Administrative Proceeding File No. 3-16182

Respondents

Lloyd, Paul Edward "Ed", Jr., CPA
Release Date Release Number Other Release Numbers Name of Document
IA-5089
  • IC-33337
 Order Making Findings and Imposing Remedial Sanctions Pursuant to Sections 203(f) and (k) of the Investment Advisers Act of 1940 and Section 9(b) of the Investment Company Act of 1940
AP-6388 Order Extending Deadline for Filing Proposals
AP-6285 Order Regarding Lapse in Stay
AP-6152 Stay Order
AP-6031 Order Following Reassignment
AP-5955 Chief Administrative Law Judge's Order Assigning Proceedings Post Lucia v. SEC
AP-5954 Notice from the Chief Administrative Law Judge
IA-4948 Order Cancelling Oral Argument
IA-4945 Order Rescheduling Oral Argument
33-10484
  • 34-83086
  • IA-4893
  • IC-33074
 Supplemental Briefing Order
AP-5539 Order Ratifying in Part and Revising in Part Prior Actions
AP-5370 Order Scheduling Submission of New Evidence, Taking Official Notice, Granting Respondent's Motion for Protective Order, and Sealing Certain Exhibits
AP-5280 Notice to the Parties
AP-5299 Order Scheduling Conference
IA-4818 Order Cancelling Oral Argument
IA-4808 Order Rescheduling and Changing Location of Oral Argument
IA-4794 Order Changing Location of Oral Argument
IA-4788 Order Rescheduling Oral Argument
IA-4732 Order Rescheduling Oral Argument
IA-4722 Order Scheduling Oral Argument
IA-4222 Corrected Order Granting Petition for Review and Scheduling Briefs
IA-4211 Order Granting Petition for Review and Scheduling Briefs
AP-3047 Order On Motion to Correct Manifest Errors of Fact
840 Initial Decision
AP-2635 Order Directing Briefing On Certain Issues
AP-2600 Order Granting Motion for Protective Order and Sealing Certain Division of Enforcement Exhibits
AP-2560 Order Taking Official Notice Pursuant to 17 C.F.R. § 201.323
AP-2484 Post-Hearing Scheduling Order
AP-2429 Order
AP-2425 Order Redesignating Presiding Judge and Setting Prehearing Conference
AP-2416 Order
AP-2366 Order
AP-2217 Scheduling Order
AP-2005 Prehearing Order
AP-1980 Postponement Order
AP-1934 Postponement Order
AP-1880 Order Scheduling Hearing and Designating Presiding Judge
33-9660
  • 34-73260
  • IA-3940
  • IC-31272
 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, 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 Lloyd's Answer and Motions
Division of Enforcement's Response in Opposition to Respondent Lloyd's Answer and Motions
Respondent Lloyd's Response to Division of Enforcement's Opposition
Joint Consent to Prehearing Schedule
Respondent Lloyd's Brief ISO Summary Disposition
Respondent Lloyd's Motion for Summary Disposition
Letter of 1/20/15 to OS from Counsel for Respondent Enclosing Exhibit 9 of Respondent's Brief in Support of the Motion for Summary Disposition That Was Unsigned
Division of Enforcement's Response in Opposition to Motion for Summary Disposition
Respondent Lloyd's Response to Opposition to Motion for Summary Disposition
Respondent Lloyd's Notice of Filing of Expert Report
Division of Enforcement's Witness List
Division of Enforcement's Exhibit List
Division of Enforcement's Brief ISO Opposition to Motion for Summary Disposition
Respondent Lloyd's Witness List
Respondent Lloyd's Exhibit List
Division of Enforcement's Prehearing Memorandum
Respondent Lloyd's Prehearing Brief
Respondent Lloyd's Post-Hearing Brief
Division of Enforcement's Post-Hearing Brief
Division of Enforcement's Post-Hearing Reply Brief
Respondent Lloyd's Reply Brief
Respondent Lloyd's Proposed Corrections for Manifest Error of Fact in the Initial Decision
Respondent Lloyd's Brief ISO Proposed Corrections
Respondent Lloyd's Petition for Review of Initial Decision
Division of Enforcement's Petition for Cross-Review of Initial Decision
Respondent Lloyd's Motion for Oral Argument
Division of Enforcement's Principal and Response Brief
Respondent Lloyd's Response and Reply Brief
Respondent Lloyd's Response to Order Scheduling Submission and Brief Identifying Challenged Rulings
Division of Enforcement's Letter to ALJ Requesting Ratification of all Prior Actions
Division of Enforcement's Response to Respondent Lloyd's Response to Order
Respondent Lloyd's Renewed Petition for Review of Initial Decision
Respondent Lloyd's Letter Re Division of Enforcement's Letter
Division of Enforcement's Renewed Petition for Cross-Review of Initial Decision
Division of Enforcement's Response to Respondent Lloyd's Brief
Respondent Lloyd's Brief ISO Renewed 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) 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
Order Making Findings and Imposing Remedial Sanctions Pursuant to Sections 203(f) and (k) of the Investment Advisers Act of 1940 and Section 9(b) of the Investment Company Act of 1940
Order Scheduling Hearing and Designating Presiding Judge
Postponement Order
Postponement Order
Prehearing Order
Scheduling Order
Order
Order
Order
Order Redesignating Presiding Judge and Setting Prehearing Conference
Post-Hearing Scheduling Order
Order Taking Official Notice Pursuant to 17 C.F.R. § 201.323
Order Granting Motion for Protective Order and Sealing Certain Division of Enforcement Exhibits
Order Directing Briefing On Certain Issues
Order On Motion to Correct Manifest Errors of Fact
Order Scheduling Conference
Notice to the Parties
Order Scheduling Submission of New Evidence, Taking Official Notice, Granting Respondent's Motion for Protective Order, and Sealing Certain Exhibits
Order Ratifying in Part and Revising in Part Prior Actions
Notice from the Chief Administrative Law Judge
Chief Administrative Law Judge's Order Assigning Proceedings Post Lucia v. SEC
Order Following Reassignment
Stay Order
Order Regarding Lapse in Stay
Order Extending Deadline for Filing Proposals
Supplemental Briefing Order
Order Granting Petition for Review and Scheduling Briefs
Corrected Order Granting Petition for Review and Scheduling Briefs
Order Scheduling Oral Argument
Order Rescheduling Oral Argument
Order Rescheduling Oral Argument
Order Changing Location of Oral Argument
Order Rescheduling and Changing Location of Oral Argument
Order Cancelling Oral Argument
Order Rescheduling Oral Argument
Order Cancelling Oral Argument

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