Administrative Proceeding File No. 3-15918

Respondents

Malouf, Dennis J.
Release Date Release Number Other Release Numbers Name of Document
33-10207
  • 34-78822
  • IA-4528
  • IC-32258
 Corrected Order Imposing Remedial Sanctions
33-10202
  • 34-78739
  • IA-4516
  • IC-32250
 Order Granting Partial Stay (Corrected)
33-10115
  • 34-78429
  • IA-4463
  • IC-32194
 Opinion of the Commission
33-9885
  • 34-75663
  • IA-4164
  • IC-31747
 Extension Order
33-9832
  • 34-75226
  • IA-4121
  • IC-31682
 Order Extending Time in Which to File Briefs
33-9775
  • 34-74991
  • IA-4088
  • IC-31605
 Order Granting Review and Scheduling Briefs
766 Initial Decision
AP-2279 Order
AP-2282 Order
AP-2280 Order
AP-2219 Order On Division of Enforcement's Motion to Strike
AP-2200 Order
AP-2189 Order On Stipulations and Transcript Corrections
AP-2160 Order
AP-2159 Order
AP-2108 Order Scheduling Posthearing Conference
AP-2059 Post-Hearing Order
AP-2015 Order Regarding Alan M. Wolper
AP-2008 Order
AP-1991 Order Granting Protective Order as to ACA Compliance Group Holdings, LLC
AP-1983 Order Extending Time to File Prehearing Briefs
AP-1971 Order Following Prehearing Conference
AP-1973 Order as to ACA Compliance Group Holdings, LLC
AP-1963 Order Excusing Witness
AP-1951A Revised Order on Subpoena to UASNM, Inc.
AP-1924 Order as to Capital Forensics, Inc.
AP-1913 Amended Scheduling Order
AP-1906 Order to Show Cause as to Capital Forensics, Inc., and UASNM, Inc.
AP-1868 Order Setting Hearing Location
AP-1856 Scheduling Order
AP-1842 Order Redesignating Presiding Judge
AP-1831 Order Granting Motion to Admit Prior Sworn Statement
AP-1839 Order Quashing in Part and Modifying Subpoena Request to National Advisors Holdings, Inc. d/b/a National Advisors Trust Company, FSB
AP-1827 Order Quashing in Part and Modifying Subpoena Requests to Uasnm, Inc., and Albuquerque Business Law P.C.
AP-1817 Order Quashing in Part and Modifying Subpoena Request to Aca Compliance Group Holdings, LLC
AP-1816 Order Quashing in Part and Modifying Subpoena Request to Fidelity Brokerage Services, LLC
AP-1806 Order Regarding Application to Quash Subpoena
AP-1790 Order Setting Hearing Location
AP-1780 Order Regarding Motions to Quash Subpoenas
AP-1776 Order Regarding Application to Quash Subpoena
AP-1740 Order On Subpoenas
AP-1656 General Prehearing Order
AP-1643 Order Setting Prehearing Schedule
AP-1594 Second Order Extending Time to File Answer
AP-1577 Order Extending Time to File Answer
AP-1553 Order Postponing Hearing and Scheduling Prehearing Conference
AP-1504 Order Scheduling Hearing and Designating Presiding Judge
33-9597
  • 34-72352
  • IA-3847
  • IC-31073
 Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8a of the Securities Act of 1933, Sections 15(b), 15C(c) and 21C of the Securities Exchange Act of 1934, Sections 203(f) and 203(k) 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's Answer and Affirmative Defenses
Respondent's Unopposed Motion to Extend Time for Filing Prehearing Briefs
Division's Opposition to Motion to Permit Respondent's Expert Alan Wolper to Testify On or Before 11/21/14
Division's Amended Opposition to Motion to Permit Respondent's Expert Alan Wolper to Testify On or Before 11/21/14
Non-Party UASNM's Notice of Compliance and Request for Reconsideration
Respondent's Motion to Permit Respondent's Expert Alan Wolper to Testify On or Before 11/21/14
Respondent's Prehearing Brief
Division's Prehearing Brief
Division's Opposition to Respondent's Motion in Limine to Exclude Certain Evidence and Testimony
Division's Opposition to Respondent's Motion to Permit Respondent's Expert Alan Wolper to Testify On or Before 11/21/14
Respondent's Opposition to Division's Motion to Quash Subpoenas Issued to SEC Attorneys and to Issue a Protective Order
Respondent's Opposition to Division's Motion in Limine to Exclude the Purported Expert Testimony of Attorney Alan Wolfer
Ltr of 11/12 to ALJ Patil from Counsel for Resp Stating They Are in Receipt of UASNM's Notice of Compl & Request for Reconsid w/ Respect to Subpoena Issued to It and Sets Forth a Sampling of Issues Identified; Requesting Until 12/10 to Respond
Divisions Exhibits (Offered and Not Admitted)
Respondent's Admitted Exhibits
Respondent's Opposition to UASNM, Inc's Notice of Compliance and Request for Reconsideration
Division's Additional Proposed Stipulations
