Administrative Proceeding File No. 3-15255

Respondents

John Thomas Capital Management Group LLC, d/b/a Patriot28 LLC Jarkesy, George R., Jr. John Thomas Financial, Inc. Belesis, Anastasios "Tommy"
Release Date Release Number Other Release Numbers Name of Document
33-10921
  • 34-90965
  • IA-5672
  • IC-34179
 Partial Stay Order
33-10834
  • 34-89775
  • IA-5572
  • IC-34003
 Opinion of the Commission
33-10815
  • 34-89479
  • IA-5556
  • IC-33964
 Order Extending Time to Issue Decision
33-10800
  • 34-89227
  • IA-5532
  • IC-33920
 Order Extending Time to Issue Decision
33-10790
  • 34-89022
  • IA-5517
  • IC-33890
 Order Extending Time to Issue Decision
33-10782
  • 34-88811
  • IA-5495
  • IC-33861
 Order Extending Time to Issue Decision
33-10770
  • 34-88565
  • IA-5473
  • IC-33835
 Order Extending Time to Issue Decision
33-10764
  • 34-88336
  • IA-5459
  • IC-33812
 Order Extending Time to Issue Decision
33-10746
  • 34-88011
  • IA-5435
  • IC-33749
 Order Extending Time to Issue Decision
33-10609
  • 34-85172
  • IA-5116
  • IC-33382
 Order Regarding Further Proceedings
AP-6411 Stay Order
AP-6354 Order On Transcript Corrections
AP-6316 Scheduling Order
AP-6205 Order Scheduling Prehearing Conference
AP-6093 Order Following Reassignment
AP-5955 Chief Administrative Law Judge's Order Assigning Proceedings Post Lucia v. SEC
AP-5954 Notice from the Chief Administrative Law Judge
AP-5953 Notice
AP-5877 Notice
AP-5647 Order
AP-5437 Order
AP-5404 Order
AP-5247 Order Ratifying Administrative Law Judges' Assignments
33-10398
  • 34-81317
  • IA-4738
  • IC-32775
 Order Cancelling Oral Argument
33-10383
  • 34-81066
  • IA-4723
  • IC-32720
 Order Scheduling Oral Argument
33-9892
  • 34-75708
  • IA-4173
  • IC-31763
 Extension Order
33-9875
  • 34-75590
  • IA-4153
  • IC-31736
 Order Granting in Part and Deferring in Part Motion to Adduce Additional Evidence and Requesting Additional Briefing
33-9863
  • 34-75371
  • IA-4137
  • IC-31707
 Extension Order
33-9734
  • 34-74419
  • IA-4038
  • IC-31497
 Extension Order
33-9728
  • 34-74345
  • IA-4029
  • IC-31462
 Order Denying Motion to Stay Administrative Proceeding
33-9718
  • 34-74181
  • IA-4011
  • IC-31439
 Extension Order
33-9703
  • 34-74100
  • IA-4002
  • IC-31423
 Order Directing Additional Submission
33-9688 Order Granting Review and Scheduling Briefs
693 Initial Decision as to John Thomas Capital Management Group LLC, d/b/a Patriot28 LLC, and George R. Jarkesy, Jr
33-9664
  • 34-73375
  • IA-3951
  • IC-31289
 Order Denying Interlocutory Review with Respect to Respondents' Motion for Order Directing Alternative Procedure for Filing, Service and Publication of Initial Decision
AP-1877 Order
33-9631
  • 34-72841
  • IA-3897
  • IC-31211
 Order Extending Deadline for Filing Initial Decision
AP-1421 Order
AP-1401 Order
AP-1372 Order
AP-1332 Order
AP-1309 Motion Requesting Extension of Time to File Initial Decision
AP-1285 Order
AP-1242 Order
33-9519
  • 34-71415
  • IA-3764
  • IC-30894
 Order Denying Petition for Interlocutory Review
AP-1170 Order Denying Certification for Interlocutory Review
AP-1148 Order
33-9507
  • 34-71204
  • IA-3749
  • IC-30851
