Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 21C 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

2023-03-30 3-17184 Gibson, Christopher M. /litigation/apdocuments/ap-3-17184.xml 2023-03-29 /litigation/apdocuments/3-17184-docket-2023-03-29.pdf 2016-03-29 34-77466 IA-4359 IC-32059 Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 21C 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/2016/34-77466.pdf 2016-03-31 AP-3755 Order Scheduling Hearing and Designating Presiding Judge /alj/aljorders/2016/ap-3755.pdf 2016-04-14 AP-3783 Order Postponing Hearing and Scheduling Prehearing Conference /alj/aljorders/2016/ap-3783.pdf 2016-04-18 AP-3788 Order Granting Joint Motion for Protective Order /alj/aljorders/2016/ap-3788.pdf 2016-05-03 AP-3821 Order On Motion /alj/aljorders/2016/ap-3821.pdf 2016-05-10 AP-3834 Order Following Prehearing Conference /alj/aljorders/2016/ap-3834.pdf 2016-05-25 AP-3866 Order Granting Joint Motion for Prehearing Schedule /alj/aljorders/2016/ap-3866.pdf 2016-08-10 AP-4054 Order Granting Joint Motion for Modification of Protective Order /alj/aljorders/2016/ap-4054.pdf 2016-08-15 AP-4063 Order Scheduling Prehearing Conference /alj/aljorders/2016/ap-4063.pdf 2016-08-22 AP-4079 Order On Motion in Limine /alj/aljorders/2016/ap-4079.pdf 2016-08-24 AP-4089 Order Following Second Prehearing Conference /alj/aljorders/2016/ap-4089.pdf 2016-08-17 Opposition of Respondent Gibson to Division's Motion in Limine Requesting that Respondent Be Prohibited From Arguing Reliance on Counsel or Offering Evidence of Communications With Counsel /litigation/apdocuments/3-17184-event-33.pdf 2016-09-09 AP-4141 Order Denying Motion to Exclude Testimony /alj/aljorders/2016/ap-4141.pdf 2016-08-26 Division's Prehearing Brief /litigation/apdocuments/3-17184-event-36.pdf 2016-08-31 Motion in Limine Requesting Exclusion of Testimony of Lawyers Thomas Harman and Myron Steele /litigation/apdocuments/3-17184-event-39.pdf 2016-09-16 AP-4165 Post-Hearing Order /alj/aljorders/2016/ap-4165.pdf 2016-09-07 Opposition of Respondent Gibson To Division of Enforcement's Motion In Limine Requesting Exclusion Of Testimony of Thomas S. Harman And Myron T. Steele /litigation/apdocuments/3-17184-event-43.pdf 2016-09-09 Respondent's Opposition to Division's Motion in Limine Requesting that Portions of Respondent's Prior Testimony be Admitted into Evidence /litigation/apdocuments/3-17184-event-49.pdf 2016-10-11 AP-4238 Order Extending Briefing Deadlines /alj/aljorders/2016/ap-4238.pdf 2016-10-26 AP-4302 Order Extending Date for Response to Motion to Correct Transcripts /alj/aljorders/2016/ap-4302.pdf 2016-10-24 Division's Proposed Findings of Fact and Conclusions of Law /litigation/apdocuments/3-17184-event-67.pdf 2016-10-24 Division's Post-Hearing Brief /litigation/apdocuments/3-17184-event-68.pdf 2016-11-10 AP-4339 Order On Proposed Corrections to Hearing Transcript and Exhibits /alj/aljorders/2016/ap-4339.pdf 2016-11-28 AP-4389 Order Extending Briefing Deadlines /alj/aljorders/2016/ap-4389.pdf 2016-11-30 Respondent's Post-Hearing Brief /litigation/apdocuments/3-17184-event-82.pdf 2016-11-30 Respondent's Proposed Findings of Fact and Conclusions