Administrative Proceeding File No. 3-16178

Respondents

Bolan, Gregory T., Jr. Ruggieri, Joseph C.
Release Date Release Number Other Release Numbers Name of Document
33-10640
  • 34-85971
 Order Denying Motion to Vacate Settled Order
33-10389
  • 34-81143
 Order Dismissing Proceedings
33-9985
  • 34-76614
 Order Denying Motion for Summary Affirmance, Granting Petitions for Review, and Scheduling Briefs
877 Initial Decision
AP-3025 Order On Hearing Exhibits
33-9880
  • 34-75620
 Order Granting Extension
AP-2844 Motion to the Commission for Extension
AP-2734 Notice to the Parties
33-9795
  • 34-75066
 Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Section 8A of the Securities Act of 1933 as to Gregory T. Bolan, Jr.
AP-2703 Order on Trader A Stipulations
AP-2661 Order On Transcript Corrections
AP-2591 Order
AP-2548 Post-Hearing Order
AP-2476 Stay Order as to Respondent Bolan
AP-2437 Order On Motions in Limine and Scheduling
AP-2405 Order
AP-2359 Notice of Hearing Location and Order On Procedural Matters
AP-2350 Order On Motions for Summary Disposition
AP-2309 Order
AP-2256 Order
AP-2202 Notice of Hearing Location
AP-2139 Order
AP-2058 Order Setting Procedural Schedule
AP-1933 Order Postponing Hearing, Directing an Initial Prehearing Conference, and Extending Time to Answer
AP-1866 Order Scheduling Hearing and Designating Presiding Judge
33-9659
  • 34-73244
 Order Instituting Administrative and Cease-Anddesist Proceedings Pursuant to Section 8a of the Securities Act of 1933 and Sections 15(b) and 21C of the Securities Exchange Act of 1934
Release Date Release Number Other Release Numbers Name of Document
Respondent Bolan's Answer
Respondent Ruggieri's Answer
Joint Prehearing Conference Statement
Letter of 11/18/14 to Os from Counsel for Respondent Ruggieri Attaching a Certificate of Service of Proof as to Whom the Answer Filed 11/17/14 Was Served On
Respondent Bolan's Motion for the Issuance of Subpoenas
Ltr of 11/26 to ALJ Patil from Div stating Resp Bolan filed an unopposed request for subpoenas, what is essentially a prehg brief; the Div does not agree w/ characterization of evidence collection or arguments; Div does not oppose issuance of 3d pty subp.
Letter of 12/12/14 to ALJ Patil from counsel for Resp Ruggieri, writing on behalf of both Resps, for leave to file a mtn for summ disp & attaching the 2nd Circuit decision US v. Newman, et al., 2014 WK 6911278
Letter of 12/15/14 to Alj Patil from Div Responding to Resps Letter of 12/12 Requestng Leave to File a Mtn for Summ Disp; the Div Opposes Their Request; Div States the Court Should Deny Resps Request for Leave to Move for Summ Disp.
Respondent Bolan's Motion for Summary Disposition Against All Claims and Memorandum in Support
Affidavit of Samuel J. Lieberman in Support of Respondent Bolan's Motion for Summary Disposition
Division's Memorandum in Opposition to Respondents' Motions for Summary Disposition
Declaration of Sandeep Satwalekar in Support of the Division's Opposition to Respondents' Motions for Summary Disposition
Divs Exhibits in Support of Opposition to Respondents' Mtn for Summ Disp
Respondent Gregory T. Bolan, Jr.'s Motion for Summary Disposition Against All Claims and Memorandum in Support
Affidavit of Samuel J. Lieberman in Support of Respondent Gregory T. Boylan, Jr.'s Motion for Summary Disposition
Reply Affidavit of Samuel J. Lieberman in Support of His Motion for Summary Disposition
Division's Witness List
Respondent Ruggieri's Witness List
Expert Report of Stephen D. Prowse, Ph.D, CFA
Division's Expert Report of Edward S. O'Neal
Division's Supplemental Submission Opposing Respondents' Motions for Summary Disposition