 Order Extending Deadline for Filing Initial Decision
33-9492
  • 34-71021
  • IA-3733
  • IC-30820
 Order Denying Petition for Interlocutory Review
34-70989
  • IA-3732
  • IC-30818
 Order Making Findings, Imposing Remedial Sanctions and a Cease-And-Desist Order, Pursuant to Sections 21C, 15(b)(4) and 15(b)(6) of the Securities Exchange Act of 1934, Section 203(k) of the Investment Advisers Act of 1940, and Section 9(b) of\
the Investment Company Act of 1940 as to John Thomas Financial, Inc. and Anastasios "Tommy" Belesis
AP-1040 Order
33-9479
  • 34-70891
  • IA-3717
  • IC-30788
 33-9479.pdf
33-9478
  • 34-70869
  • IA-3716
  • IC-30784
 Order Granting Interim Stay
AP-1035 Order
34-70841 Order Directing Additional Briefing on Petition for Interlocutory Review
AP-998 Order
AP-992 Order
AP-964 Order
AP-862 Order
AP-857 Order
AP-826 Order
33-9396
  • 34-69208
  • IA-3571
  • IC-30435
 ORDER INSTITUTING ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS PURSUANT TO SECTION 8A OF THE SECURITIES ACT OF 1933, SECTIONS 15(b)(4), 15(b)(6) AND 21C OF THE SECURITIES EXCHANGE ACT OF 1934, SECTIONS 203(e), 203(f), AND 203(k) OF THE IN\
VESTMENT ADVISERS ACT OF 1940 AND SECTION 9(b) OF THE INVESTMENT COMPANY ACT OF 1940 AND NOTICE OF HEARING
Release Date Release Number Other Release Numbers Name of Document
Resps John Thomas Financial and Belesis' Answer and Affirmative Defenses
Answer and Affirmative Defenses of Respondents John Thomas Capital Management LLC d/b/a Patriot28 LLC and George R. Jarkesy, Jr
Expert Reports
Letter Dated 10/10/13 from Division to Alj Foelak Indicating Proposed Settlement with Respondents John Thomas Financial, Inc. and Anastasios "Tommy" Belesis and Making Request for Stay of 11/12/13 Scheduled Hearing
Respondent's John Thomas Capital Mgmt, LLC d/b/a Patriot28 LLC's & George R. Jarkesy's Trial Brief
Transcript of Telephonic Prehearing Conference Held On 10/24/13; pp 1-17
Letter Dated 10/29/13 from Division Atty Todd Brady, NYRO-SEC Re Submission of Filings of Pre-Hearing Memorandum, Division's Exhibit List, and Division's Witness List
Division's Supplemental Memorandum in Opposition to Respondent Jaresky's & John Thomas Capital Management LLC's Petition for Interlocutory Review, with Exhibits A-C
Division's Post-Hearing Memorandum of Law
Repondents' Post-Hearing Memorandum of Law
Division's Post-Hearing Reply Memorandum of Law Pursuant to Rule of Practice 340
Respondent's George R. Jarekesy, Jr. and Patriot28, LLC's Petition for Review of Initial Decision
Division's Cross Petition for Review of Initial Decision No. 693
Motion to Adduce Additional Evidence Rule 452.
Motion for Recusal of the Commission and Dismissal of Administrative Proceeding.
Motion to Stay Administrative Proceeding.
Respondents' Opening Brief, with Attached Exhibit A
Emergency Motion for Clarification Regarding Order Directing Additional Submission And, in the Alternative, Motion for Authority to Exceed 16,000 Word Limit and for Additional Time.
Division's Response to Respondents' Motion for Clarification.
Respondents' Additional Submission.
Division's Motion for Additional Words to Respond to Respondents Four Briefs and Supplemental Submission.