of Law /litigation/apdocuments/3-17184-event-83.pdf 2016-12-20 Division's Responses to Respondents Proposed Findings and Conclusions /litigation/apdocuments/3-17184-event-87.pdf 2016-12-20 Division's Post-Hearing Reply Brief /litigation/apdocuments/3-17184-event-88.pdf 2017-01-25 ID-1106 Initial Decision /alj/aljdec/2017/id1106bpm.pdf 2017-01-25 AP-4546 Correction Order /alj/aljorders/2017/ap-4546.pdf 2017-03-06 34-80163 IA-4657 IC-32521 Order Granting Petition for Review and Scheduling Briefs /litigation/opinions/2017/34-80163.pdf 2017-02-14 Respondent's Petition for Review of Initial Decision /litigation/apdocuments/3-17184-event-91.pdf 2017-03-20 Respondent's Reply to Division's Opposition to his Motion to Stay Proceeding /litigation/apdocuments/3-17184-event-96.pdf 2017-04-05 Respondent's Opening Brief /litigation/apdocuments/3-17184-event-96b.pdf 2017-04-05 Respondent's Motion for Oral Argument /litigation/apdocuments/3-17184-event-97.pdf 2017-04-05 Letter dated 4/2/17 from Respondents' to ALJ, regarding the subject of the in camera review. /litigation/apdocuments/3-17342-event-143.pdf 2017-04-21 34-80508 IA-4689 IC-32609 Order Granting Extension of Time /litigation/opinions/2017/34-80508.pdf 2017-04-21 34-80509 IA-4690 IC-32610 Order Denying Motion to Stay Administrative Proceeding /litigation/opinions/2017/34-80509.pdf 2017-03-13 Respondent's Motion to Stay Proceeding /litigation/apdocuments/3-17184-event-93.pdf 2017-03-15 Division's Opposition to Motion to Stay Proceeding /litigation/apdocuments/3-17184-event-94.pdf 2017-04-17 Division's Reply in Support of Motion to Strike Respondent's Opening Brief. /litigation/apdocuments/3-17184-event-101.pdf 2017-05-11 34-80663 IA-4706 IC-32633 Order Granting Motion to Strike and Modifying Briefing Schedule /litigation/opinions/2017/34-80663.pdf 2017-05-18 Opening Brief Of Respondent Christopher M. Gibson /litigation/apdocuments/3-17184-event-105.pdf 2017-06-19 Division's Opposition Brief /litigation/apdocuments/3-17184-event-107.pdf 2017-07-03 Respondent's Reply Brief /litigation/apdocuments/3-17184-event-108.pdf 2017-12-12 AP-5371 Order Regarding the Securities and Exchange Commission's Order On Pending Administrative Proceedings /alj/aljorders/2017/ap-5371.pdf 2018-01-02 AP-5429 Order On Motion to Extend Time /alj/aljorders/2018/ap-5429.pdf 2018-02-14 Letter dated 2/14/18 from the Division to CALJ Murray regarding Commission's ratification of the prior appointment of its administrative law judges with proposed draft order /litigation/apdocuments/3-17184-event-120.pdf 2018-03-14 AP-5648 Order Extending Date for Ratification Ruling /alj/aljorders/2018/ap-5648.pdf 2018-03-01 Division's Response to Respondent's Brief Regarding New Evidence and Challenged Rulings, Findings, and Conclusions /litigation/apdocuments/3-17184-event-123.pdf 2018-03-01 Letter dated 3/1 /18 with Respondent's Opposition to Divison of Enforcement letter dated 2/14/18 /litigation/apdocuments/3-17184-event-124.pdf 2018-02-15 Letter dated 2/14/18 from counsel with Respondent's Brief regarding New Evidence and Challenged Rulings, Findings and Conclusions /litigation/apdocuments/3-17184-event-121.pdf 2018-05-11 AP-5724 Order Ratifying Prior Actions /alj/aljorders/2018/ap-5724.pdf 2018-05-29 Respondent's Supplemental Petition for Review of Initial Decision /litigation/apdocuments/3-17184-event-127.