Administrative Proceeding File No. 3-16462

Respondents

Tilton, Lynn Patriarch Partners, LLC Patriarch Partners VIII, LLC Patriarch Partners XIV, LLC Patriarch Partners XV, LLC
Release Date Release Number Other Release Numbers Name of Document
1182 Initial Decision
AP-5096 Order
IA-4735
  • IC-32765
  • AAER-3885
 Order Denying Motion to Stay Administrative Proceeding
AP-4672 Order
AP-4338 Order
AP-4313 Protective Order
AP-4314 Order
AP-4293 Order
AP-4296 Order
AP-4280 Order
AP-4271 Order
AP-4274 Order
AP-4258 Order
AP-4245 Order
AP-4157 Order
AP-4159 Order
AP-4162 Order
AP-4161 Order
AP-4153 Order
AP-4145 Order
AP-4137 Order
AP-4124 Order
AP-4118 Order
AP-4116 Order
AP-4104 Order
IA-4495
  • IC-32236
  • AAER-3796
 Order Denying Petition for Interlocutory Review and Petition to Apply the Commission's Amended Rules of Practice
AP-4046 Order
AP-4027 Order
AP-4004 Order
AP-3997 Order
AP-3990 Order
AP-3144 Order
AP-3146 Notice
AP-3136 Order
AP-3111 Order
AP-3090 Order
AP-2931 Order
AP-2892 Order
AP-2647 Prehearing Order
AP-2617 Scheduling Order
AP-2558 Postponement Order
AP-2494 Order Scheduling Hearing and Designating Presiding Judge
IA-4053
  • IC-31539
  • AAER-3644
 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, 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
Respondents' Answer
Respondents' Motion for a More Definite Statement
Respondents' Memorandum of Points of Authorities in Support of Respondents' Motion for a More Definite Statement
Division's Brief in Opposition to Respondents' Motion for a More Definite Statement
Respondents' Reply Memorandum in Further Support of Respondents' Motion for a More Definite Statement
Respondents' Memorandum of Points of Authorities in Support of Motion to Halt the Division's Search for a Substitute Case for Trial
Respondents' Motion to Halt the Division's Search for a Substitute Case for Trial
Declaration of Christopher J. Gunther in Support of Respondents' Motion to Halt the Division's Search for a Substitute Case for Trial
Responden's Motion for Summary Disposition
Respondents' Memorandum and Points of Authority in Support of Respondents' Motion for Summary Disposition
Division's Brief in Opposition to Respondents' Motion to Halt the Division's Search for a Substitute Case for Trial
Reply Brief in Support of Respondents' Motion to Halt the Division's Search for a Substitute Case for Trial
Non-Party Rabobank International, New York Branch's Motion On Consent of Respondents for Issuance of a Protective Order, with a Draft Proposed Protective Order
Reply Memorandum and Points of Authorities in Support of Respondents' Motion for Summary Disposition
Division's Brief in Opposition to Respondents' Motion for Summary Disposition
Division's Brief in Opposition to Respondents' Motion to Adjourn the Trial
Respondents' Motion to Adjourn the Trial
Respondent's Reply in Further Support of Their Motion to Adjourn the Trial
Division's Witness List
Respondents' Witness List
Unopposed Motion of Non-Party Varde Partners, Inc. for Extension of Time to Apply to Quash or Limited Subpoena Served by Respondents and Request for Expedited Consideration
Non-Party Natixis North America LLP's Motion On Consent for Issuance of a Protective Order, with a Draft of the Proposed Order
Letter from Division to ALJ Foelak notifying her that the Court of Appeals, 2nd Circuit, vacated stay by order of 6/1/16
Letter from Division to ALJ Foelak in Response to Respondent's Letter in Opposition
dated 6/3/16
Respondents' Motion for Reconsideration & Adjourn or, in the Alternative, for Certification for Interlocutory Review, Memorandum of Law and Declaration of Lisa H. Rubin
Respondents' Motion Requesting that Hearing Officer Ask the Chief Administrative Law Judge to Submit a Motion to the Commission Requesting An Extension of Time Period for Filing the Initial Decision and Memo of Law
Respondents' Expedited Petition to Commission for (A) an Order Extending the 300-Day Rule & Setting a 12/16 Hearing Date, (B) Interlocutory Review of Hearing Officer Determinations & (C) Order Applying the SEC's Amended Rules of Practice to Proceeding
Memorandum of Law in Support of Respondents' Expedited Petition to Commission for (A) Order Extend the 300-Day Rule & Setting 12/16 Hearing Date, (B) Interlocutory Review of Hearing Officer Determinations & (C) Order Applying SEC's Amended Rules of Pra...
