Administrative Proceeding File No. 3-16509

Respondents

Daspin, Edward M. (a/k/a "Edward (Ed) Michael") Agostini, Luigi Lux, Lawrence R.
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Release Date Release Number Other Release Numbers Name of Document
33-11242
  • 34-98554
 Order Denying Motion for Reconsideration
33-11198
  • 34-97640
  • IA-6323
  • IC-34933
  • AAER-4413
 Pending Administrative Proceedings (Order Dismissing Proceedings)
33-11194
  • 34-97536
 Order Extending Time to Issue Decision
33-11158
  • 34-96956
 Order Extending Time to Issue Decision
33-11135
  • 34-96365
 Order Extending Time to Issue Decision
33-11094
  • 34-95576
 Order Extending Time to Issue Decision
33-11065
  • 34-94969
 Order Extending Time to Issue Decision
33-11031
  • 34-94291
 Order Extending Time to Issue Decision
33-11009
  • 34-93654
 Order Extending Time to Issue Decision
33-10966
  • 34-92731
 Order Extending Time to Issue Decision
33-10879
  • 34-90271
 Order Denying Motion for Extension of Time
33-10875
  • 34-90198
 Order Extending Time to File Reply Brief
33-10813
  • 34-89448
 Order Denying Request for Documents
33-10799
  • 34-89222
 in the Matter Of Edward M. Daspin, a/k/a "Edward (Ed) Michael"
33-10792
  • 34-89101
 in the Matter Of Edward M. Daspin, a/k/a "Edward (Ed) Michael"
33-10787
  • 34-88942
 Extension Order
33-10773
  • 34-88661
 Order Granting Petition for Review and Scheduling Briefs
33-10743
  • 34-87944
 Extension Order
AP-6714 Notice
1387 Initial Decision
AP-6649 Order Denying Extensions and Leave to File Reply Brief
AP-6646 Order Granting Extension
AP-6645 Post-Hearing Order On Exhibits
AP-6637 Order Denying Motion for Judge's Notes
33-10654
  • 34-86230
 Order Denying Interlocutory Motions
AP-6614 Order Denying Motion for Transcript Copy
AP-6609 Order Denying Motion for Relief
AP-6582 Post-Hearing Order
AP-6570 Order for Continued Hearing
AP-6562 Order for Continued Hearing
AP-6538 Final Prehearing Order
AP-6494 Order Clarifying Procedural Schedule
AP-6490 Order Denying Motion for Stay or Dismissal
AP-6484 Order Denying Motion for Extension of Procedural Schedule and to Quash or Modify Subpoenas
AP-6471 Notice of Hearing Location and Order Denying Motion
AP-6459 Order Denying Motion to Postpone Hearing and for Issuance of Subpoenas
AP-6441 Order Denying Motion for an Order to Show Cause and Entering Protective Order
AP-6423 Order On Edward M. Daspin's Motion for Reconsideration
AP-6382 Order Regarding Request for Copies of Record Materials
AP-6342 Order Following Prehearing Conference
AP-6284 Order Scheduling Prehearing Conference
AP-5988 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
33-10493
  • 34-83183
 Supplemental Briefing Order
AP-5646 Order Denying Rule 111 Motion
33-10468
  • 34-82836
 Order Denying Motion for Reconsidertion
AP-5633 Order Denying Request for Extension
AP-5619 Public Redacted Order On Ratification
AP-5607 Order Extending Deadline for Decision On Ratification
AP-5508 Order Regarding Respondent's Unauthorized Filings
AP-5424 Order Granting in Part Motion for Extension
AP-5307 Notice to the Parties and Order Following Remand
33-10310
  • 34-80057
 Order Denying Request for Extension of Time to File Reply Brief
33-10296
  • 34-79886
