Administrative Proceeding File No. 3-15790

Respondents

Horowitz, Michael A. Cohen, Moshe Marc
Release Date Release Number Other Release Numbers Name of Document
33-10661
  • 34-86318
  • IC-33545
  • IA-5290
 Order Vacating Investment Adviser, Municipal Securities Dealer, and Transfer Agent Bars
33-10205
  • 34-78797
 Opinion of the Commission; Order Imposing Remedial Sanctions
33-9912
  • 34-75922
  • IA-4194
  • IC-31824
 Order Requesting Additional Submissions
34-74557 Order Granting Petitions for Review and Scheduling Briefs
AP-2297 Order Denying Motion to Correct Manifest Error of Fact in the Initial Decision
AP-2232 Order Granting Request for Additional Time to File Opposition
733 Initial Decision
AP-1769 Order Following Hearing
AP-1696 Notice
AP-1676 Order On Subpoenas
33-9620
  • 34-72729
  • IA-3884
  • IC-31195
 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, Section 203(f) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940 as to Michael A. Horowitz
AP-1601 Notice of Hearing Location
AP-1589 Order Following Prehearing Conference
AP-1583 Order Setting Prehearing Conference
AP-1578 Order Staying Proceedings as to Michael A. Horowitz
AP-1459 Notice of Hearing Location
AP-1340 Order Following Prehearing Conference
AP-1323 Order Postponing Hearing and Scheduling Prehearing Conference
AP-1305 Order Scheduling Hearing and Designating Presiding Judge
33-9559
  • 34-71715
  • IA-3794
  • IC-30981
 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 Cohen's Answer
Respondent Horowitz's Answer
Respondent Cohen's Motion for Summary Disposition
Respondent Cohen's Motion for Leave to File a Motion for Summary Disposition as to 17(a)(1) of the Securities Act of 1933 Alleged Violations in the OIP
Div's Prehearing Brief
Respondent Cohen's Motion for Leave to File a Motion for Summary Disposition as to Alleged Aided and Abetted 17(a) and 17A-3(a)(6) of the Exchange Act in the OIP
Respondent Cohen's Motion for Leave to File a Motion for Summary Disposition as to "Immateriality" of "Investment Access" Under the 2008 Suitability Requirements
Respondent Cohen's Prehearing Brief
Respondent Cohen's Motion of Summary Disposition of Aided and Abetted 17(a) & 17A-3(a)(6) of the Exchange Act in the OIP
Respondent Cohen's Motion of Summary Disposition as to 17(a)(1) of the Securities Act of 1933 Alleged Violations in the OIP
Respondent Cohen's Motion of Summary Disposition as to 10B-5(a) and 10B-5(c) Alleged Violations in the OIP
Division's Post Hearing Brief Against Respondent Cohen
Respondent Cohen's Post Hearing Brief, with Exhibit A
Division's Posthearing Reply Brief in Support of Its Case Against Respondent Mosche Marc Cohen
Respondent Cohen's Sur-Reply to Division's Reply of Respondent's Post Hearing Brief
Division's Post Hearing Exhibit List
Division's Motion to Correct Manifest Error of Fact in the Initial Decision
Division's Reply to Respondent Cohen's Opposition to Correct Manifest Error of Fact in the Initial Decision
Respondent Cohen's Opposition to Division's Motion to Correct Manifest Error of Fact in the Initial Decision
Division's Petition for Review of Initial Decision and Motion to Submit Additional Evidence, W Ith Declaration of James Lee Buck, II Attached, with Exhibits 1-3.
Respondent Cohen's Petition for Review of Initial Decision.
Respondent Cohen's Brief in Support of Petition for Review
Division's Opposition to Respondent Cohen's Brief in Support of Petition for Review and Brief in Further Support of Division's Request for Additional Remedies
Respondent Moshe Marc Cohen's Reply Brief
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
Opinion of the Commission; Order Imposing Remedial Sanctions
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, Section 203(f) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940 as to Michael A. Horowitz
Order Scheduling Hearing and Designating Presiding Judge
Order Postponing Hearing and Scheduling Prehearing Conference
Order Following Prehearing Conference
Notice of Hearing Location
Order Staying Proceedings as to Michael A. Horowitz
Order Setting Prehearing Conference
Order Following Prehearing Conference
Notice of Hearing Location
Order On Subpoenas
Notice
Order Following Hearing
Order Granting Request for Additional Time to File Opposition
Order Denying Motion to Correct Manifest Error of Fact in the Initial Decision
Order Vacating Investment Adviser, Municipal Securities Dealer, and Transfer Agent Bars
Order Requesting Additional Submissions
Order Granting Petitions for Review and Scheduling Briefs

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