Respondent Ruggieri's Reply to Division's Supplemental Submission Opposing Respondents' Motions for Summary Disposition
Respondent Bolan's Exhibit List
Application by Non-Party Wells Fargo to Modify Subpoena
Respondent Bolan's Prehearing Brief
Division's Prehearing Memorandum
Respondent Ruggieri's Prehearing Brief
Joint Findings of Fact and Conclusions of Law
Respondent Bolan's Disputed Findings of Fact and Conclusions of Law
Respondent Ruggieri's Post Trial Proposed Findings of Fact and Concluions of Law
Respondent Ruggieri's Chronology of Events
Division's Response to Respondent Ruggieri's Constitutional Objection
Respondent Ruggieri's Reply to Division's Response to His Constitutional Objection
Joint Stipulation Relating to Trader a Telephone Lines
Division's Post Hearing Memorandum of Law
Division's Post-Hearing Proposed Findings of Fact and Conclusions of Law
Letter of 5/21/15 Trial Exhibit JR-REB-115 On Behalf of Respondent Joseph C. Ruggieri. The Exhibit is a Subject of Trade Data Contained in Trial Exhibit JR-REB-146
Division's Post Hearing Reply Memorandum of Law
Respondent Ruggieri's Reply to the Division's Post Hearing Reply Memorandum of Law
Respondent Ruggieri's Response to Division's Post Hearing Proposed Findings of Fact and Conclusions of Law
The Division of Enforcement's Petition for Review of Initial Decision
Respondent Ruggieri's Cross Petition for Review of Initial Decision
Respondent Joseph C. Ruggieri's Motion for Summary Affirmance
Division's Opposition to Respondent Ruggieri's Motion for Summary Affirmance
Respondent's Reply Brief in Further Support of His Motion for Summary Affirmance
Division's Brief on Review of the Initial Decision
Respndent's Ruggieri's Brief in Support of his Cross-Petition and in Opposition to the Division's Brief in Support of its Petition for Review
Letter of 3/9/16 to OS from counsel for Resp Ruggieri correcting a factual error in his Brief in Support of his Cross-Petition & in Opposition to the Division's Brief in Support of its Petition for Review dated 2/11/18
Division's Opposition and Reply Brief on Review of Initial Decision
Respondent Ruggeri's Reply Brief in Further Support of his Cross Petition on Review of Initial Decision
Motion To Vacate the May 28, 2015 Order Due to the Commission's Subsequent
Contradictory Finding That Respondent Bolan Did not Provide a Tip that Led to InsiderTrading By Ruggieri
The Division of Enforcement's Opposition to Respondent Bolan's Motion to Vacate the Commission's Settlement Order, with Exhibits 1 and 2
Initial Decision
Order Instituting Administrative and Cease-Anddesist Proceedings Pursuant to Section 8a of the Securities Act of 1933 and Sections 15(b) and 21C of the Securities Exchange Act of 1934
Order Granting Extension
Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Section 8A of the Securities Act of 1933 as to Gregory T. Bolan, Jr.
Order Scheduling Hearing and Designating Presiding Judge
Order Postponing Hearing, Directing an Initial Prehearing Conference, and Extending Time to Answer
Order Setting Procedural Schedule
Order
Notice of Hearing Location
Order
Order
Order On Motions for Summary Disposition
Notice of Hearing Location and Order On Procedural Matters
Order
Order On Motions in Limine and Scheduling
Stay Order as to Respondent Bolan
Post-Hearing Order
Order
Order On Transcript Corrections
Order on Trader A Stipulations
Notice to the Parties
Motion to the Commission for Extension
Order On Hearing Exhibits
Order Dismissing Proceedings
Order Denying Motion to Vacate Settled Order
Order Denying Motion for Summary Affirmance, Granting Petitions for Review, and Scheduling Briefs

Documents