Declaration of Lisa H. Rubin Support of Respondents' Expedited Petition to Commission for ((A) Order Extend the 300-Day Rule & Setting 12/16 Hearing Date, (B) Interlocutory Review of Hearing Officer Determinations & (C) Order Applying SEC's Amended Rul...
Reply Memorandum of Law in Further Support of Respondents' Expedited Petition to the Commission
Letter Dated 8/18/16 From Respondents' Counsel to Chair White, Commissioner Stein, and Commissioner Piwowar Requesting Ruling on Expedited Petition
Respondents' Motion to Compel the Production of Brady Materials
Respondents' Memorandum of Law in Support of Motion to Compel the Production of Brady Materials
Declaration of Mary Kay Dunning in Support of Respondents' Motion to Compel the Production of Brady Materials
Respondents' Reply in Further Support of their Motion to Compel the Produdction of Witness Statements Under The Jencks Act
Respondents' Motion In Limine To Exclude Transcripts of Investigative Testimony
Reply In Support Of Respondents' Motion For Limited Modification of May 7, 2015 Order
Reply Memorandum of Law in Further Support of Respondents' Motion in Limine to Preclude Testimony and Evidence Regarding the Subjective States of Mind of Zohar Fund Investors
Motion for Limited Modification of May 7, 2015 Order, with Memorandum of Law
Respondents' Motion in Limine to Preclude Testimony and Evidence Regarding the Subjective States of Mind of Zohar Fund Investors, with Memorandum of Law
Motion to Compel the Production of Witness Statements Under the Jencks Act
Respondents' Motion in Limine to Strike Entirety of Report of Division's Expert Mayer And To Preclude Testimony
Respondents' Motion in Limine to Strike Entirety of Rebuttal Report of Division's Expert Wagner, Portions of Wagner's Opening Report, And To Preclude Testimony on Stricken Matters And Related Topics
Respondents' Memorandum of Law in Support of Motions in Limine to Strike parts or all of Division's Expert Reports and to Preclude Testimony on the Stricken Subjects
Respondents' Motion In Limine to Preclude Evidence Concerning Recklessness and Negligence and to Require the Division to Prove Intentional Misconduct
Respondents' Memorandum of Law in Support of Motion In Limine to Preclude Evidence Concerning Recklessness and Negligence and to Require the Division to Prove Intentional Misconduct
Division's Opposition to Respondents' Motion to Compel the Production of Witness Statements under the Jencks Act
Division's Opposition to Respondents' Motion for Limited Modification of May 7, 2015 Order
Division's Opposition to Respondents' Motion in Limine to Preclude Testimony and Evidence Regarding the Subjection States of Mind of Zahar Fund Investors
Respondents' Motion in Limine to Exclude the Expert Testimony of Steven L. Henning
Respondents' Memorandum of Law in Support of Motion in Limine to Exclude the Expert Testimony of Steven Henning
Declaration of Akiva Shapiro in Support of Respondents' Motion in Limine to Exclude the Expert Testimony of Steven Henning
Respondents' Motion in Limine to Preclude the Division of Enforcement from Seeking Disgorgement
Respondents' Memorandum of Law in Support of Motions in Limine to Exclude the Expert Testimony of Michael G. Mayer and Ira Wagner, and to Preclude the Division of Enforcement from Seeking Disgorgement
Division's Opposition to Respondents' Motion in Limine to Preclude Evidence concerning Recklessness and Negligence and to Require the Division to Prove Intentional Misconduct
Respondents' Motion in Limine to Exclude the Zohar COO 2003-1, LLC, et al. v. Patriarch Partners, LLC, et al., Case No. 12247-VCS (DEL. CH. Aug. 9 and 10, 2016) Trial Transcripts Marked Division Exhibits 207 and 208
Respondents' Memo in Support of Motion in Limine to Exclude the Zahar COO 2003-1, LLC, et al. v. Patriarch Partners, LLC, et al., Case No. 12247-VCS (DEL. CH. Aug. 9 and 10, 2016) Trial Transcripts Marked Division Exhibits 207 and 208
