/aljorders/2017/ap-4596.pdf 2017-08-21 34-81443 Order Making Findings and Imposing Remedial Sanctions and Imposing a Cease-and-Desist Order Pursuant to Section 21C of the Securities Exchange Act of 1934 /litigation/admin/2017/34-81443.pdf