Non-Party UASNM, Inc.'s Reply in Support of Request for Reconsideration
Joint Stipulatiom to Correct Transcript
Division's Additional Proposed Stipulations
Respondent's Proposed Stipulations of Fact and Conclusions of Law
UASNM's Motion for Contempt and for Sanctions as to Respondent
Notice of Filing of Agreed-to Stipulations
Division's Post Hearing Brief
Division's Proposed Additional Findings of Fact and Conclusions of Law
Division's Motion to Strike Respondent's Improper Proposed Additional Findings of Fact and Conclusions of Law, and Untimely Affidavit
Respondent's Proposed Findings of Fact and Conclusions of Law
Respondent's Post-Hearing Brief
Division's Notice of Request for Document Subpoena to Dennis J. Malouf
Respondent's Notice of Willingness to Accept Service of Subpoena
Respondent's Supplemented Proposed Findings of Fact and Conclusions of Law
Division's Response to Respondent's Post Hearing Brief
Division's Response to Respondent's Proposed Findings of Fact and Conclusions of Law.
Letter of 1/30/15 to ALJ Patil from Counsel for Resp Stating Respondent Has Made a Good Faith & Reasonable Attempt to Pay UASNM the Fees It Is Owed and Respectfully Requests That the ALJ Find Resp Has Complied with the 1/9/15 Order
Division's Response to Respondents Additional Proposed Findings of Fact and Conclusions of Law
Respondents Response to Division's Post-Hearing Brief
Respondent's Additional Proposed Findings of Fact
Respondent's Response to Division's Proposed Findings of Fact and Conclusions of Law
Division's Cross-Petition for Review of Initial Decision
Division's Motion to Dismiss Petitions for Review
Division's Amended Motion to Dismiss Petitions for Review
Division's Reply in Support of Amended Motion to Dismiss Petitions for Review and Opposition to Respondent's Request for Extension of Time to Submit Opening Brief in Support
Respondent's Brief in Support of Petition for Review
Division's Motion for Oral Argument
Division's Brief in Support of Its Cross-Petition for Review and in Response to Respondent's Brief in Support of His Petition for Review
Respondent's Reply Brief in Further Support of Petition for Review and Division's Brief in Support of Cross-Petition for Review
Division's Reply Brief in Support of Its Cross-Petition for Review
Initial Decision
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8a of the Securities Act of 1933, Sections 15(b), 15C(c) and 21C of the Securities Exchange Act of 1934, Sections 203(f) and 203(k) 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
Extension Order
Order Extending Time in Which to File Briefs
Order Scheduling Hearing and Designating Presiding Judge
Order Postponing Hearing and Scheduling Prehearing Conference
Order Extending Time to File Answer
Second Order Extending Time to File Answer
Order Setting Prehearing Schedule
General Prehearing Order
Order On Subpoenas
Order Regarding Application to Quash Subpoena
Order Regarding Motions to Quash Subpoenas
Order Setting Hearing Location
Order Regarding Application to Quash Subpoena
Order Quashing in Part and Modifying Subpoena Request to Fidelity Brokerage Services, LLC
Order Quashing in Part and Modifying Subpoena Request to Aca Compliance Group Holdings, LLC
Order Quashing in Part and Modifying Subpoena Requests to Uasnm, Inc., and Albuquerque Business Law P.C.
Order Quashing in Part and Modifying Subpoena Request to National Advisors Holdings, Inc. d/b/a National Advisors Trust Company, FSB
Order Granting Motion to Admit Prior Sworn Statement
Order Redesignating Presiding Judge
Scheduling Order
Order Setting Hearing Location
Order to Show Cause as to Capital Forensics, Inc., and UASNM, Inc.
Amended Scheduling Order
Order as to Capital Forensics, Inc.
Revised Order on Subpoena to UASNM, Inc.
Order Excusing Witness
Order as to ACA Compliance Group Holdings, LLC
Order Following Prehearing Conference
Order Extending Time to File Prehearing Briefs
Order Granting Protective Order as to ACA Compliance Group Holdings, LLC
Order
Order Regarding Alan M. Wolper
Post-Hearing Order
Order Scheduling Posthearing Conference
Order
Order
Order On Stipulations and Transcript Corrections
Order
Order On Division of Enforcement's Motion to Strike
Order
Order
Order
Order Granting Partial Stay (Corrected)
Corrected Order Imposing Remedial Sanctions
Order Granting Review and Scheduling Briefs

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