Administrative Proceeding File No. 3-15249

Respondents

Berkman, Craig d/b/a Ventures Trust LLC Kern, John B Face Off Acquisitions, LLC Face Off Management, LLC a/k/a Face Off Acquisitions Management, LLC Ventures Trust II LLC Ventures Trust III LLC Ventures Trust IV LLC Ventures Trust V LLC Ventures Trust VI LLC Ventures Trust Asset Fund LLC Ventures Trust Management LLC Ventures Trust Asset Management, LLC a/k/a Ventures Trust II Asset Management, LLC Assensus Capital, LLC Assensus Capital Management, LLC
Release Date Release Number Other Release Numbers Name of Document
599 Initial Decision as to John B. Kern
AP-1380 Order
AP-1326 Order
34-71667
  • IA-3788
  • IC-30977
 Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Sections 203(f) and 203(k) of the Investment Advisers Act of 1940 and Section 9(b) of the Investment Company Act of 1940, and Instituting Public Administrative Proceedings, and Imposing Sanctions, Pursuant to Section 4C of the Securities Exchange Act of 1934 and Rule 102(e) of the Commission's Rules of Practice, as to John B. Kern
AP-1179 Notice
AP-1147 Stay Order as to John B. Kern
AP-1135 Order
541 Initial Decision Making Findings and Imposing Sanction by Default
33-9495
  • 34-71075
  • IA-3739
  • IC-30831
 Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Section 8a of the Securities Act of 1933, Section 21C of the Securities Exchange Act of 1934, Sections 203(f) and 203(k) of the Investment Advisers Act of 1\
940 and Section 9(b) of the Investment Company Act of 1940 as to Craig Berkman, d/b/a Ventures Trust LLC
AP-1050 Order
AP-1051 Order
AP-988 Stay Order as to Craig Berkman d/b/a Ventures Trust LLC
AP-986 Order
AP-966 Prehearing Order
AP-870 Prehearing Order
AP-821 Order
AP-795 Order
AP-784 Order
33-9394
  • 34-69171
  • IA-3569
  • IC-30428
 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(f) AND 203(k) OF THE INVESTMENT ADVISERS ACT OF 1940, SECTION 9(b\
) OF THE INVESTMENT COMPANY ACT OF 1940 AND NOTICE OF HEARING
Release Date Release Number Other Release Numbers Name of Document
Respondent Kern's Answer
Initial Decision Making Findings and Imposing Sanction by Default
Initial Decision as to John B. Kern
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(f) AND 203(k) OF THE INVESTMENT ADVISERS ACT OF 1940, SECTION 9(b\
) OF THE INVESTMENT COMPANY ACT OF 1940 AND NOTICE OF HEARING
Notice that Initial Decision Has Become Final
Notice that Initial Decision Has Become Final
Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Section 8a of the Securities Act of 1933, Section 21C of the Securities Exchange Act of 1934, Sections 203(f) and 203(k) of the Investment Advisers Act of 1\
940 and Section 9(b) of the Investment Company Act of 1940 as to Craig Berkman, d/b/a Ventures Trust LLC
Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Sections 203(f) and 203(k) of the Investment Advisers Act of 1940 and Section 9(b) of the Investment Company Act of 1940, and Instituting Public Administrative Proceedings, and Imposing Sanctions, Pursuant to Section 4C of the Securities Exchange Act of 1934 and Rule 102(e) of the Commission's Rules of Practice, as to John B. Kern
Order
Order
Order
Prehearing Order
Prehearing Order
Stay Order as to Craig Berkman d/b/a Ventures Trust LLC
Order
Order
Order
Order
Stay Order as to John B. Kern
Notice
Order
Order

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