Administrative Proceeding File No. 3-15514

Respondents

Anthony, Donald J., Jr. Chiappone, Frank H. Feldman, Richard D. Gamello, William P. Guzzetti, Andrew G. Lex, William F. Livingston, Thomas E. Mayer, Brian T. Rabinovich, Philip S. Rogers, Ryan C.
Release Date Release Number Other Release Numbers Name of Document
33-10595
  • 34-84913
 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
AP-6339 Stay Order
AP-6123 Order
AP-5955 Chief Administrative Law Judge's Order Assigning Proceedings Post Lucia v. SEC
AP-5954 Notice from the Chief Administrative Law Judge
33-10502
  • 34-83353
  • IA-4918
  • IC-33111
 Order Granting Requests to File Supplemental Response Brief of 6,000 Words and to File Reply Briefs to Supplemental Response Brief
33-10483
  • 34-83076
  • IA-4891
  • IC-33073
 Supplemental Briefing Order
AP-5665 Order Revising and Ratifying Prior Actions
AP-5609 Order Extending Date for Determination
AP-5431 Order Granting Motion for Extension
AP-5395 Order Regarding the Securities and Exchange Commission's Order On Pending Administrative Proceedings
33-10382
  • 34-81059
  • IC-32719
 Order Scheduling Oral Argument
33-10078
  • 34-77803
  • IC-32112
 Order Denying Request to Reduce Agreed Disgorgement Amount
33-10048
  • 34-77249
  • IC-32008
 Order Scheduling Briefs
33-9923
  • 34-75960
  • IA-4205
  • IC-31836
 Order Granting Extension
33-9870
  • 34-75543
  • IA-4148
  • IC-31727
 Order Granting Extensions and Clarifying Prior Orders
33-9805
  • 34-75114
  • IA-4104
  • IC-31662
 Extension and Word Limit Order
33-9790
  • 34-75027
  • IC-31644
 Order Granting Petitions for Review and Scheduling Briefs
AP-2528 Order On Motions to Correct Manifest Errors of Fact in the Initial Decision
AP-2457 Order On Post Initial Decision Motions
AP-2398 Order On Extension
745 Initial Decision
33-9710
  • 34-74139
  • IA-4007
  • IC-31429
 Order Granting Second Motion for Extension
AP-2155 Order On Exhibits
AP-2131 Motion for Second Extension
33-9628
  • 34-72788
  • IA-3890
  • IC-31200
 Order Granting Extension
AP-1615 Motion to Commission for Extension
AP-1403 Order Extending Briefing Dates
AP-1361 Order Extending Briefing Dates
33-9571
  • 34-71864
  • IC-31005
 Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Section 8a of the Securities Act of 1933, Sections 15(b) and 21C of the Securities Exchange Act of 1934 and Section 9(b) of the Investment Company Act of 1940 as to Richard D. Feldmann
AP-1311 Order Admitting Exhibits Offered by the Division of Enforcement
AP-1171 Order On Several Motions
AP-1156 Order
AP-1145 Order Modifying Procedural Schedule
AP-1098 Order On Motions for a More Definite Statement
AP-1081 Order Finding Donald J. Anthony, Jr., in Default, Providing Hearing Location, and Setting Prehearing Conference for Parties Requesting a Settlement Conference
AP-1064 Order Redesignating Presiding Judge
AP-1063 Order Canceling Settlement Conferences
AP-1053 Scheduling Order
AP-1036 Order
AP-1007 General Prehearing Order
AP-1003 Order Setting Prehearing Schedule
AP-951 Order Converting Scheduled Hearing to Prehearing Conference and Extending Time to Answer Order Instituting Proceedings
AP-901 Order Scheduling Hearing and Designating Presiding Judge
33-9454
  • 34-70473
  • IA-3674
  • IC-30694
 Order Instituting Administrative and Cease-And-Desist Proceedings Pursuant to Section 8a of the Securities Act of 1933, Sections 15(b) and 21C of the Securities Exchange Act of 1934, Section 203(f) of the Investment 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
Respondent Feldman's Answer
Respondent Guzzetti's Answer
Respondent Chiappone's Answer and Affirmative Defenses