 Order Denying Request to Exceed Word Limit
33-10260
  • 34-79413
 Order Granting Petition for Review and Scheduling Briefs
33-10243 Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Section 8A of the Securities Act of 1933 as to Luigi Agostini
AP-4184 Order
AP-4146 Stay Order
AP-4140 Order Following Prehearing Conference
AP-4120 Order Scheduling Prehearing Conference
AP-4107 Order
1051 Initial Decision of Default as to Edward M. Daspin
AP-4084 Order On Revisions to Record Index
AP-4080 Order
AP-4067 Order On Subpoena Requests
AP-4031 Order On Transcript Corrections
AP-4005 Order Following Prehearing Conference
AP-3996 Motion to the Commission for Extension
AP-3980 Order Scheduling Prehearing Conference
AP-3822 Order Granting Extension
AP-3776 Order to Submit Exhibit List
AP-3764 Protective Order
AP-3724 Order On Transcript Corrections
AP-3713 Order Denying Motion to Set Aside Default and Setting Motion for Sanctions Schedule
AP-3683 Order Finding Respondent Edward M. Daspin in Default
33-10040
  • 34-77177
 Order Granting Extension
AP-3606 Order to Show Cause
AP-3597 Order
AP-3594 Order
AP-3586 Order
33-10038
  • 34-77088
 Order Denying Stay
AP-3564 Order Following Prehearing Conference
AP-3539 Order Scheduling Prehearing Conference
AP-3532 Order Sealing Hearing and Setting Hearing Location
AP-3508 Order Staying Proceeding as to Luigi Agostini
AP-3481 Order Following Prehearing Conference
AP-3470 Motion to the Commission for Extension
AP-3465 Order
AP-3429 Order
AP-3416 Order
AP-3409 Order
AP-3403 Order
AP-3393 Order
AP-3372 Order
AP-3328 Order
AP-3263 Order
33-9963
  • 34-76178
 Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Section 8A of the Securities Act of 1933 and Sections 15(b) and 21C of the Securities Exchange Act of 1934 as to Lawrence R. Lux
AP-3222 Order
AP-3202 Order
AP-3183 Order Denying Stay Request
AP-3041 Scheduling Order
AP-3027 Order Rescheduling Prehearing Conference
AP-3023 Order Scheduling Prehearing Conference
AP-3003 Notice
AP-2999 Order Redesignating Presiding Judge
AP-2991 Stay Order as to Lawrence R. Lux
AP-2939 Order
AP-2936 Order
AP-2863 Order
AP-2811 Order
AP-2810 Order
AP-2773 Prehearing Order
AP-2725 Prehearing Order
AP-2699 Prehearing Order
AP-2654 Postponement Order
AP-2581 Order Scheduling Hearing and Designating Presiding Judge
33-9755
  • 34-74799
 Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933 and Sections 15(b) and 21C of the Securities Exchange Act of 1934
Release Date Release Number Other Release Numbers Name of Document
Answer to the Order Instituting Administrative and Cease and Desist Proceedings of Respondent Luigi Agostini
Answer to the Order Instituting Administrative And Cease and Desist Proceedings of Respondent Edward M. Daspin
Division's Memorandum in Opposition to Respondent Daspin's Motion for Summary Disposition
Ltr. Dated 12/8/15 from Respondent Daspin to ALJ Grimes Re: Supplemental Declaration in Further Support of Motion to Court.
The Division's Pre-Hearing Memorandum
Letter dated 1/20/2019 from Respondent, Supplemental declaration in opposition to
the Divisions' contempt motion
Letter dated 1/9/2019 from Repsondent, requesting review of Judge's order.
Letter dated 1/14/2019 from Respondent, Declaration Request.
