Administrative Proceeding File No. 3-16223

Respondents

Sands Brothers Asset Management, LLC Sands, Steven Sands, Martin Kelly, Christopher
Release Date Release Number Other Release Numbers Name of Document
IA-4273 Order Making Findings and Imposing Penalties, Remedial Sanctions and a Cease-and-Desist Order Pursuant to Sections 203(e), 203(f) and 203(k) of the Investment Advisers Act of 1940 Against Sands Brothers Asset Management, LLC, Steven Sands and Martin Sands
IA-4274 Order Making Findings and Imposing Remedial Sanctions and a Cease- And-Desist Order Pursuant to Sections 203(f) and 203(k) of the Investment Advisers Act of 1940 as to Christopher Kelly
34-76119 Order Denying Interlocutory Review
AP-3209 Stay Order
AP-3194 Order On Christopher Kelly's Letter Regarding Subpoenas
AP-3162 Order Denying Motion for Certification of Ruling for Interlocutory Appeal and to Stay or Postpone Proceedings
AP-3148 Order On Procedural Schedule (Expert Reports) and Notice of Hearing Location
AP-3137 Order On Subpoena Request
AP-3129 Order On Procedural Schedule
AP-3084 Order Directing Conference On Procedural Schedule
AP-3081 Order On Motions for Summary Disposition
AP-3064 Order
IA-4180
  • IA-3960
 Order Granting Extension
AP-2960 Motion to the Commission for Extension
AP-2829 Order Following Second Prehearing Conference
AP-2796 Order Scheduling Prehearing Conference
IA-4083 Order Denying Petition for Interlocutory Review
AP-2566 Order Denying Certification of Ruling for Interlocutory Review
AP-2503 Disqualification Order
AP-2349 Order to Show Cause
AP-2287 Order
AP-2235 Clarification Order
AP-2166 Order
AP-2074 Order Following Prehearing Conference
AP-2063 Order Staying Proceeding as to Christopher Kelly
AP-2014 Order Postponing Hearing and Scheduling Prehearing Conference
AP-1965 Order Scheduling Hearing and Designating Presiding Judge
IA-3960 Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 203(e), 203(f) and 203(k) of the Investment Advisers Act of 1940
Release Date Release Number Other Release Numbers Name of Document
Answer of Sands Brothers Asset Management, LLC, Steven Sands, Martin Sands, and Christopher Kelly
Letter of 12/19/14 to ALJ Elliot from Div. Atty Nancy Brown Re: Failure to Reach Settlement with Res. Kelly and That 12/1/14 Stay Against Kelly Should Be Lifted
Christopher Kelly's Motion for Summary Disposition and Memorandum of Points in Support Thereof.
Division's Motion for Summary Disposition Aagainst Respondents Scmds Brothers Asset Management, LLC, Steven Sands, Martin Sands, and Christopher Kelly_ and Memorandum of Law in Support.
Division's Declaration of Nancy A. Brown in Support of the Division's Motion for Summary Disposition with Exhibits 1-45.
Letter of 1/21/15 to ALJ Elliot from Resps' Counsel, Martin H. Kaplan, Requesting Copy of Transcript for 12/2/14 Prehearing Conference
Respondents Steven Sands and Martin Sands' Reply in Support of Their Motion for Extension of Time to Oppose Division's Motion for Summary Disposition.
Notice of Withdrawal.
Respondent Kelly's Opposition to the Division's Motion for Summary Disposition
Declaration of Janna I. Berke in Support of the Division's Opposition to Respondent Kelly's Motion for Summary Disposition with Exhibits A-P.
Declaration of Nancy A. Brown in Support of the Division's Opposition to Respondent Kelly's Motion for Summary Disposition with Exhibits 1-6.
Division's Opposition to Respondent Kelly's Motion for Summary Disposition.
Respondent Sands Brothers Asset Management, LLC's Opposition to the Division's Motion for Summary Disposition.
Respondent Kelly's Reply to Division's Opposition to Kelly's Motion for Summary Disposition with Attachments I and II.
Division's Reply Memorandum of Law in Further Support of Its Motion for Summary Disposition Against Respondents
Declaration of Janna I. Berke in Support of the Division's Reply Memorandum of Law with Exhibits 1 and 2