Respondent Rogers' Answer
Respondent Mayer's Answer
Respondent Rabinovich's Answer
Respondent Lex's Answer and Affirmative Defenses
Respondent Gamello's Answer and Affirmative Defenses
Respondent Lex's Motion for Leave to File Motion for Summary Disposition
Respondents Rabinovich, Mayer and Rogers Joinder in Respondent Lex's Motion for Leave to File Motion for Summary Disposition
Respondent Chiappone's Joinder in the Motion of Respondent Lex for Leave to File Motion for Summary Disposition
Respondent Chiappone's Prehearing Brief
Respondent Livingston's Prehearing Brief
Division's Prehearing Brief
Respondents Rabinovich, Mayer and Rogers' Joint Prehearing Brief
Respondent Lex's Prehearing Brief
Respondent Guzzetti's Prehearing Brief
Respondent Andrew G. Guzzetti's Motion for Leave to File Summary Disposition Motion
Division's Post Hearing Brief
Respondents Rabinovich, Mayer, and Rogers' Joint Post Hearing Brief
Respondent Lex's Proposed Findings of Fact and Conclusions of Law
Respondent Gamello's Post Hearing Brief
Respondent Chiappone's Proposed Findings of Fact and Conclusions of Law
Respondent Livingston's Proposed Findings of Fact and Conclusions of Law
Respondent Guzzetti's Proposed Findings of Fact and Conclusions of Law
Ltr of 5/15 to CALJ Murray from Counsel for Resp Guzzetti as Supp to Post Hearing Brief to Join Ltr Arg by Counsel for Resps Livingston, Lex, Rabinovich, Rogers& Mayer That Maintains 28 U.S.C. 2462 Barred Proceeding & There Is No Subject Matter Jurisd
Letter of 5/15 to CALJ from Counsel for Resp Chiappone as Supp to Posthrg Brief; Ltr Claims 5/12 Final Order of Dism Requires Dism of Proceeding W/Prejudice as Barred Under 28 U.S.C. 2462 for Lack of Subject Matter Jurisd
Letter of 5/14/14 to CALJ Murray from Counsel for Respondent Lex Alerting Her to a New Decision, SEC V. Barry J Graham, et al., from the U.S.D.C. for the S.D. of Fla.and Stating This Proceeding Should Be Dismissed in Its Entirety
Divison's Post-Hearing Reply Brief
Respondent Chiappone's Notice of Motions to Correct Manifest Error of Fact and to Submit Additional Evidence
Respondent Chiappone's Affidavit Supporting Motion to Correct Manifest Error of Fact and to Submit Additional Evidence
Roland M. Cavalier's Affidavit Supporting Motion to Correct Manifest Error of Fact and to Submit Additional Evidence
Respondents Rabinovich and Mayer's Motion to Correct Manifest Error of Fact to Correct the Initial Decision
Respondent Livingston's Motion to Correct Manifest Error of Fact to Correct the Initial Decision
Respondent Lex's Motion to Correct Manifest Error of Fact to Correct the Initial Decision
Letter of 3/9/15 to CALJ Murray from Division Requesting a Brief Extension of Time to Respond to the Several Motions for to Correct Manifest Error of Facts
Division's Memorandum of Law in Opposition to Respondents' Motions to Correct the Initial Decision
Respondent Guzzetti's Motion to Extend Time to File Motion to Correct Manifest Error of Fact to Correct the Initial Decision and Motion to Correct the Initial Decision
Letter of 3/23/15 to CALJ Murray from Division Opposing Respondent Guzzetti's Request for Additional Time to File His Motion to Correct the Id & If It Is Accepted Requests a Briefing Schedule That Permits the Div 5 Business Days to Respond
Respondent Livingston's Reply in Support of Manifest Errors of Fact
Respondent Lex's Reply in Support of Manifest Errors of Fact
Respondent Chiappone's Reply Brief in Support of Motion to Correct Manifest Errors of Fact
Respondents Rabinovich and Mayer's Reply Memorandum in Further Support of Their Motion to Correct Manifest Error of Fact to Correct the Initial Decision