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 2018-09-21 AP-6061 Order Following Reassignment /alj/aljorders/2018/ap-6061.pdf 2018-10-12 AP-6178 Order Scheduling Prehearing Conference /alj/aljorders/2018/ap-6178.pdf 2018-10-18 AP-6224 Order Setting Prehearing Schedule and General Prehearing Order /alj/aljorders/2018/ap-6224.pdf 2018-10-29 Respondent's Answer and Affirmative Defenses to the OIP /litigation/apdocuments/3-17184-event-140.pdf 2018-11-26 AP-6362 Order Granting Joint Motion for Protective Order /alj/aljorders/2018/ap-6362.pdf 2019-02-13 AP-6455 Order Extending Prehearing Schedule and Rescheduling Hearing /alj/aljorders/2019/ap-6455.pdf 2019-03-18 AP-6507 Order Redesignating Presiding Judge /alj/aljorders/2019/ap-6507.pdf 2019-03-29 AP-6530 Order Extending Prehearing Schedule and Rescheduling Hearing /alj/aljorders/2019/ap-6530.pdf 2019-05-31 AP-6592 Notice of Hearing Location /alj/aljorders/2019/ap-6592.pdf 2019-06-03 AP-6593 Order Granting Motion for Extension of Deposition Deadline /alj/aljorders/2019/ap-6593.pdf 2019-06-04 AP-6594 Order Directing Motions in Limine and Oral Argument /alj/aljorders/2019/ap-6594.pdf 2019-06-12 AP-6599 Order On Reissuance of Subpoena /alj/aljorders/2019/ap-6599.pdf 2019-06-13 AP-6600 Order Setting Oral Argument Date /alj/aljorders/2019/ap-6600.pdf 2019-06-28 AP-6615 Order Granting Motion in Limine to Preclude Testimony by Current and Former Counsel for the Division of Enforcement /alj/aljorders/2019/ap-6615.pdf 2019-06-28 AP-6616 Order Granting Extension /alj/aljorders/2019/ap-6616.pdf 2019-07-01 AP-6618 Order Denying Respondent's Motion to Quash /alj/aljorders/2019/ap-6618.pdf 2019-07-11 AP-6624 Order Following Oral Argument /alj/aljorders/2019/ap-6624.pdf 2019-07-15 AP-6629 Order Addressing Examination of Experts /alj/aljorders/2019/ap-6629.pdf 2019-07-01 Respondent's Prehearing Brief /litigation/apdocuments/3-17184-event-188.pdf 2019-07-01 Division of Enforcement's Prehearing Brief /litigation/apdocuments/3-17184-event-189.pdf 2019-07-23 AP-6638 Order Following Final Prehearing Conference /alj/aljorders/2019/ap-6638.pdf 2019-08-05 AP-6648 Post-Hearing Order /alj/aljorders/2019/ap-6648.pdf 2019-08-06 AP-6651 Order On Transcript Corrections /alj/aljorders/2019/ap-6651.pdf 2019-08-29 AP-6668 Order Addressing Joint Stipulation On Constitutional Defenses /alj/aljorders/2019/ap-6668.pdf 2019-09-13 Division of Enforcement's Post Hearing Brief /litigation/apdocuments/3-17184-event-222-b.pdf 2019-09-13 Division of Enforcement's Proposed Findings of Fact and Conclusions of Law /litigation/apdocuments/3-17184-event-223-b.pdf 2019-09-17 AP-6676 Order Granting Extension /alj/aljorders/2019/ap-6676.pdf 2019-09-18 AP-6679 Protective Order for Respondent's Financial Records /alj/aljorders/2019/ap-6679.pdf 2019-09-16 Respondent's Proposed Post- Hearing Brief /litigation/apdocuments/3-17184-event-222.pdf 2019-09-16 Respondent's Proposed Findings of Fact and Conclusions of Law /litigation/apdocuments/3-17184-event-223.pdf 