Administrative Proceeding File No. 3-15446

Respondents

J.S. Oliver Capital Management, L.P. Mausner, Ian O. Drennan, Douglas F.
Release Date Release Number Other Release Numbers Name of Document
33-10639
  • 34-85880
  • IA-5236
  • IC-33476
 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(e), 203(f), and 203(k) of the Investment Advise\
rs Act of 1940, and Section 9(b) of the Investment Company Act of 1940
AP-6544 Stay Order
AP-6506 Order Redesignating Presiding Judge
AP-6495 Order Extending Prehearing Schedule and Rescheduling Hearing
AP-6443 Order Designating Settlement Judge
AP-6420 Order Denying Respondents' Rule 250(c) Motion
AP-6389 Order Extending Time to File Rule 250(c) Motion
AP-6256 Order Setting Prehearing Schedule and General Prehearing Order
AP-6198 Order Scheduling Prehearing Conference
AP-6080 Order Following Reassignment
AP-6079 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
33-10121
  • 34-78575
  • IA-4486
  • IC-32216
 Partial Stay Order
33-10100
  • 34-78098
  • IA-4431
  • IC-32152
 Opinion of the Commission
33-10049
  • 34-77263
  • IA-4347
  • IC-32016
 Order Rescheduling Oral Argument
33-10008
  • 34-76976
  • IA-4322
  • IC-31972
 Order Scheduling Oral Argument
33-9975
  • 34-76325
  • IA-4250
  • IC-31888
 Order Granting Motion to Submit Supplemental Briefing
34-73312 Order Granting Petition for Review and Scheduling Briefs
649 Initial Decison
33-9609
  • 34-72527
  • IA-3870
  • IC-31147
 Order Granting Extension
AP-1475 Motion for Extension
AP-1348 Order On Motion
AP-1331 Order on Transcript Corrections
AP-1245 Order Denying Respondents' Motions
AP-1194 Order Rejecting E-Mail Communications and Requiring Filings with the Secretary
AP-1189 Order On Third-Party Motion for Reconsideration or Certification for Interlocutory Review
AP-1146 Denial of Request for Postponement of Hearing
AP-1134 Order On Third-Party Motion for a Protective Order and Respondent Douglas F. Drennan's Request for a Subpoena Duces Tecum
AP-1125 Order On Subpoenas
AP-1099 Order and Notice to Parties
AP-1089 Order Denying Request for a Second Prehearing Conference
AP-942 Order Following Prehearing Conference
AP-938 Order Granting Protective Order
AP-905 Order Postponing Hearing and Scheduling Prehearing Conference
AP-827 Order Scheduling Hearing and Designating Presiding Judge
33-9446
  • 34-70292
  • IA-3658
  • IC-30682
 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, an\
d 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 Mausner's Answer
Respondent Drennan's Answer
Division's Prehearing Brief
Respondent Drennan's Prehearing Brief, with Exhibits A-E
Respondents' Mausner and J.S. Oliver Capital Management, L.P.'s Prehearing Brief, Without Exhibits A-Q
Declaration of David J. Van Havermaat, with Exhibit 1
Division's Initial Post Hearing Brief
Respondent Drennan's Post Hearing Brief
Respondents J.S. Oliver Capital Management and Lan Mausner's Post Hearing Brief
Division's Post Hearing Reply Brief
Respondents J.S. Oliver Capital Management, L.P. and Lan I. Mausner's Petition for Review of Initial Decision
Respondents J.S. Oliver Capital Management, L.P. and Mausner Motion for Oral Argument
Respondents J.S. Oliver Capital Management, L.P. and Lan 0. Mausner's Brief in Support of Petition for Review
Division's Memorandum of Points and Authorities in Opposition to Petition for Review of Respondents J.S. Oliver Capital Management, L.P. and Lan 0. Mausner
Respondents J.S. Oliver Capital Management, L.P. and Lan 0. Mausner's Reply Brief in Support of Petition for Review
Respondents J.S. Oliver Capital management, LP's and Ian 0. Mausner's Supplemental Brief on the Appointments Clause
Division's Supplemental Brief On the Appointments Clause
Respondents J.S. Oliver Capital Mgmt., LP and Ian 0. Mausner's Reply Brief in Support of Supplemental Brief on the Appointments Clause
Amended Answer and Affirmative Defenses of Respondents J.S. Oliver Capital
Management, L.P. and Ian 0. Mausner
Motion of Respondents J.S. Oliver Capital Management, L.P. and Ian 0. Mausner for
a Ruling on the Pleadings and, in the Alternative, for Summary Disposition, and
Memorandum in Support
Initial Decison
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, an\
d Section 9(b) of the Investment Company Act of 1940 and Notice of Hearing
Notice That Initial Decision Has Become Final
Order Rescheduling Oral Argument
Order Scheduling Oral Argument
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(e), 203(f), and 203(k) of the Investment Advise\
rs Act of 1940, and Section 9(b) of the Investment Company Act of 1940
Order Scheduling Hearing and Designating Presiding Judge
Order Postponing Hearing and Scheduling Prehearing Conference
Order Granting Protective Order
Order Following Prehearing Conference
Order Denying Request for a Second Prehearing Conference
Order and Notice to Parties
Order On Subpoenas
Order On Third-Party Motion for a Protective Order and Respondent Douglas F. Drennan's Request for a Subpoena Duces Tecum
Denial of Request for Postponement of Hearing
Order On Third-Party Motion for Reconsideration or Certification for Interlocutory Review
Order Rejecting E-Mail Communications and Requiring Filings with the Secretary
Order Denying Respondents' Motions
Order on Transcript Corrections
Order On Motion
Motion for Extension
Notice from the Chief Administrative Law Judge
Chief Administrative Law Judge's Order Assigning Proceedings Post Lucia v. SEC
Order Following Reassignment
Order Following Reassignment
Order Scheduling Prehearing Conference
Order Setting Prehearing Schedule and General Prehearing Order
Order Extending Time to File Rule 250(c) Motion
Order Denying Respondents' Rule 250(c) Motion
Order Designating Settlement Judge
Order Extending Prehearing Schedule and Rescheduling Hearing
Order Redesignating Presiding Judge
Stay Order
Opinion of the Commission
Partial Stay Order
Order Granting Extension
Order Granting Motion to Submit Supplemental Briefing
Order Granting Petition for Review and Scheduling Briefs

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