Administrative Proceeding File No. 3-16463

Respondents

Aegis Capital, LLC Circle One Wealth Management, LLC Lamm, Diane W. Strategic Consulting Advisors, LLC Osunkwo, David I.
Release Date Release Number Other Release Numbers Name of Document
34-83106
  • IA-4897
  • IC-33086
 Order Dismissing Proceedings
AP-5250 Notice to the Parties and Order Ratifying Stay
34-81405
  • IA-4745
  • IC-32783
 Order Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Section 15(b) 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 Invest\
ment Company Act of 1940
IA-4744
  • IC-32782
 Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings and Imposing Remedial Sanctions 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 and Section 9(b) of the Investment Company Act of 1940
1053 Initial Decision of Default
AP-4039 Order Granting Division's Motion for Leave to File Revised Default Motion Out of Time
AP-4016 Order
AP-4007 Stay Order as to Strategic Consulting Advisors, LLC, and David I. Osunkwo
AP-4001 Order Regarding Transcript Corrections
AP-3991 Order
AP-3981 Stay Order as to Diane W. Lamm
AP-3971 Order On Division's Objections
AP-3961 Order Denying Continuance
AP-3947 Order Scheduling Prehearing Conference
AP-3846 Order Setting Hearing Location
34-77772
  • IA-4382
  • IC-32108
 Order Denying Motion to Sever
AP-3759 Scheduling Order
AP-3692 Order Following Prehearing Conference
AP-3663 Order
AP-3653 Order Lifting Stay
34-77115
  • IA-4333
  • IC-31994
 Extension Order
AP-3474 Second Order Extending Stay
AP-3103 Order Extending Stay
AP-2794 ap-2794.pdf
AP-2770 Order Regarding Briefing On Motion to Stay Proceeding
AP-2732 Order On Motion for More Definite Statement
AP-2704 Order Setting Prehearing Schedule and General Prehearing Rules
AP-2684 Order to Show Cause as to Aegis Capital, LLC, and Circle One Wealth Management, LLC
AP-2671 Order Following Prehearing Conference
AP-2571 Order Rescheduling Prehearing Conference
AP-2512 Order Postponing Hearing and Scheduling Prehearing Conference
AP-2495 Order Scheduling Hearing and Designating Presiding Judge
34-74608
  • IA-4054
  • IC-31541
 Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 15(b)(6) of the Securities Exchange Act of 1934, 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
Release Date Release Number Other Release Numbers Name of Document
Answer of Respondents Strategic Consulting Advisors, LLC and David I. Osunkwo
Motion for a Motion Definite Statement
Division's Response to Motion for More Definite Statement
United States Attorney's Application to Intervene and Motion to Stay This Administrative Proceeding
United States Attorney's Memorandum of Law in Support of Motion to Stay This Administrative Proceeding
Respondents Strategic Consulting Advisors, LLC and David I. Osunkwo's Opposition to United States Attorney's Application to Intervene and Motion to St a Y This Administrative Proceeding
Declaration of Respondent David I. Osunkwo in Opposition to United States Attorney's Application to Intervene and Motion to Stay This Administrative Proceeding
United States Attorney's Reply to Respondents Strategic Consulting Advisors, LLC and Osunkwo's Opposition to the United States Attorney's Application to Intervene and Motion to Stay
Division's Reply to Respondents' Opposition to Motion to Stay
Respondents Strategic Consulting Advisors, LLC and David I. Osunkwo's Opposition to the Division of Enforcement's Reply to the Motion to Stay
Answer and Affirmative Defenses of Diane W. Lamn
Respondents Strategic Consulting Advisors, LLC and David I. Osunkwo's Motion to Sever
Reply in Further Support of Respondents Strategic Consulting Advisors, LLC and Osunkwo's Motion to Sever
Corrected Reply in Further Support of Respondents Strategic Consulting Advisors LLC and David I. Osunkwo's Motion to Sever
Division's Motion for Entry of Default and Imposition of Sanctions as to Respondents Aegis Capital, LLC and Circle One Wealth Management, LLC
Notice of Filing of Expert Report by Respondents Strategic Consulting Advisors, LLC and David Osunkwo submit Expert Report & Related Exhibits of Miriam Leftkowitz
Expedited Motion for Pre-Hearing Conference, Postponement and/or Extension of Time by Respondents Strategic Consulting Advisors, LLC and David Osunkwo
Division's Opposition to Expedited Motion for Prehearing Conference, Postponement and/or Extension of Time by Resps Strategic Consulting Advisors, LLC and David I. Osunkwo, Declaration of W. Shawn Murnahan
Respondent David Osunkwo's Pre-hearing Brief
Respondent Strategic Consulting Advisors, LLC Pre-hearing Brief
Letter of 7/22/16 to ALJ from Division regarding response to Court's question posed during prehear conference regarding the relief sought by the Division in its 3/24/16 Motion for Entry of Default & Imposition of Sanctions as to Aegis Capital & Circle One
Division's Revised Motion for Entry of Default and Imposition of Sanctions as to Respondents Aegis Capital, LLC and Circle One Wealth Management, LLC
Division's and Respondents Strategic Consulting Advisor, LLC's and David L. Osunkwo's Joint Motion to Stay Hearing as to Strategic Consulting Advisor, LLC and David I. Osunkwo Settlement
Division's Motion to Commission to Dismiss Claims Against Respondent Strategic Consulting Advisors, LLC
Initial Decision of Default
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 15(b)(6) of the Securities Exchange Act of 1934, 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
Notice That Initial Decision Has Become Final
Extension Order
Order Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Section 15(b) 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 Invest\
ment Company Act of 1940
Order Scheduling Hearing and Designating Presiding Judge
Order Postponing Hearing and Scheduling Prehearing Conference
Order Rescheduling Prehearing Conference
Order Following Prehearing Conference
Order to Show Cause as to Aegis Capital, LLC, and Circle One Wealth Management, LLC
Order Setting Prehearing Schedule and General Prehearing Rules
Order On Motion for More Definite Statement
Order Regarding Briefing On Motion to Stay Proceeding
ap-2794.pdf
Order Extending Stay
Second Order Extending Stay
Order Lifting Stay
Order
Order Following Prehearing Conference
Scheduling Order
Order Setting Hearing Location
Order Scheduling Prehearing Conference
Order Denying Continuance
Order On Division's Objections
Stay Order as to Diane W. Lamm
Order
Order Regarding Transcript Corrections
Stay Order as to Strategic Consulting Advisors, LLC, and David I. Osunkwo
Order
Order Granting Division's Motion for Leave to File Revised Default Motion Out of Time
Notice to the Parties and Order Ratifying Stay
Order Denying Motion to Sever
Order Dismissing Proceedings

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