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, Sections 203(e) and 203(f) of the Investment Advisers Act of 1940 and Section 9(b) of the Investment Company Act of 1940

2018-12-11 3-17342 RD Legal Capital, LLC Dersovitz, Roni /litigation/apdocuments/ap-3-17342.xml 2016-07-14 33-10111 34-78325 IA-4452 IC-32176 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, Sections 203(e) and 203(f) of the Investment Advisers Act of 1940 and Section 9(b) of the Investment Company Act of 1940 /litigation/admin/2016/33-10111.pdf 2016-07-15 AP-3988 Order Scheduling Hearing and Designating Presiding Judge /alj/aljorders/2016/ap-3988.pdf 2016-08-02 AP-4036 Postponement Order /alj/aljorders/2016/ap-4036.pdf 2016-08-23 AP-4086 Prehearing Order /alj/aljorders/2016/ap-4086.pdf 2016-08-12 Division's Memorandum of Law in Opposition to Respondents' Motion for a More Definite Statement /litigation/apdocuments/3-17342-event-12.pdf 2016-08-08 Respondents' Motion for a More Definite Statement /litigation/apdocuments/3-17342-event-10.pdf 2016-08-08 Respondents' Answer /litigation/apdocuments/3-17342-event-9.pdf 2016-10-07 AP-4237 Scheduling Order /alj/aljorders/2016/ap-4237.pdf 2016-10-31 Letter dated 10/31/16 from Respondents to ALJ in response to Division's 10/21/16 letter to ALJ. /litigation/apdocuments/3-17342-event-21.pdf 2016-11-23 AP-4387 Order /alj/aljorders/2016/ap-4387.pdf 2016-12-20 AP-4474 Order /alj/aljorders/2016/ap-4474.pdf 2016-12-19 Respondents' Motion to Quash or, in the Alternative, to Modify Subpoena, with Tabs A-B /litigation/apdocuments/3-17342-event-52.pdf 2017-01-04 AP-4499 Order /alj/aljorders/2017/ap-4499.pdf 2017-01-11 AP-4515 Order /alj/aljorders/2017/ap-4515.pdf 2017-01-12 AP-4521 Order /alj/aljorders/2017/ap-4521.pdf 2017-01-13 AP-4526 Order /alj/aljorders/2017/ap-4526.pdf 2017-01-11 Non-Party Steven Mizel's Application to Quash or Modify Subpoena to Produce Documents /litigation/apdocuments/3-17342-event-67.pdf 2017-01-27 AP-4561 Order /alj/aljorders/2017/ap-4561.pdf 2017-01-11 Division's Response to Steven Mizel's Application to Quash or Modify Subpoena to Produce Documents /litigation/apdocuments/3-17342-event-69.pdf 2017-01-13 Non-Parties Alan Mantell and Arthur Sinensky's Motion to Quash or Modify Subpoenas /litigation/apdocuments/3-17342-event-79.pdf 2017-01-26 Respondents' Application to Quash or Modify Subpoena to Produce Documents /litigation/apdocuments/3-17342-event-88.pdf 2017-01-31 Division's Expert Report of Professor Anthony J. Sebek /litigation/apdocuments/3-17342-event-91.pdf 2017-02-01 Expert Report of Leon M. Metzger /litigation/apdocuments/3-17342-event-94.pdf 2017-02-01 Expert Report of David X. Martin /litigation/apdocuments/3-17342-event-95.pdf 2017-02-23 AP-4622 Order /alj/aljorders/2017/ap-4622.pdf 2017-02-27 Letter dated 2/16/17 from Respondents to ALJ in response to Division's letter dated 2/16/17 /litigation/apdocuments/3-17342-event-102.pdf 2017-03-01 AP-4645 Order /alj/aljorders/2017/ap-4645.pdf 2017-03-07 AP-4657 Order /alj/aljorders/2017/ap-4657.pdf 2017-03-09 AP-4670 Order Redesignating Presiding Judge /alj/aljorders/2017/ap-4670.pdf 2017-03-10 AP-4673 Order