Administrative Proceeding File No. 3-16227

Respondents

Middlebury Securities, LLC
Release Date Release Number Other Release Numbers Name of Document
33-10641
  • IC-33498
 Order Denying Request to Modify Settlement Order
33-10353
  • 34-80618
  • IC-32627
 Notice That Initial Decision Has Become Final
1110 Initial Decision
AP-4548 Order
AP-4539 Order
AP-4531 Order
AP-4424 Order
33-10240
  • IC-32341
  • 34-79177
 Order Scheduling Briefs
AP-4207 Order
AP-4163 Order Following Prehearing Conference
AP-4152 Order
AP-4143 ap-4143.pdf
AP-4129 Order
AP-4115 Order Granting Motion for Extension
AP-4101 Notice
AP-4034 Order
AP-3915 Scheduling and Consolidation Order
AP-3898 Order Lifting Stay and Scheduling Prehearing Conference
AP-3740 Order Extending Stay
AP-3680 Order Extending Stay
AP-3489 Order Extending Stay
AP-3399 Status Report Order
AP-2092 Order Following Prehearing Conference and Granting Stay
AP-2076 Order
AP-2051 Order Postponing Hearing and Scheduling Prehearing Conference
AP-1976 Order Scheduling Hearing and Designating Presiding Judge
33-9672
  • 34-73484
  • IC-31324
 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, and Section 9(b) of the Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Ceaseand- Desist Order, and Notice of Hearing
Release Date Release Number Other Release Numbers Name of Document
Respondent Middlebury Securities LLC's Memorandum of Law in Opposition to the Division's Motion for Summary Disposition
Respondents' Declaration in explanation of actual events and in opposition to Jim Robinson & Middlebury's FINRA settlement, representation of facts in statements to the SEC regarding Navagate and Greg Olson as well as explanation of certain SEC claims
Supplemental Declaration of James B. Robinson in Support of Respondent Middlebury Securities LLC's Opposition to the Division's Motion for Summary Disposition
Letter dated 9/7/16 from Respondent Osborn to ALJ Elliot in response to violation of email directive, with attachment
Division's Memorandum of Law in Opposition to Respondent Osborn's Penalty Reassessment Request
Declaration of Jorge G. Tenreiro in Support of Division's Memorandum of Law in Opposition to Respondent Osborn's Penalty Reassessment Request
Second Supplemental Declaration of James B. Robinson in Support of Respondent
Middlebury's Opp to Division's Motion for Summary Disposition
Division's Supplemental Reply Memorandum of Law in Further Support of its Motion
for Summary Disposition and Relief against Respondents
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, and Section 9(b) of the Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Ceaseand- Desist Order, and Notice of Hearing
Notice That Initial Decision Has Become Final
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, and Section 9(b) of the Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Ceaseand- Desist Order, and Notice of Hearing
Order Scheduling Hearing and Designating Presiding Judge
Order Postponing Hearing and Scheduling Prehearing Conference
Order
Order Following Prehearing Conference and Granting Stay
Status Report Order
Order Extending Stay
Order Extending Stay
Order Extending Stay
Order Lifting Stay and Scheduling Prehearing Conference
Scheduling and Consolidation Order
Order
Notice
Order Granting Motion for Extension
Order
ap-4143.pdf
Order
Order Following Prehearing Conference
Order
Order
Order
Order
Order
Order Scheduling Briefs
Order Denying Request to Modify Settlement Order

Documents