Division's Opposition to Respondents' Motion to Adduce Additional Evidence and Conduct Further Discovery
Division's Response to Briefing Order On Appointments Clause Claim
Respondents' Brief as Requested by 8/3/15 Commission Order Requesting Additional Briefing
Respondents' Submission in Response to Commission's November 30, 2017 Order
Asserting Ratification of a Prior Appointment of Administrative Law Judges, w/Exs. 1-3
Letter dated 1/5/18 to ALJ from Division requesting ratification of previous decisions, with proposed Order
Division's Brief in Opposition to Respondents' January 5, 2018 Submission Opposing
Ratification, with Exhibits A-C
Respondents' Response to Administrative Proceedings Order Dated 3/14/18, w/Ex. 1
Respondents' Objections to Administrative Proceeding
The Division's Response to Respondents' Objections with exhibits A - D
Division's Response to Respondents' Motion to Stay Second Administrative
Hearing
Division's Response to Respondents' Motion to Vacate Remand for Commission
Adjudication of Petitions for Review and for the Issuance of a Final Order.
Respondents' Reply to Division's Response to Objections to Administrative
Proceeding, w/Exs. A-B
Respondents' Unopposed Motion to Vacate Remand, for Commission Adjudication of
Petitions for Review, and for the Issuance of a Final Order, with Exhibit A
Respondents' Submission in Response to Commission's February 21, 2019 Order
Regarding Further Proceedings.
Division's Memorandum of Law in Opposition to Respondents' March 7, 2019
Submission, with Exhibits A-C
Motion to Stay Enforcement of Commission Order Pending Judicial Review (Unopposed Expedited Motion to Stay Collection of Monetary Remedies Pending Appeal)
Initial Decision as to John Thomas Capital Management Group LLC, d/b/a Patriot28 LLC, and George R. Jarkesy, Jr
ORDER INSTITUTING ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS PURSUANT TO SECTION 8A OF THE SECURITIES ACT OF 1933, SECTIONS 15(b)(4), 15(b)(6) AND 21C OF THE SECURITIES EXCHANGE ACT OF 1934, SECTIONS 203(e), 203(f), AND 203(k) OF THE IN\
VESTMENT ADVISERS ACT OF 1940 AND SECTION 9(b) OF THE INVESTMENT COMPANY ACT OF 1940 AND NOTICE OF HEARING
Opinion of the Commission
Order Making Findings, Imposing Remedial Sanctions and a Cease-And-Desist Order, Pursuant to Sections 21C, 15(b)(4) and 15(b)(6) of the Securities Exchange Act of 1934, Section 203(k) of the Investment Advisers Act of 1940, and Section 9(b) of\
the Investment Company Act of 1940 as to John Thomas Financial, Inc. and Anastasios "Tommy" Belesis
Extension Order
Extension Order
Extension Order
Extension Order
Order Ratifying Administrative Law Judges' Assignments
Order Ratifying Administrative Law Judges' Assignments
Order
Order
Order
Order
Order
Order
Order
Order
Order
Order Denying Certification for Interlocutory Review
Order
Order
Motion Requesting Extension of Time to File Initial Decision
Order
Order
Order
Order
Order
Order
Order
Order
Notice
Notice
Notice from the Chief Administrative Law Judge
Chief Administrative Law Judge's Order Assigning Proceedings Post Lucia v. SEC
Order Following Reassignment
Order Scheduling Prehearing Conference
Scheduling Order
Order On Transcript Corrections
Stay Order
Order Scheduling Oral Argument
Order Cancelling Oral Argument
Order Regarding Further Proceedings
Order Extending Time to Issue Decision
Order Extending Time to Issue Decision
Order Extending Time to Issue Decision
Order Extending Time to Issue Decision
Order Extending Time to Issue Decision
Order Extending Time to Issue Decision
Order Extending Time to Issue Decision
Partial Stay Order
Order Granting Interim Stay
33-9479.pdf
Order Denying Petition for Interlocutory Review
Order Extending Deadline for Filing Initial Decision
Order Denying Petition for Interlocutory Review
Order Extending Deadline for Filing Initial Decision
Order Denying Interlocutory Review with Respect to Respondents' Motion for Order Directing Alternative Procedure for Filing, Service and Publication of Initial Decision
Order Granting Review and Scheduling Briefs
Order Directing Additional Submission
Order Denying Motion to Stay Administrative Proceeding
Order Granting in Part and Deferring in Part Motion to Adduce Additional Evidence and Requesting Additional Briefing
Order Directing Additional Briefing on Petition for Interlocutory Review

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