On Motion to Preclude Reliance Defense /alj/aljorders/2017/ap-4673.pdf 2017-02-27 Letter Dated 2/16/17 from Division to ALJ Opposing Respondents' Request for Leave to File Motion for Summary Disposition /litigation/apdocuments/3-17342-event-101.pdf 2017-03-15 AP-4683 Order Following Prehearing Conference /alj/aljorders/2017/ap-4683.pdf 2017-03-13 Respondents' Motion in Limine to Exclude Testimony of Ian Guy /litigation/apdocuments/3-17342-event-122.pdf 2017-03-13 Respondents' Pretrial Brief /litigation/apdocuments/3-17342-event-124.pdf 2017-03-13 Division's Response to Respondents (I) Motion in Limine, (II) Objections to Exhibits, and (Ill) Motion to Dismiss /litigation/apdocuments/3-17342-event-126.pdf 2017-03-09 Division's Memorandum of Law in Support of Omnibus Motion in Limine to Preclude Certain Testimonial and Documentary Evidence /litigation/apdocuments/3-17342-event-116.pdf 2017-03-06 Respondents' Motion for Protective Order /litigation/apdocuments/3-17342-event-110.pdf 2017-03-20 Respondents' Opposition to Division's Omnibus Motion in Limine /litigation/apdocuments/3-17342-event-127.pdf 2017-03-20 Letter dated 3/17 /17 from Division to ALJ in response to Respondents' 3/16/17 letter regarding privilege. /litigation/apdocuments/3-17342-event-133.pdf 2017-03-21 Letter dated 3/18/17 from Division to ALJ in response to Respondents' letter of 3/17/17 regarding alleged Brady violation. /litigation/apdocuments/3-17342-event-134.pdf 2017-03-22 Letter dated 3/17 /17 from Respondents to ALJ seeking emergency relief regarding Division's obligation under Brady. /litigation/apdocuments/3-17342-event-135.pdf 2017-03-09 Division's Prehearing Brief /litigation/apdocuments/3-17342-event-117.pdf 2017-03-13 Respondents' Motion to Dismiss Unconstitutional Proceeding /litigation/apdocuments/3-17342-event-121.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 2017-05-02 AP-4781 Post-Hearing Order /alj/aljorders/2017/ap-4781.pdf 2017-05-22 Letter dated May 12, 2017 from Respondents to ALJ in response to Divisions letter of May 5, 2017 /litigation/apdocuments/3-17342-event-166.pdf 2017-06-06 AP-4855 Order Granting Stipulated Transcript Corrections /alj/aljorders/2017/ap-4855.pdf 2017-07-06 AP-4908 Protective Order /alj/aljorders/2017/ap-4908.pdf 2017-06-26 Division's Post Hearing Brief /litigation/apdocuments/3-17342-event-173.pdf 2017-06-26 Division's Proposed Findings of Fact /litigation/apdocuments/3-17342-event-174.pdf 2017-08-08 Respondents' Amended Proposed Findings of Facts /litigation/apdocuments/3-17342-event-185.pdf 2017-08-16 AP-4976 Order Granting Respondents' Rule 250(d) Motion On Valuation Allegations /alj/aljorders/2017/ap-4976.pdf 2017-08-07 Respondents' Proposed Findings of Fact /litigation/apdocuments/3-17342-event-179.pdf 2017-08-25 Division's Reponse to Respondent's Proposed Findings of Fact /litigation/apdocuments/3-17342-event-189.pdf 2017-08-25 Division's Reply Posthearing Brief /litigation/apdocuments/3-17342-event-190.pdf 2017-09-05 Letter dated 9/1/17 from Respondents to ALJ Regarding Paragraph 8 of the Court's May 2, 2107 Post-Hearing Order /litigation/apdocuments/3-17342-event-194.pdf 