Division's Response to Respondent Guzzetti's Motion to Correct a Manifest Error of Fact of the Initial Decision
Respondent Guzzetti's Reply in Support of His Motion to Correct a Manifest Error of Fact of the Initial Decision
Respondent Livingston's Brief in Support of Petition for Review
Respondent Livingston's Motion for Oral Argument
Respondent Rabinovich's Brief in Support of Petition for Review
Division's Brief in Response to Respondents' Joint Brief
Division's Brief in Response to Respondents' Individual Briefs
Respondent Frank H. Chiappone's Motion for Oral Argument
Respondent Guzzetti's Brief in Support of Petition for Review
Respondent Guzzetti's Motion For Oral Argument
Respondents Chiappone, Guzzetti, Lex, Livingston, Mayer and Rabinovich's Joint Brief Addressing Certain Legal Issues in Accordance with the Commission's Order
Respondent Mayer's Brief in Support of Petition for Review
Respondents Rabinovich and Mayer's Motion for Oral Argument
Respondent Chiappone's Motion for Oral Argument
Respondent Lex's Brief in Support of Petition for Review
Respondent Lex's Motion for Oral Argument
Respondent Livingston's Individual Reply Brief
Respondent Lex's Individual Reply Brief
Respondents' Joint Reply Brief Addressing Certain Legal Issues in Accordance with the Commission's Order
Respondent Chiappone's Individual Reply Brief in Accordance with the Commission's Order
Respondent Rabinovich's Individual Reply Brief
Respondent Mayer's Individual Reply Brief
Respondent Chiappone's Individual Brief with Attachments, Affidavits and Financial Disclosure
Respondent Guzzetti's Individual Reply Brief
Letter dated 2/10/16 to OS & Division Counsel re Request that the Commission Exercise its Authority to Adjust the Disgorgement Amount and Any Corresponding PJI That is a Part of the Commission's 4/3/14 Order Against Him
Letter Dated 07/10/2017 from Respondent Rabinovich and Mayer's Counsel Regarding
Recent Legal Developments Affecting The Initial Decision
Letter Dated 7/17/17 re Recent Legal Developments Affecting the Initial Decision
Letter Dated 8/7/17 from Division to Secretary Fields in Response to Letters Dated 7/10/17 and 7/10/17 Respondents Chiappone, Rabinovich and Mayer's Counsels
Letter Dated 8/9/17 from Counsel for Rabinovich and Mayer to Secretary Fields in Response to Division of Enforcement's Letter
Letter Dated 8/10/17 from Counsel for Chiappone to Secretary Fields in Response to Division's 8/7/17 Letter
Letter Dated 1/19/18 from Counsel for Respondent Livingston Re Objections to 11/30/17 ALJ Ratification Order
Letter Dated 1/18/18 from Counsel for Respondent Chiappone in Response to Order Regarding Appointment of ALJs
Letter Dated 1/18/18 from Counsel for Respondents Rabinovich and Mayer in Response to Order Regarding Appointment of ALJs
Letter Dated 1/19/18 to CALJ Murray from Counsel for Andrew Guzzetti (Michael D.
Handelsman) re Andrew Guzzetti's Brief on Remand
Letter Dated 1/19/18 from the Division to CALJ Murray Requesting Ratification of All
Previous Decisions Including the ID in this Proceeding, with Proposed Order
previous decisions including the ID in this proceeding, with proposed Order.
Letter dated 1 /30/18 from the Division to CALJ Murray stating the Commission's
ratification and remand order is valid and has effectively remedied Responsents'
alledge injury
Clarification letter dated 2/13/18 from counsel for Rabinovich and Mayer to raise arguments to the Division's January 30 letter
Clarification letter dated 2/13/18 from Roland Cavalier counsel to Frank Chiappone
states the 2/13/18 letter sent by William Munno Esq., obtain some equal relevant
applications for his client as well.