Reply Memorandum of Law in Further Support of Respondents' motion in Limine to Preclude Evidence Concerning Recklessness and Negligence and to Require Division to Prove Intentional Misconduct
Division's Opposition to Respondents' Motion to Compel the Production of Brady Materials
Division's Opposition to Respondent's Motion in Limine to Exclude Transcripts of Investigative Testimony Including Division Exhibits 194-206
Division's Opposition to Respondents' Motion in Limine to Exclude the Zahar COO 2003-1 LLC, et al. v. Patriarch Partners LLC, et al. Case No. 12247-VCS (Del. Ch. Aug. 9 and 10, 2016) Trial Transcripts Marked Division Exhibits 207 and 208
Respondents' Motion in Limine to Exclude Division Exhibits 71-73
Respondents' Memorandum of Law in Support of Motion in Limine to Exclude Division Exhibits 71-73
Respondents' Motion in Limine to Preclude the Introduction of Division Exhibits 118-123
Respondents' Memorandum of Law in Support of Motion in Limine to Preclude Division Exhibits 118-123
Respondents' Motion in Limine to Preclude the Division from Introducing into Evidence Exhibits or Portions of Exhibits Containing Unreliable Hearsay, Including but Not Limited to Exhibits 129, 140, 142, 174, 184 and 190.
Memorandum of Law in Support of Resps' Motion in Limine to Preclude the Division from Introducing into Evidence Exhibits or Portions of Exhibits Containing Unreliable Hearsay, Including but Not Limited to Exhibits 129, 140, 142, 174, 184 and 190
Respondents' Motion in Limine to Preclude the Admission of Any Portions of Investigative Testimony Transcripts without Introduction of Corresponding Portions of Audio Recordings, and to Exclude Transcripts for which Audio not Preserved and Produced
Respondents' Memorandum of Law in Support of Motion in Limine to Preclude the Admission of Any Portions of Investigative Testimony Transcripts w/out Introduction of Corresponding Portions of Audio Recordings, and to Exclude Transcript for which Audio n...
Declaration of Mary Kay Dunning in Support of Respondents' Motion in Limine to Preclude Admission of Any Portions of lnvestigative Testimony Transccript without Intro of Corresponding Portions of Audio Recordings, and to Exclude Transcript for which Au...
Divison's Opposition to Respondents' Motion in Limine to Strike as Inadmissible, In Whole or In Part, Certain Lay Opinion Testimony
Respondents' Reply in Further Support of their Motion to Compel the Production of Brady Materials
Memorandum of Law in Further Support of Respondents' Motion in Limine to Exclude Transcripts of Investigative Testimony, Including Division Exhibits 194 thorugh 206
Division's Opposition to Respondents' Expedited Petition to the Commission
Office of Litigation and Administrative Practice's Opposition to Respondents' Requests for the Issuance of Subpoenas to Produce Documents
Memorandum of Law in Further Support of Motion in Limine to Exclude The Zohair CDO 2003-1, LLC, et al., V. Patriarch Partners, LLC, et al., Case No. 12247-VCS (Del. Ch. Aug 9 and 10, 2016) Trial Transcript marked Division Exhibits 207 and 208
Respondents' Reply Memorandum of Law in Further Support of Motion in Limine to Strike as Inadmissible, in Whole or in Part, Certain Lay Opinion Testimony
Division's Opposition to Respondents' Motion in Limine to Precl ude Div from Introducing into Evidence Exhibits or Portions of Exhibits Containing Unreliable Hearsay, Including (but not limited to) Exhibits 129, 140, 142, 174, 184, and 190
Division's Opposition to Respondents' Motion in Limine to Exclude Division Exhibits 71 Through 73
Division's Opposition to Respondents' Motion in Limine to Preclude Introduction of Division Exhibits 118-123
Division's Opposition to Respondents' Motion in Limine to Preclude Admission of Portions of lnvestigative Testimony Transcript Without lntroduction of Corresponding Portions of Audio Recordings of the Testimony, and to Exclude Transcript for which no R...