2017-12-06 AP-5281 Notice to the Parties and Order Allowing New Evidence /alj/aljorders/2017/ap-5281.pdf 2017-05-08 Letter dated 5/5/17 from Division to ALJ to set forth the record evidence regarding Flagship Funds /litigation/apdocuments/3-17342-event-162.pdf 2017-12-04 Letter dated 12/04/17 from Respondents to ALJ Regarding their Constitutional Objections to Administrative Proceeding /litigation/apdocuments/3-17342-event-214.pdf 2017-12-06 Letter dated 12/6/17 from Division to ALJ in Response to Respondents' Constitutional Objections to this Administrative Proceedings /litigation/apdocuments/3-17342-event-216.pdf 2018-01-05 Letter Dated 1 /5/18 from Division to ALJ Requesting that He Ratify All Prior Actions Made in this Proceeding, with Proposed Order /litigation/apdocuments/3-17342-event-218.pdf 2018-01-08 Respondents' Response to Commission's November 30, 2017 Order /litigation/apdocuments/3-17342-event-219.pdf 2018-01-17 Letter Dated 1/12/18 from Division to ALJ in Response to Respondents' 1/5/18 Submission /litigation/apdocuments/3-17342-event-220.pdf 2018-01-22 Letter Dated 1 /19/18 from Respondent to ALJ in Response to the Division's 1 /5/18 and 1/12/18 Submission /litigation/apdocuments/3-17342-event-221.pdf 2018-02-06 Letter Dated 2/5/18 from Respondents to ALJ in Response to the Court's Request that Parties Address the ALJ's Dismissal of an Agency's Proceeding /litigation/apdocuments/3-17342-event-222.pdf 2018-02-16 AP-5618 Order Extending Deadline for Decision On Ratification /alj/aljorders/2018/ap-5618.pdf 2018-02-13 Letter Dated 2/12/18 from Division to ALJ in Response to the Respondents' Request for the ALJ's Dismissal of the Agency's Administrative Proceedings /litigation/apdocuments/3-17342-event-223.pdf 2018-02-23 AP-5625 Order On Ratification /alj/aljorders/2018/ap-5625.pdf 2018-04-20 AP-5688 Motion to Commission for Extension of Time to File Initial Decision /alj/aljorders/2018/ap-5688.pdf 2018-05-01 AP-5708 Order Directing Supplemental Briefing /alj/aljorders/2018/ap-5708.pdf 2018-05-21 Respondent's Disgorgement Brief /litigation/apdocuments/3-17342-event-228.pdf 2018-05-22 Division's Motion for Summary Disposition /litigation/apdocuments/3-17342-event-229.pdf 2018-05-31 Division's Response to Supplemental Brief Regarding Disgorgement /litigation/apdocuments/3-17342-event-232.pdf 2018-06-01 Respondents' Disgorgement Reply Brief /litigation/apdocuments/3-17342-event-233.pdf 2018-06-21 AP-5813 Order Regarding Lucia V. SEC /alj/aljorders/2018/ap-5813.pdf 2018-06-22 AP-5828 Notice of Stay /alj/aljorders/2018/ap-5828.pdf 2018-07-24 AP-5928 Notice of Extension of Stay /alj/aljorders/2018/ap-5928.pdf 2018-08-23 AP-5954 Notice from the Chief Administrative Law Judge /alj/aljorders/2018/ap-5954.pdf 2018-09-07 Parties' Joint Agreement on Alternative Procedures /litigation/apdocuments/3-17342-event-241.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-6062 Order Affirming Assignments /alj/aljorders/2018/ap-6062.pdf 2018-10-15 ID-1260 Initial Decision /alj/aljdec/2018/id1260jsp.pdf 2018-12-11 34-84793 Notice that Initial Decision has become Final /litigation/opinions/2018/34-84793.pdf