Email dated 9/13/2018, Respondent's update to vacate his case
Email dated 9/14/2018 from Resp.w/ 5 duplicate docs.: Declaration of Daspin Motion and Prayer for Releif (hard copy rcv'd 9/1718); Proposed Order(s) for Summary
Disposition/settlements'; Request for $2,800,000; email; and letter
Respondent's confidential brief and declaration and supplement declaration
Respondent's brief seeking to vacate the complaint, to void default judgement and
financial penalties, and such other relief as requested in the three orders attached to
the brief
Division of Enforcement's Response to Respondent Daspin's August 28, 2018 Filing
Letter dated 9/7 /18 Resp. Daspin's Reply to Enforcement's Reply to his 8/25/18
Declaration with Supplemental Modification Declaration and Brief Re:8/25/18
Letter dated 9/7/18 Resp. Daspin's Reply to his 8/25/18 submissions and Motion for
summary judgement
Letter dated 8/5/2018, Respondent Daspin's Supplemental Modified Declaration and
Brief Re: 8/25/18; to the Commissioners submissions
Letter dated 1/25/2019 from Respondent, Supplemental Declaration In Support of
Dismal, Vacate and/or Settlement & Opposition to Contempt
Division's Response to Respondent Edward Daspin's February 13, 2019 and February 15, 2019 Filings
Division's Response to Respondent Daspin's February 15, 2109 Filings Regarding
"Documents from the Division"
Division's Response to Respondent' Filing Dated February 20, 2019
Letter dated 3/1/19, from Respondent's Declaration & Brief to support motion for a
tolling of time to postpone the case for medical reasons or dismiss it for those reasons
Letter from respondent to ALJ office and OS; with redlined attachment dated 3/10/19
Letter dated March 12, 2019, from Division of Enforcement to ALJ office
Daspin's Brief in Support and Declaration of the motions, with exhibits 1-8
Email dated 11/14/2018 from Respondent with declaration and Brief and certificate of service
Division of Enforcement's Opposition to Respondent Daspin's December 5, 2018
Filing.
Respondent's Declaration and Response to Division's Reply to Respondent's Declaration of 12/7/18
Division's Motion to Dismiss or Strike Respondent's December 11, 2018, Filings
Division's Motion for an Order to Show Cause Why Respondent Daspin Should Not be Deemed in Default
Plaintiffs Motion for Evidentiary Sanctions
Division of Enforcement's Prehearing Memorandum
Letter dated 4/3/2019 from Respondent to ALJ and OS; Declaration and brief &
opposition to contempt and Proof of Innocence
Letter from Respondent to Division and ALJ, regarding certified mail delivery and
extension
Letter dated 5/21/19 from Division to ALJ notifying her that it does not intend to
respond to Respondent's interim emails
Email from Respondent to ALJ; dated 5/20/2019 regarding making certain factual and legal arguments related to the hearing that just concluded
Letter dated 6/6/19 from Respondent regarding motion for relief and for a turnover
order to the division
Division of Enforcement's Post-Hearing Reply Memorandum
Letter dated 1/11/2019 from Respondent Regarding Declaration & Motion and Brief for the Following Violations
Letter dated 10/29/1 from Respondent Daspin, Declaration and Motion to Extend the Time to Prove Manifest Errors
Letter dated 12/4/19 from Respondent to OS requesting additional time to respond to the Initial Decision
Division's Partial Opposition to Respondent's Requests for a Free Hearing Transcript,
Exhibit Copies, and More Time to File a Motion to Correct Manifest Errors of Fact,
Declaration of Barry O'Connel, and Ex. A-K
Respondent's Petition for Review of the Initial Decision (titled "Supplemental Appeal
and Corrections of Manifest Errors of Fact")
Respondent's Supplemental Due Process Violation, Declaration and Renewed
Dismissal Motion, Clarification of Prior Submissions
Respondent's Motion and Declaration to Dismiss
Respondent's Supplemental Declaration/Motion to Dismiss
Respondent's Superceeding Supplemental Declaration/Motion to Dismiss
Division Brief in Opposition to Edward Daspin's Petition for Review of Initial Decision
Respondent’s Final Supplemental Declaration and Brief in Support of Motions
Respondent Daspin Declaration with Exhibit A and B
Letter with no date from Respondent Daspin to Commissioners
Supplemental Declaration to Declaration of September 8,2022 in further Support of my Prior Declarations Motion in addition to Restructuring the inhouse Process with Exhibit A
Declaration of Respondent in Support of Motion for an OSC to Restrain the SEC Commissioners from making further Extensions