Respondents' Reply Memorandum in Further Support of Motion in Limine to Preclude the Introduction of Division Exhibits 118-123
Respondents' Reply Memorandum in Further Support of Motion in Limine to Exclude Division Exhibits 71 through 73
Respondents' Reply Memorandum in Further Support of Motion in Limine to Preclude the Division from Introducing into Evidence Exhibits or Portions of Exhibits Containing Unreliable Hearsay Including but not Limited to Exhibits 129, 140, 142, 174, 184, a...
Respondents' Reply Memorandum in Further Support of Motion in Limine to Preclude Admission of any Portions of Investigative Testimony Transcripts w/out Introduction of Audio Recordings of the Testimony for which Audio Recordings not Preserved and Produced
Letter of 10/3/16 from Respondents to Division counsel, with attachments
Declaration of Dugan Bliss Regarding the Division of Enforcement's Search for Material Exculpatory Evidence
Respondents' Motion to Compel Disclosure of Identities of the Authors of Division's Handwritten Notes
Respondents' Memorandum of Law in Support of Motion to Compel Disclosure of Identities of the Authors of Division's Handwritten Notes
Declaration of Monica Losemen in Support of Respondents' Motion to Compel Disclosure of Identities of the Authors of Division's Handwritten Notes
Respondents' Motion to Compel MBIA to Produce Documents Responsive to the Subpoenas
Respondents' Memorandum of Law in Support of Motion to Compel MBIA to Produce Documents Responsive to the Subpoenas
Declaration of Lisa H. Rubin in Support of Respondents' Motion to Compel MBIA to Produce Documents Responsive to the Subpoenas
Respondents' Motion to Preclude the Division's Witness, Matthew Mach, from Testifying and for Expedited Briefing
Memorandum of Law in Support of Respondents' Motion to Preclude the Division's Witness, Matthew Mach, from Testifying and for Expedited Briefing
Declaration of Mary Beth Maloney in Support of Resps' Motion to Preclude the Division's Witness, Matthew Mach, from Testifying and for Expedited Briefing
Division's Motion to Partially Strike Respondents' Statements of Messrs. Lundelius, Vinella and Schwarcz
Division's Motion to Strike Respondents' Further Amended Witness List and Requests for Hearing Subpoenas to Previously Undisclosed Witnesses
Respondents' Motion to Compel the Produciton of Brady Material and Jencks Act Witness Statements
Memorandum of Law in Support of Respondents' Motion to Compel the Production of Brady Material and Jencks Act Witness Statements
Declaration of Monica Loseman in Support of Respondents' Motion to Compel the Produciton of Brady Material and Jencks Act Witness Statements
Division's Response to Respondents' Motion to Compel Disclosure of the Identities of the Authors of the Division's Handwritten Notes
Division's Response to Respondents' Motion to Compel MBIA to Produce Documents
Respondents' Pre-Hearing Memorandum
Division's Pre-Hearing Brief
Respondents' Motion for Leave to File a Motion to Compel Barclays to Produce a Document Responsive to a Court-Ordered Subpoena and for Expedited Briefing
Respondents' Motion to Compel Barclays to Produce a Document Responsive to a Court-Ordered Subpoena and for Expedited Briefing
Memorandum of Law in Support of Respondents' Motion for Leave to File a Motion to Compel Barclays to Produce a Document Responsive to a Court-Ordered Subpoena and for Expedited Briefing
Declaration of Susan Brune in Support of Respondents' Motion for Leave to File a Motion to Compel Barclays to Produce a Document Responsive to a Court-Ordered Subpoena and for Expedited Briefing
Respondents' Motion in Limine to Partially Strike and Preclude
Respondents' Motion to Stay Proceedings & Compel Division to Make Further Disclosures regarding Two Division Witnesses and for Expedited Briefing & Evidentiary Hearing
Respondents' Motion for Confidential Treatment of Declaration of Susan Brune in Support of Respondents' Motion to Stay Proceedings & Compel Division to Make Further Disclosures Regarding Two Division Witnesses, for Expedited Briefing, and an Evidentiar...
