Administrative Proceeding File No. 3-15945

Respondents

Neely, Thomas A., Jr.
Release Date Release Number Other Release Numbers Name of Document
33-9772
  • 34-74976
  • AAER-3656
 Order Making Findings and Imposing Remedial Sanctions, Cease-and-Desist Order, and Penalties Pursuant to Section 8A of the Securities Act of 1933 and Section 21C of the Securities Exchange Act of 1934
AP-2342 Stay Order
AP-2328 Prehearing Order
AP-2187 Order
AP-2157 Order
AP-2150 Order
AP-1970 Order
AP-1959 Prehearing Order
AP-1958 Order
AP-1904 Prehearing Order
AP-1685 Prehearing Order
AP-1667 Order
AP-1660 Prehearing Order
AP-1641 Order
AP-1609 Postponement Order
AP-1562 Order Scheduling Hearing and Designating Presiding Judge
33-9605
  • 34-72470
  • AAER-3559
 ORDER INSTITUTING CEASE-AND-DESIST PROCEEDING PURSUANT TO SECTION 8A OF THE SECURITIES ACT OF 1933 AND SECTION 21C OF THE SECURITIES EXCHANGE ACT OF 1934
Release Date Release Number Other Release Numbers Name of Document
Respondent's Answer to OIP
Division's Witness List and Exhibit List
Respondent Neely, Jr.'s Witness and Exhibit List
Resp's Motion to Compel
Regions Financial Corporation's Response to Respondent's 12/9/14 Motion to Compel
Respondent Neely, Jr's Motion for Extension of Time
Division's Opposition to Respondent's Second Motion for Extension of Time
Reply to Regions Financial Corporation's Response to Motion to Compel
Regions Financial Corporation's Additional Response to Respondent's 12/9/14 Motion to Compel
Respondent Neely, Jr's Reply to Opposition to Motion for Extension of Time
Proof of Service
Respondent's Request for Brady Materials and List of Documents Withheld
Respondent's Amended Witness List and Supplemental Exhibit List.
Proof of Service for Motions Requesting Issuance of Subpoena to Regional Financial Corporations.
Respondent Neely Jr.'S Disclosures Regarding Expert Witness John C. Ham.
Resp's Expert Report of Trent R. Feldman, President Feldman Financial Advisors, Inc.
Division's First Amended Exhibit List.
Division's First Amended Witness List.
Respondent Neely, Jr.'S Disclosures Regarding Expert Witness Richard K. Yowell.
Expert Report of Dale Kitchens.
Division's Response to Respondent's Request for Brady Materials and List of Documents Withheld.
Declaration of M. Graham Loomis Regarding the Division's Compliance with Its Brady Obligations.
Division's List of Categories of Withheld Documents Under Rule 230 of the Commission's Rules of Practice.
Respondent's Reply to Division's Response to Respondent's Request for Brady Materials and List of Documents Withheld.
Respondent's Demand for Early Disclosure of Jencks Material and Specific Demand for Giglio Material
Respondent's Motion Requesting Issuance of Subpoena
Proof of Service.
Division's Reponse to Respondenrs Demand for Early Disclosure of Jencks Material and for Giglio Material.
Regions Financial Corporation and Regions Bank's Opposition to Respondent's Motion Requesing Issuance of Subpoena.
Respondenfs Prehearing Brief.
Respondenfs Reply to Oppositions to Motion Requesting Issuance of Subpoena, with Attached Exhibit A.
Division's Opposition to Motion Requesting Issuance of Subpoena.
Joint Motion to Stay Pending Commission Consideration of Offer of Settlement.
ORDER INSTITUTING CEASE-AND-DESIST PROCEEDING PURSUANT TO SECTION 8A OF THE SECURITIES ACT OF 1933 AND SECTION 21C OF THE SECURITIES EXCHANGE ACT OF 1934
Order Making Findings and Imposing Remedial Sanctions, Cease-and-Desist Order, and Penalties Pursuant to Section 8A of the Securities Act of 1933 and Section 21C of the Securities Exchange Act of 1934
Order Scheduling Hearing and Designating Presiding Judge
Postponement Order
Order
Prehearing Order
Order
Prehearing Order
Prehearing Order
Prehearing Order
Order
Order
Order
Order
Order
Prehearing Order
Stay Order

Documents