Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Sections 15(b) and 21C 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

2019-02-15 3-16801 Bennett Group Financial Services, LLC Bennett, Dawn J. /litigation/apdocuments/ap-3-16801.xml 2015-09-09 33-9910 34-75864 IA-4191 IC-31810 Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Sections 15(b) and 21C 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/2015/33-9910.pdf 2015-09-10 AP-3112 Order Scheduling Hearing and Designating Presiding Judge /alj/aljorders/2015/ap-3112.pdf 2015-09-24 AP-3163 Order Postponing Hearing and Scheduling Prehearing Conference /alj/aljorders/2015/ap-3163.pdf 2015-09-28 AP-3170 Order Granting Motion to Extend Time to Answer /alj/aljorders/2015/ap-3170.pdf 2015-10-06 AP-3199 Order Postponing Prehearing Conference /alj/aljorders/2015/ap-3199.pdf 2015-10-07 AP-3205 Scheduling Order /alj/aljorders/2015/ap-3205.pdf 2015-10-16 AP-3234 Order Granting Motion to Extend Time to Answer /alj/aljorders/2015/ap-3234.pdf 2015-10-29 AP-3269 Scheduling Order /alj/aljorders/2015/ap-3269.pdf 2015-11-02 Respondents' Answer to Order Instituting Proceedings and Affirmative Defenses /litigation/apdocuments/3-16801-event-26.pdf 2015-12-02 AP-3363 Order Granting Motion for Leave to File Notice Under Seal /alj/aljorders/2015/ap-3363.pdf 2015-12-31 AP-3453 Order Following Prehearing Conference /alj/aljorders/2015/ap-3453.pdf 2016-01-12 AP-3494 Order Denying Motion to Stay or Dismiss This Proceeding /alj/aljorders/2016/ap-3494.pdf 2016-01-14 AP-3507 Order On Witness List /alj/aljorders/2016/ap-3507.pdf 2016-01-21 AP-3529 Order Postponing Hearing /alj/aljorders/2016/ap-3529.pdf 2016-02-01 AP-3561 Post-Hearing Order /alj/aljorders/2016/ap-3561.pdf 2016-01-11 Letter of 1/6/16 to ALJ Grimes from counsel for Respondents moving to have the Administrative Proceeding declared unconstitutional and requesting a stay of the proceeding /litigation/apdocuments/3-16801-event-40.pdf 2016-02-09 AP-3588 Order Granting Motion to Admit Johnston Testimony /alj/aljorders/2016/ap-3588.pdf 2016-03-01 AP-3656 Order On Rule 235 Motion /alj/aljorders/2016/ap-3656.pdf 2016-03-02 Division's Proposed Findings of Fact and Conclusions of Law /litigation/apdocuments/3-16801-event-66.pdf 2016-03-03 Division's Opening Post-Hearing Brief /litigation/apdocuments/3-16801-event-67.pdf 2016-02-17 Declaration of Michael J. Rinaldi, with Attachments A-D /litigation/apdocuments/3-16801-event-62.pdf 2016-04-13 AP-3780 Order Admitting Corrected Exhibit 360 /alj/aljorders/2016/ap-3780.pdf 2016-05-11 AP-3835 Order Granting in Part Joint Motion to Correct Record Index /alj/aljorders/2016/ap-3835.pdf 2016-07-11 ID-1033 Initial Decision of Default /alj/aljdec/2016/id1033jeg.pdf 2016-08-02 Respondent's Petition for Review of Initial Decision /litigation/apdocuments/3-16801-event-78.pdf 2016-08-22 33-10126 34-78637 IA-4491 IC-32222 Order Granting Petition for Review and Scheduling Briefs /litigation/opinions/2016/33-10126.pdf 2016-09-21 Respondent's Brief in Support of Petition for Review /litigation/apdocuments/3-16801-event-82.pdf 2016-10-24 Division's Brief in Opposition to Respondent's Petition for Review /litigation/apdocuments/3-16801-event-83.pdf 2016-11-07 Respondents' Reply Brief /litigation/apdocuments/3-16801-event-85.pdf 2016-12-28 Respondents Motion for Leave To File Supplemental Brief /litigation/apdocuments/3-16801-event-86.pdf 2017-03-30 33-10331 34-80347 IA-4676 IC-32586 Opinion of the Commission /litigation/opinions/2017/33-10331.pdf 2017-04-25 33-10351 34-80526 IA-4692 IC-32612 Order Denying Respondents' Motion for Leave to File Supplemental Brief /litigation/opinions/2017/33-10351.pdf 2017-04-20 Motion for a Stay of the Commission's Order Imposing Remedial Sanctions Pending Judicial Review /litigation/apdocuments/3-16801-event-89.pdf 2017-04-25 Division's Opposition to Respondents' Motion to Stay Sanctions /litigation/apdocuments/3-16801-event-91.pdf 2017-06-28 33-10375 34-81043 IA-4720 IC-32715 Stay Order /litigation/opinions/2017/33-10375.pdf 2019-02-15 33-10606 34-85151 IA-5113 IC-33376 Order /litigation/opinions/2019/33-10606.pdf