Memorandum of Law in Support of Respondents' Motion to Stay Proceedings and Compel Division to Make Further Disclosures regarding Two Division Witnesses and for Expedited Briefing and Evidentiary Hearing
Respondents' Motion for Leave to File a Motion for a Protective Order
Respondents' Motion for a Protective Order
Memorandum of Law in Support of Respondents' Motion for a Protective Order
Respondents' Motion for Leave to File a Motion to Compel the Office of Litigation and Administrative Practice to Produce Documents Responsive to Respondents' Subpoenas
Respondents' Motion to Compel the Office of Litigation and Administrative Practice to Produce Documents Responsive to Respondents' Subpoenas
Memorandum of Law in Support of Respondents' Motion to Compel the Office of Litigation and Administrative Practice to Produce Documents Responsive to Respondents' Subpoenas
Declaration of Mary Beth Maloney in Support of Respondents' Motion to Compel the Office of Litigation and Administrative Practice to Produce Documents Responsive to Respondents' Subpoenas
Division's Opposition to Respondents' Motion to Compel the Production of Brady Material and Jencks Act Witness Statements
Division's Response to Respondents' Motion to Preclude Division's Witness, Matthew Mach, from Testifying
Respondents' Reply Memorandum in Further Support of Respondents' Motion to Compel MBIA to Produce Documents Responsive to Respondents' Subpoena
Division's Motion for Confidential Treatment of Opposition to Respondents' Motion to Stay Proceedings and Compel Division to Make Further Disclosures Regarding Two Division Witnesses
Respondents' Opposition to Division's Motion to Partially Strike Respondents' Statements of Messrs. Lundelius, Vinella, and Schwarcz
Declaration of Goutam U. Jois in Support of Respondents' Opposition to Division's Motion to Partially Strike Respondents' Statements of Messrs. Lundelius, Vinella, and Schwarcz, with Ex. A-D.
Memorandum of Law in Support of Respondents' Motion in Limine to Partially Strike and Preclude
Declaration of Gautam U. Jois in Support of Respondents' Motion in Limine to Partially Strike and Preclude, with Ex. A-B.
Respondents' Memorandum of Law in Opposition to the Division's Motion to Strike Respondents' Further Amended Witness List and Requests for Hearing Subpoenas to Previously Undisclosed Witnesses, with Ex. 1-4.
Letter dated 10/20/16 to ALJ Foelak from Counsel for Non-Party MBIA regarding service of Respondent's Motion to Compel MBIA to Produce Documents Responsive to Subpoenas
Letter dated 10/21/16 from Resps' counsel to ALJ regarding Subpoenas to three Division employees (A Lee, N. Kelly, and B. Mitchell)
Letter dated 10/30/16 from Division to ALJ and Respondents regarding witness Peter Berlant
Non-Party MBIA Insurance Corp's Memorandum of Law in Opposition to Respondents' Motion to Compel MBIA to Produce Documents Responsive to Respondents' Subpoena
Declaration of Jonathan M. Hoff in Support of Non-Party MBIA Insurance Corp's Opposition to Respondents' Motion to Compel MBIA to Produce Documents Responsive to Respondents' Subpoena
Letter dated 10/31/16 from Respondents to ALJ regarding alleged Brady violation involving witness Peter Berlant.
