2021-03-29
3-18422
Mosshart, Joshua D.
/litigation/apdocuments/ap-3-18422.xml
2018-04-05
34-82998
IA-4874
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing
/litigation/admin/2018/34-82998.pdf
2018-04-06
AP-5673
Order Scheduling Hearing and Designating Presiding Judge
/alj/aljorders/2018/ap-5673.pdf
2018-04-23
AP-5693
Order Postponing Hearing and Scheduling Prehearing Conference
/alj/aljorders/2018/ap-5693.pdf
2018-05-07
AP-5716
Order Following Prehearing Conference
/alj/aljorders/2018/ap-5716.pdf
2018-04-25
Respondent's Answer to Order Instituting Administrative Proceedings and Notice of
Hearing
/litigation/apdocuments/3-18422-event-4.pdf
2018-06-11
Respondent's Response to the Division's Motion for Summary Disposition
/litigation/apdocuments/3-18422-event-7.pdf
2018-05-21
Division's Motion for Summary Disposition and Declaration of Gary Y. Leung in
Support of Motion for Summary Disposition
/litigation/apdocuments/3-18422-event-6.pdf
2018-07-02
AP-5881
Notice of Stay
/alj/aljorders/2018/ap-5881.pdf
2018-07-20
AP-5886
Notice of Extension of Stay
/alj/aljorders/2018/ap-5886.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
2018-09-19
AP-6027
Order Following Reassignment
/alj/aljorders/2018/ap-6027.pdf
2018-10-10
AP-6157
Order Scheduling Prehearing Conference and Amending Briefing Schedule
/alj/aljorders/2018/ap-6157.pdf
2018-10-25
Division's Reply Brief in Support of its Motion for Summary Disposition
/litigation/apdocuments/3-18422-event-20.pdf
2018-12-21
AP-6422
Order Setting Supplemental Briefing Schedule
/alj/aljorders/2018/ap-6422.pdf
2019-02-04
AP-6440
Order Extending Supplemental Briefing Schedule
/alj/aljorders/2019/ap-6440.pdf
2019-03-18
AP-6505
Order Redesignating Presiding Judge
/alj/aljorders/2019/ap-6505.pdf
2019-10-28
AP-6700
Order
/alj/aljorders/2019/ap-6700.pdf
2019-11-18
Division's Response to Respondent's Cross Motion for Summary Disposition
/litigation/apdocuments/3-18422-event-34_redacted.pdf
2020-09-10
AP-6787
Order
/alj/aljorders/2020/ap-6787.pdf
2020-11-02
AP-6795
Order
/alj/aljorders/2020/ap-6795.pdf
2020-11-17
Division's Supplemental Submission in Support of its Motion for Summary Disposition
/litigation/apdocuments/3-18422-2020-11-17-divisions-supplemental-submission.pdf
2020-11-17
Letter from Respondent Regarding Request to End Case on Grounds of Gross Misrepresentation of the Facts
/litigation/apdocuments/3-18422-2020-11-17-letter-from-respondent.pdf
2021-02-11
ID-1408
Initial Decision
/alj/aljdec/2021/id1408cff.pdf
2021-03-29
34-91438
IA-5709
Notice That Initial Decision Has Become Final
/litigation/opinions/2021/34-91438.pdf