Kaplan's Response to the ALJ's Order to Show Cause
Affirmation of Martin H. Kaplan in Support of Submission On Order to Show Cause Relating to Disqualification of Martin H. Kapolan & Gusrae Klaplan Nusbaum, PLLC
Division's Submission in Response to the Court's 2/25/15 Order to Show Cause
Declaration of Nancy A. Brown in Support of Division's Response to the Court's Order to Show Cause
Respondent Christopher Kelly's Reply to Kaplan's Response to the ALJ's Order to Show Cause (Kaplan's Response)
Respondent Sands Brothers Asset Management, LLC's Reply Memorandum of Law in Further Support of Kaplan's Response to the ALJ's Order to Show Cause
Sand Brothers Asset Management, LLC's Request for Certification of Ruling for Interlocutory Review and to Stay the Proceedings
Respondents Steven Sands and Martin Sands' Memorandum in Support of Sands Brothers Asset Management, LLC's Requests for Certification and to Stay the Proceedings, Or, in the Altnerative, Motion for Clarification
Division's Opposition to SBAM's Request for Certification and Stay of Proceedings
Respondent's Request for the Commission to Grant Interlocutory Review and to Stay the Proceedings
Division's Motion for Leave to File an Opposition to the Request of Sands Brothers Asset Management, LLC for Interlocutory Review and Opposition to Respondent's Motion for a Stay of Proceedings
Respondents Steven Sands and Martin Sands' Response to Division's Motion for Leave to File an Opposition to the Request of Sands Brothers Asset Management, LLC for Interlocutory Review and Opposition to Respondent's Motion for a Stay of Proceedings
Respondent Sands Brothers Asset Management, LLC's Motion to Stay, Postpone, or Adjourn the Proceeding
Respondents Steven Sands and Martin Sands' Supplemental Brief in Opposition to the Division of Enforcement's Motion for Summary Disposition
Kelly's Supplemental to Motion for Summary Disposition and Memorandum of Points in Support Thereof
Respondent Sands Brothers Asset Management, LLC's Additional Brief in Response to the Division of Enforcement's Motion for Summary Disposition
Letter of 9/15/15 to ALJ from Respondent Kelly Responding the The Letter of the Same Date Submitted to ALJ from Division Regarding Subpoenas
Letter of 9/15/15 to ALJ from Division Regarding Respondent's Kelly's Request for Subpoenas
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 203(e), 203(f) and 203(k) of the Investment Advisers Act of 1940
Order Making Findings and Imposing Remedial Sanctions and a Cease- And-Desist Order Pursuant to Sections 203(f) and 203(k) of the Investment Advisers Act of 1940 as to Christopher Kelly
Order Making Findings and Imposing Penalties, Remedial Sanctions and a Cease-and-Desist Order Pursuant to Sections 203(e), 203(f) and 203(k) of the Investment Advisers Act of 1940 Against Sands Brothers Asset Management, LLC, Steven Sands and Martin Sands
Order Scheduling Hearing and Designating Presiding Judge
Order Postponing Hearing and Scheduling Prehearing Conference
Order Staying Proceeding as to Christopher Kelly
Order Following Prehearing Conference
Order
Clarification Order
Order
Order to Show Cause
Disqualification Order
Order Denying Certification of Ruling for Interlocutory Review
Order Scheduling Prehearing Conference
Order Following Second Prehearing Conference
Motion to the Commission for Extension
Order
Order Directing Conference On Procedural Schedule
Order On Motions for Summary Disposition
Order On Procedural Schedule
Order On Subpoena Request
Order On Procedural Schedule (Expert Reports) and Notice of Hearing Location
Order Denying Motion for Certification of Ruling for Interlocutory Appeal and to Stay or Postpone Proceedings
Order On Christopher Kelly's Letter Regarding Subpoenas
Stay Order
Order Denying Interlocutory Review
Order Denying Petition for Interlocutory Review
Order Granting Extension

Documents