Respondents' Redacted Reply Memorandum of Law in Support of Motion to Compel MBIA to Produce Documents Responsive to Respondents' Subpoenas
Division's Response to Respondents' Request for Issuance of a Subpoena Duces Tecum Directed at Anchin, Block & Anchin
Letter dated 11/4/16 (with Exhibits A-B) from Respondents to Administrative Law Judge requesting Administrative Law Judge to order Division to produce documents listed on its Amended Privilege Log
Declaration of Richard M. Humes
Declaration of Brent S. Mitchell
Non-Party Varde Partners, lnc.'s Memorandum in Support of its Motion to Quash
Subpoena served by Respondents
Respondents' Memorandum of Law in Opposition to the Motion of Non-Party Varde
Partners, Inc., to Quash the Subpoena Service by Respondents
Non-Party Varde Partners, Inc. 's Reply to Respondents' Opposition to Motion to
Quash Subpoena
Respondent's Post-Hearing Brief
Division's Post-Hearing Brief
Division's Proposed Findings of Fact and Conclusions of Law
Respondent's Proposed Conclusions of Law
Respondents' Post-Hearing Opposition Brief
Division's Response in Opposition to Resps' Post-Hearing Brief
Division's Request for Official notice of Complaint Filed by the Zahar Funds Against Respondents
Respondents' Opposition to Division's Request for Official notice of Complaint filed by the Zahar Funds against Respondents or in the Alternative, Respondents' Motion to Strike Improperly Noticed Allegations
Respondents' Motion to Stay Proceedings Pending Resolution of their Constitutionality, or, in the Alternative, for Permission to Seek a Stay from the Commission
Respondents' Memorandum of Law in Support of Motion to Stay Proceedings Pending
Resolution of their Constitutionality, or, in the Alternative, for Permission to Seek a
Stay from the Commission
Division's Opposition to Resps' Motion to Stay these Proceedings Pending Resolution
of their Constitutionality, or, in the Alternative, for Permission to Seek a Stay from
Commission
Petition For Interlocutory Review of the Hearing Officer's Denial of a Stay of This Proceeding, And For a Stay; Respondents' Memorandum of Law in Support; and Declaration of Akiva Shapiro In Support; with Exs. 1-5
Letter dated 10/24/16 from Division to Respondents enclosing revised rebuttal report of Ira
Wagner 8/31/2015.
Letter dated 06/09/17 to ALJ from Division notifying the Court of supplemental authority in light of the US Supreme Court's decision in Kokesh v. SEC, No. 16-529
Letter dated 6/27 /17 from Resps to Commissioners with supplemental authority for stay of proceedings, Ex. 1-3.
Letter Dated 7 /18/16 from Respondents to ALJ in Response to ALJ Order Rejecting Parties’ Joint Request for December 2016 Trial Date
Letter Dated 10/27 /16 from Respondents to ALJ Stating Their Position in Requiring Varde Partners to Produce Documents
Letter Dated 10/28/16 from Respondents to ALJ Notifying Her that MBIA has Failed to Produce Documents Responsive to the 5/27/15 Subpoena
Respondents' Unopposed Motion to Correct Record Index
Initial Decision
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, and Section 9(b) of the Investment Company Act of 1940, and Notice of Hearing
Notice That Initial Decision Has Become Final
Order Scheduling Hearing and Designating Presiding Judge
Scheduling Order
Prehearing Order
Order
Order
Order
Order
Order
Notice
Order
Order
Order
Order
Order
Order
Order
Order
Order
Order
Order
Order
Order
Order
Order
Order
Order
Order
Order
Order
Order
Order
Order
Order
Protective Order
Order
Order
Order
Order Denying Petition for Interlocutory Review and Petition to Apply the Commission's Amended Rules of Practice
Order Denying Motion to Stay Administrative Proceeding

Documents