Respondent Daspin’s Letter Re Plan and Compensation
Initial Decision of Default as to Edward M. Daspin
Initial Decision
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933 and Sections 15(b) and 21C of the Securities Exchange Act of 1934
Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Section 8A of the Securities Act of 1933 and Sections 15(b) and 21C of the Securities Exchange Act of 1934 as to Lawrence R. Lux
Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Section 8A of the Securities Act of 1933 as to Luigi Agostini
Order Denying Request for Extension of Time to File Reply Brief
Appendix
Order Scheduling Hearing and Designating Presiding Judge
Postponement Order
Prehearing Order
Prehearing Order
Prehearing Order
Order
Order
Order
Order
Order
Stay Order as to Lawrence R. Lux
Order Redesignating Presiding Judge
Notice
Order Scheduling Prehearing Conference
Order Rescheduling Prehearing Conference
Scheduling Order
Order Denying Stay Request
Order
Order
Order
Order
Order
Order
Order
Order
Order
Order
Order
Motion to the Commission for Extension
Order Following Prehearing Conference
Order Staying Proceeding as to Luigi Agostini
Order Sealing Hearing and Setting Hearing Location
Order Scheduling Prehearing Conference
Order Following Prehearing Conference
Order
Order
Order
Order to Show Cause
Order Finding Respondent Edward M. Daspin in Default
Order Denying Motion to Set Aside Default and Setting Motion for Sanctions Schedule
Order On Transcript Corrections
Protective Order
Order to Submit Exhibit List
Order Granting Extension
Order Scheduling Prehearing Conference
Motion to the Commission for Extension
Order Following Prehearing Conference
Order On Transcript Corrections
Order On Subpoena Requests
Order
Order On Revisions to Record Index
Order
Order Scheduling Prehearing Conference
Order Following Prehearing Conference
Stay Order
Order
Notice to the Parties and Order Following Remand
Order Granting in Part Motion for Extension
Order Regarding Respondent's Unauthorized Filings
Order Extending Deadline for Decision On Ratification
Order Denying Request for Extension
Order Denying Rule 111 Motion
Notice from the Chief Administrative Law Judge
Chief Administrative Law Judge's Order Assigning Proceedings Post Lucia v. SEC
Order Following Reassignment
Order Scheduling Prehearing Conference
Order Following Prehearing Conference
Order Regarding Request for Copies of Record Materials
Order On Edward M. Daspin's Motion for Reconsideration
Order Denying Motion for an Order to Show Cause and Entering Protective Order
Order Denying Motion to Postpone Hearing and for Issuance of Subpoenas
Notice of Hearing Location and Order Denying Motion
Order Denying Motion for Extension of Procedural Schedule and to Quash or Modify Subpoenas
Order Denying Motion for Stay or Dismissal
Order Clarifying Procedural Schedule
Final Prehearing Order
Order for Continued Hearing
Order for Continued Hearing
Post-Hearing Order
Order Denying Motion for Relief
Order Denying Motion for Transcript Copy
Post-Hearing Order On Exhibits
Order Granting Extension
Order Denying Extensions and Leave to File Reply Brief
Notice
Order Denying Stay
Order Granting Extension
Order Granting Petition for Review and Scheduling Briefs
Order Denying Request to Exceed Word Limit
Order Denying Motion for Reconsidertion
Supplemental Briefing Order
Order Denying Interlocutory Motions
Extension Order
Order Granting Petition for Review and Scheduling Briefs
Extension Order
in the Matter Of Edward M. Daspin, a/k/a "Edward (Ed) Michael"
in the Matter Of Edward M. Daspin, a/k/a "Edward (Ed) Michael"
Order Denying Request for Documents
Order Extending Time to File Reply Brief
Order Denying Motion for Extension of Time
Order Extending Time to Issue Decision
Order Extending Time to Issue Decision
Order Extending Time to Issue Decision
Order Extending Time to Issue Decision
Order Extending Time to Issue Decision
Order Extending Time to Issue Decision
Order Extending Time to Issue Decision
Declaration of Respondent Daspin
Declaration of Respondent Daspin
Letter from Respondent Daspin to Commissioners
Daspin's Supp. Motion Declaration for Reconsideration
Daspin's Motion for Reconsideration of June 2, 2023 Order
Daspin's Addendum to Motion for Reconsideration of June 2, 2023 Order
Daspin's Final Supp. Declaration ISO Motion for Reconsideration
Daspin's Reconsideration Extension Motion
Letter from Daspin Re Motion for Reconsideration
Letter from Respondent Daspin to Secretary Countryman

Documents