Administrative Proceeding File No. 3-15211

Respondents

Lorenzo, Gregg C. Lorenzo, Francis V. Charles Vista, LLC
Release Date Release Number Other Release Numbers Name of Document
33-10872
  • 34-90110
 Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Section 8A of the Securities Act of 1933 and Sections 15(b) and 21C of the Securities Exchange Act of 1934 as to Respondent Francis V. Lorenzo
34-83502 Order Directing Disbursement of Fair Fund
33-10460
  • 34-82755
 Order Denying Stay
34-82677 Order Approving Amended Plan of Distribution
33-10447
  • 34-82307
 Order Scheduling Briefs
34-76837 Notice of Amended Proposed Plan of Distribution and Opportunity for Comment
33-9803
  • 34-75103
 Order Denying Lorenzo's Motion for Reconsideration
34-75059 Extension Order
33-9762
  • 34-74836
 Cease-and-Desist Proceeding
34-74607 Notice of Proposed Plan of Distribution and Opportunity for Comment
33-9732
  • 34-74364
 Order Scheduling Oral Argument
34-72856 Order Appointing Tax Administrator
34-71584 Order Granting Petitions for Review and Scheduling Briefs
544 Initial Decision as to Francis V. Lorenzo
33-9480
  • 34-70904
 Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Section 8a of the Securities Act of 1933 and Sections 15(b), 21B, and 21C of the Securities Exchange Act of 1934 as to Respondents Gregg C. Lorenzo and Charles Vista, LLC
AP-849 Prehearing Order
AP-831 Stay Order as to Gregg C. Lorenzo and Charles Vista, LLC
33-9385
  • 34-68943
 ORDER INSTITUTING ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS PURSUANT TO SECTION 8A OF THE SECURITIES ACT OF 1933, AND SECTIONS 15(b), 21B AND 21C OF THE SECURITIES EXCHANGE ACT OF 1934
3-15211
3-15211
Release Date Release Number Other Release Numbers Name of Document
Division's Prehearing Brief
Division's Proposed Findings of Fact and Conclusions of Law
Francis V. Lorenzo's Proposed Findings of Fact and Conclusions of Law
Francis V. Lorenzo's Petition for Review of Initial Decision
Division's Cross Petition for Review of Initial Decision
Resp. Frank V. Lorenzo's Response to Division's Cross Petition for Review of Initial Decision
Brief in Support of Petition for Review of Respondent Francis V. Lorenzo
Division's Memorandum of Law in Opposition to Respondent Francis V. Lorenzo's Appeal, and in Support of the Division's Cross-Appeal, from Initial Decision Release No. 544
Reply Brief in Support of Petition for Review of Respondent Francis V. Lorenzo and in Opposition to the Division's Cross-Appeal
Respondent Frank Lorenzo's Notice of Supplemental Authority
Division's Response to Respondent Frank Lorenzo's Notice of Supplemental Authority
Motion for Reconsideration Submitted On Behalf of Respondent Francis V. Lorenzo
Respondent Francis V. Lorenzo's Brief Regarding Sanctions
Division's Opposition to Respondent Lorenzo's Brief Regarding Sanctions, w/Ex. 1
Division's Opposition to Respondent Francis V. Lorenzo's Motion to Stay the
Commission's Order Scheduling Briefs
Respondent Lorenzo's Reply Brief Regarding Sanctions
Initial Decision as to Francis V. Lorenzo
ORDER INSTITUTING ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS PURSUANT TO SECTION 8A OF THE SECURITIES ACT OF 1933, AND SECTIONS 15(b), 21B AND 21C OF THE SECURITIES EXCHANGE ACT OF 1934
Proposed Plan of Distribution
Distribution Plan
Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Section 8a of the Securities Act of 1933 and Sections 15(b), 21B, and 21C of the Securities Exchange Act of 1934 as to Respondents Gregg C. Lorenzo and Charles Vista, LLC
Order Appointing Tax Administrator
Extension Order
Notice of Proposed Plan of Distribution and Opportunity for Comment
Order Scheduling Oral Argument
Notice of Amended Proposed Plan of Distribution and Opportunity for Comment
Order Directing Disbursement of Fair Fund
Order Approving Amended Plan of Distribution
Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Section 8A of the Securities Act of 1933 and Sections 15(b) and 21C of the Securities Exchange Act of 1934 as to Respondent Francis V. Lorenzo
Stay Order as to Gregg C. Lorenzo and Charles Vista, LLC
Prehearing Order
Order Scheduling Briefs
Order Denying Stay
Cease-and-Desist Proceeding
Order Denying Lorenzo's Motion for Reconsideration
Order Granting Petitions for Review and Scheduling Briefs

Documents