2019-09-16 Respondent's Request for Protective Order /litigation/apdocuments/3-17184-event-224.pdf 2019-10-09 AP-6695 Order On Respondent's Motion to Strike and the Division of Enforcement's Letter /alj/aljorders/2019/ap-6695.pdf 2019-10-04 Division of Enforcement's Responses to Respondent's Proposed Findings of Fact and Law Conclusions of Law /litigation/apdocuments/3-17184-event-233.pdf 2019-10-04 Respondent's Post Hearing Reply Brief /litigation/apdocuments/3-17184-event-235.pdf 2019-10-08 Respondent's Reply to Division's Opposition to Respondent's Motion to Strike /litigation/apdocuments/3-17184-event-236.pdf 2019-10-15 AP-6696 Order on Motions to Strike /alj/aljorders/2019/ap-6696.pdf 2019-10-25 AP-6699 Order On Respondent's Exhibit 235 /alj/aljorders/2019/ap-6699.pdf 2019-10-29 Respondent Christopher M. Gibson's Response to Division's Proposed Findings of Fact and Conclusions of Law /litigation/apdocuments/3-17184-event-243.pdf 2019-10-04 Division of Enforcement's Post-Hearing Reply Brief /litigation/apdocuments/3-17184-event-234_redacted.pdf 2020-02-18 AP-6733 Order Extending Deadline for Issuance of Initial Decision /alj/aljorders/2020/ap-6733.pdf 2020-03-02 Respondent Christopher M. Gibson's Constitutional Challenges /litigation/apdocuments/3-17184-event-250.pdf 2020-03-24 ID-1398 Initial Decision /alj/aljdec/2020/id1398jeg.pdf 2020-04-10 Respondent's Pettition for Review /litigation/apdocuments/3-17184-04-10-2020-petition-for-review-of-initial-decision.pdf 2020-05-01 34-88799 Order Granting Petition for Review and Scheduling Briefs /litigation/opinions/2020/34-88799.pdf 2020-06-01 Brief in Support of Petition for Review of Initial Decision /litigation/apdocuments/3-17184-event-2020-06-01-brief-in-support-of-petition-for-review-of-initial-decision.pdf 2020-07-01 Divisions's Opposition Brief /litigation/apdocuments/3-17184-event-2020-07-01-divisions-opposition-brief.pdf 2020-07-15 Respondent’s Reply Brief /litigation/apdocuments/3-17184-event-2019-07-15-respondents-reply-brief.pdf 2021-05-17 34-91913 IA-5735 IC-34271 Order Extending Time to Issue Decision /litigation/opinions/2021/34-91913.pdf 2021-08-16 34-92679 IA-5822 IC-34357 Order Extending Time to Issue Decision /litigation/opinions/2021/34-92679.pdf 2021-11-15 34-93572 IA-5907 IC-34417 Order Extending Time to Issue Decision /litigation/opinions/2021/34-93572.pdf 2022-02-14 34-94241 IA-5961 IC-34504 Order Extending Time to Issue Decision /litigation/opinions/2022/34-94241.pdf 2022-05-16 34-94919 IA-6023 IC-34585 Order Extending Time to Issue Decision /litigation/opinions/2022/34-94919.pdf 2022-08-15 34-95500 IA-6089 IC-34673 Order Extending Time to Issue Decision /litigation/opinions/2022/34-95500.pdf 2022-11-14 34-96302 IA-6186 IC-34750 Order Extending Time to Issue Decision /litigation/opinions/2022/34-96302.pdf 2023-02-13 34-96891 IA-6236 IC-34830 Order Extending Time to Issue Decision /litigation/opinions/2023/34-96891.pdf 2023-05-15 34-97500 IA-6309 IC-34916 Order Extending Time to Issue Decision /litigation/opinions/2023/34-97500.pdf 2023-06-02 33-11198 34-97640 IA-6323 IC-34933 AAER-4413 Order Dismissing Proceedings /litigation/opinions/2023/33-11198.pdf