Respondent Chiappone's Petition for Review
Respondent Thomas Livingston's Petition for Review of Initial Decision as Amended by the March 30, 2018 Order Revising and Ratifying Prior Action
Respondent Thomas Livingston's Supplemental Brief to the Commission
Respondent William F. Lex's Brief in Support of Petition for Review of Initial Decision
as Amended by the March 30, 2018 Order Revising and Ratifying Prior Actions
Andrew G. Guzzetti's Supplemental Brief Regarding the Law Judge's Order Revising
and Ratifying Prior Actions
Division's Supplemental Brief
Division's Supplemental Reply Brief
Commission of the Initial Decision ALJ and with Chiappone's individual Sur-Reply
Brief
Individual Amended Sur-Reply Brief to The Commissioners of The SEC, on Behalf of
Respondent Frank Chiappone, In Accordance with the Commission's Order
Andrew Guzzetti's Supplemental Reply Brief Regarding the Law Judge's Order
Revising and Ratifying Prior Actions
Respondent William Lex's Sur Reply to Division of Enforcement's Supplemental
Reply Brief
Philip Rabinovich's and Brian Mayer's Supplemental Reply Brief Regarding the Law
Judge's 2018 Decision
Ltr. dated 6/21 /18 fr. Rabinovich and Mayer's regarding the impact of the Supreme Ct. decision in Lucia
Ltr. dated 6/22/18 fr. Chiappone's counsel regarding the impact of the Supreme Ct
decision in Lucia with attach A
Letter dated 6/21/18 from Matthew G. Nielsen (counsel for Thomas Livingston) re
joining the letter brief filed by Rabinovich counsel on 6/21 /18 re the Lucia S. Ct.
decision
Letter dated 6/22/18 from Gilbert B. Abramson (counsel for William F. Lex) advocating dismissal of the Chiappone proceeding in light of the Lucia S. Ct. decision
Letter dated 6/27/18 from Michael D. Handelsman (counsel for Andrew Guzzetti) advocating dissmissal of the Chiappone proceeding in light of the Lucia S. Ct. decision
Respondents Rabinovich's and Mayer's Respective Petitions for Review of the Initial
Decision as Amended by the Order Revising and Ratifying Prior Actions
Philip S. Rabinovich's Supplemental Brief Regarding the Law Judge's 2018 Decision
Brian T. Mayer's Supplemental Brief Regarding the Law Judge's 2018 Decision
Initial Decision
Order Instituting Administrative and Cease-And-Desist Proceedings Pursuant to Section 8a of the Securities Act of 1933, Sections 15(b) and 21C of the Securities Exchange Act of 1934, Section 203(f) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940 and Notice of Hearing
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, Sections 15(b) and 21C of the Securities Exchange Act of 1934 and Section 9(b) of the Investment Company Act of 1940 as to Richard D. Feldmann
Order Granting Extensions and Clarifying Prior Orders
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
Order Scheduling Hearing and Designating Presiding Judge
Order Converting Scheduled Hearing to Prehearing Conference and Extending Time to Answer Order Instituting Proceedings
Order Setting Prehearing Schedule
General Prehearing Order
Order
Scheduling Order
Order Canceling Settlement Conferences
Order Redesignating Presiding Judge
Order Finding Donald J. Anthony, Jr., in Default, Providing Hearing Location, and Setting Prehearing Conference for Parties Requesting a Settlement Conference
Order On Motions for a More Definite Statement
Order Modifying Procedural Schedule
Order
Order On Several Motions
Order Admitting Exhibits Offered by the Division of Enforcement
Order Extending Briefing Dates
Order Extending Briefing Dates
Motion to Commission for Extension
Motion for Second Extension
Order On Exhibits
Order On Extension
Order On Post Initial Decision Motions
Order On Motions to Correct Manifest Errors of Fact in the Initial Decision
Order Regarding the Securities and Exchange Commission's Order On Pending Administrative Proceedings
Order Granting Motion for Extension
Order Extending Date for Determination
Order Revising and Ratifying Prior Actions
Notice from the Chief Administrative Law Judge
Chief Administrative Law Judge's Order Assigning Proceedings Post Lucia v. SEC
Order
Stay Order
Order Scheduling Briefs
Order Denying Request to Reduce Agreed Disgorgement Amount
Order Scheduling Oral Argument
Supplemental Briefing Order
Order Granting Requests to File Supplemental Response Brief of 6,000 Words and to File Reply Briefs to Supplemental Response Brief
Order Granting Extension
Order Granting Second Motion for Extension
Order Granting Petitions for Review and Scheduling Briefs
Extension and Word Limit Order
Order Granting Extension

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