Administrative Proceeding File No. 3-15873

Respondents

Delaney, Thomas R. II Yancey, Charles W.
Release Date Release Number Other Release Numbers Name of Document
976 Initial Decision On Eaja Application
AP-2961 Order Following Oral Argument
AP-2855 Order
AP-2843 Order Scheduling Oral Argument
AP-2772 Order On Equal Access to Justice Act Proceedings
AP-2763 Order Designating Presiding Judge
755 Initial Decision
AP-2264 Order
AP-2254 Order
AP-2220 Order
AP-2143 Order On Stipulations and Transcript Corrections
AP-2011 Post-Hearing Order
AP-1953 Order Granting Protective Order
AP-1885 Order Granting Protective Order
AP-1830 Order Redesignating Presiding Judge
AP-1828 Order Following Second Prehearing Conference
AP-1803 Order On Prehearing Conference to Consider Subpoenas Duces Tecum
AP-1784 Order On in Camera Materials and Joint Motion and Notice of Hearing Location
AP-1671 Order On Motion for Clarification
AP-1652 Order On Motions
AP-1563 Procedural Schedule Order
AP-1557 Order On Motions
AP-1502 Order Postponing Hearing and Scheduling Prehearing Conference
AP-1444 Order Scheduling Hearing and Designating Presiding Judge
34-72185
  • IC-31048
 Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934, 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 Charles W. Yancey's Answer and Affirmative Defenses
Respondent Delaney II's Answer to Order Instituting Proceedings
Amended Prehearing Brief of Respondent Charles W. Yancey
First Amended Prehearing Brief of Respondent Thomas R. Delaney II
Division's Post Hearing Conclusions of Law and Findings of Fact
Division's Post Hearing Brief in Support of Its Findings of Fact and Conclusions of Law
Post-Hearing Brief of Respondent Thomas R. Delaney II with Findings of Fact, and Conclusions of Law
Respondent Charles W. Yancey's Post-Hearing Brief, Proposed Findings of Fact and Timeline, and Proposed Conclusions of Law
Division's Supplemental Findings of Fact
Division's Reply to Respondent Delaney's Post-Hearing Brief
Division's Reply to Respondent Yancey's Post-Hearing Brief
Respondent Charles W, Yancey's Responsive Post-Hearing Brief
Respondent Charles W, Yancey's Response to Division's Post Hearing Proposed Findings of Fact
Respondent Charles W, Yancey's Response to Division's Post Hearing Proposed Conclusions of Law
Respondent Charles W, Yancey's Response to Respondent Delaney's Post Hearing Proposed Findings of Fact
Respondent Charles W, Yancey's Response to Respondent Delaney's Post Hearing Proposed Conclusions of Law
Respondent Thomas R. Delaney II's Responsive Post-Hearing Brief
Respondent Thomas R. Delaney II's Reply to Respondent Charles W, Yancey's Findings of Fact and Conclusions of Law
Respondent Thomas R. Delaney II's Reply to Division's Findings of Fact and Conclusions of Law
Respondent Charles W, Yancey's Motion to Enter Yancey's Proposed Findings of Fact and Conclusions of Law Into the Record and Motion to Strike
Division's Combined Opposition to Resp's Motions to Enter Proposed Findings of Fact and Conclusions of Law Into the Record and Motions to Strike
Respondent Thomas R. Delaney II's Combined Motion to Strike and Motion to Enter Delaney's Unopposed Findings of Fact and Conclusions of Law Into the Record
Respondent Thomas R. Delaney II's Response to Order Dated January 23, 2015
Respondent Delaney's Response to the Pivision's Proposed Supplemental Findings of Fact
Letter of 1/30/15 from Responder:Jt Delaney to ALJ in Response to Email Correspondence Dated 1/28/15 Received by Delaney from ALJ Regarding Delaney's Position with Respect to the Readmission of the Previously-Withdrawn Expert Report of Greg Florio
Letter Dated 1/30/15 from the Division to ALJ in Compliance with Alj's Order Dated 1/27/15, Letter Identifies the Proposed Findings of Fact and Conclusions of Law of Respondents That the Division Disputes
Division's Reply to Delaney's Response to Order Dated 1/23/15
Alj Patil's Exhibit List Pursuant to Rule 351
Delaney's Motion for Attorney's Fees and Costs Under the Equal Access to Justice Act
Division's Response to Delaney's Application for Fees and Costs
Delaney's Supplemental Response to Order On Equal Access to Justice Act Proceeding
Letter of 7/31/15 to ALJ from Division in Support of Its Request to Enter Additional Evidence Into the Record
Letter of 8/10/15 to ALJ Patil from Division, in Opposition to Respondent's Submission Seeking Fees Associated with His EAJA Claim
Initial Decision
Initial Decision On Eaja Application
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934, and 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 On Eaja Application Has Become Final
Order Scheduling Hearing and Designating Presiding Judge
Order Postponing Hearing and Scheduling Prehearing Conference
Order On Motions
Procedural Schedule Order
Order On Motions
Order On Motion for Clarification
Order On in Camera Materials and Joint Motion and Notice of Hearing Location
Order On Prehearing Conference to Consider Subpoenas Duces Tecum
Order Following Second Prehearing Conference
Order Redesignating Presiding Judge
Order Granting Protective Order
Order Granting Protective Order
Post-Hearing Order
Order On Stipulations and Transcript Corrections
Order
Order
Order
Order Designating Presiding Judge
Order On Equal Access to Justice Act Proceedings
Order Scheduling Oral Argument
Order
Order Following Oral Argument

Documents