2023-03-30
3-19145
Rossi, Matthew R.
SJL Capital, LLC
/litigation/apdocuments/ap-3-19145.xml
2023-03-21
/litigation/apdocuments/3-19145-docket-2023-03-21.pdf
2019-04-17
33-10628
34-85683
IA-5224
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), 203(f) and 203(k) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order and Notice of Hearing
/litigation/admin/2019/33-10628.pdf
2019-04-29
AP-6555
Order Designating Presiding Judge
/alj/aljorders/2019/ap-6555.pdf
2019-05-01
AP-6558
Order Scheduling Prehearing Conference
/alj/aljorders/2019/ap-6558.pdf
2019-05-17
AP-6577
Protective Order
/alj/aljorders/2019/ap-6577.pdf
2019-05-17
AP-6578
Scheduling Order
/alj/aljorders/2019/ap-6578.pdf
2019-07-15
Division's Opposition to Respondent's Motion for Summary Disposition of Inability to
Pay
/litigation/apdocuments/3-19145-event-15.pdf
2019-07-23
AP-6636
Order On Cross Motions for Summary Disposition
/alj/aljorders/2019/ap-6636.pdf
2019-08-01
AP-6647
Notice of Hearing Location
/alj/aljorders/2019/ap-6647.pdf
2019-07-29
Division of Enforcement's Reply Brief Supporting Summary Disposition on Civil
Penalties
/litigation/apdocuments/3-19145-event-21.pdf
2019-10-08
Division's Reply to Respondents' Post-Hearing Brief
/litigation/apdocuments/3-19145-event-29_redacted.pdf
2019-09-24
Respondent Rossi & SJL Capital LLC Post Hearing Brief
/litigation/apdocuments/3-19145-event-28_redacted.pdf
2019-11-14
AP-6707
Order Regarding Confidential Information
/alj/aljorders/2019/ap-6707.pdf
2019-11-29
AP-6713
Order Scheduling Post-Hearing Conference
/alj/aljorders/2019/ap-6713.pdf
2019-11-26
Division's Post-Hearing Brief (REDACTED) with letter to OS requesting brief filed on
9/24/19 be removed from docket and placed under seal
/litigation/apdocuments/3-19145-event-37_redacted.pdf
2019-12-04
AP-6715
Post-Hearing Protective Order
/alj/aljorders/2019/ap-6715.pdf
2019-12-11
AP-6717
Second Post-Hearing Protective Order
/alj/aljorders/2019/ap-6717.pdf
2019-12-23
ID-1393
Initial Decision
/alj/aljdec/2019/id1393jeg.pdf
2020-02-06
34-88138
Order Granting Petition for Review and Scheduling Briefs
/litigation/opinions/2020/34-88138.pdf
2020-02-25
33-10759
34-88278
IA-5449
Order Granting Request for Protective Order
/litigation/opinions/2020/33-10759.pdf
2020-03-24
Review and Scheduling Brief
/litigation/apdocuments/3-19145-event-53.pdf
2020-04-08
Brief of The Division of Enforcement in Opposition to Petition for Review
/litigation/apdocuments/3-19145-division-of-enforcement-brief-040820.pdf
2020-12-22
33-10910
34-90770
IA-5654
Order Extending Time to Issue Decision
/litigation/opinions/2020/33-10910.pdf
2021-03-22
33-10936
34-91384
IA-5703
Order Extending Time to Issue Decision
/litigation/opinions/2021/33-10936.pdf
2021-06-21
33-10947
34-92218
IA-5757
Order Extending Time to Issue Decision
/litigation/opinions/2021/33-10947.pdf
2021-09-20
33-10986
34-93075
IA-5867
Order Extending Time to Issue Decision
/litigation/opinions/2021/33-10986.pdf
2021-12-20
33-11017
34-93836
IA-5933
Order Extending Time to Issue Decision
/litigation/opinions/2021/33-11017.pdf
2022-03-21
33-11044
34-94482
IA-5980
Order Extending Time to Issue Decision
/litigation/opinions/2022/33-11044.pdf
2022-06-21
33-11076
34-95132
IA-6053
Order Extending Time to Issue Decision
/litigation/opinions/2022/33-11076.pdf
2022-09-19
33-11103
34-95819
IA-6135
Order Extending Time to Issue Decision
/litigation/opinions/2022/33-11103.pdf
2022-12-19
33-11141
34-96531
IA-6205
Order Extending Time to Issue Decision
/litigation/opinions/2022/33-11141.pdf
2023-03-20
33-11169
34-97163
IA-6264
Order Extending Time to Issue Decision
/litigation/opinions/2023/33-11169.pdf
2023-06-02
33-11198
34-97640
IA-6323
IC-34933
AAER-4413
Order Dismissing Proceedings
/litigation/opinions/2023/33-11198.pdf