Administrative Proceeding File No. 3-16795

Respondents

Fox, Joseph J.
Release Date Release Number Other Release Numbers Name of Document
1382 Initial Decision
AP-6621 Order to Show Cause
AP-6601 Order
AP-6584 Order
AP-6541 Order
AP-6496 Prehearing Order
AP-6489 Order
AP-6125 Order
AP-5955 Chief Administrative Law Judge's Order Assigning Proceedings Post Lucia v. SEC
AP-5954 Notice from the Chief Administrative Law Judge
AP-5564 Order Ratifying Actions
AP-5413 Order Following Conference
AP-5403 Order Scheduling Conference
AP-5264 Notice to the Parties and Order Following Remand
34-80460 Extension Order
33-10328
  • 34-80308
 Opinion of the Commission
34-78841 Extension Order
34-78209 Order Granting Petition for Review and Scheduling Briefs
AP-3854 Order Denying Respondent's Motion to Correct a Manifest Error of Fact
AP-3832 Order
1004 Initial Decision
AP-3711 Order Denying Motion for Summary Disposition Without Prejudice and Scheduling Prehearing Conference
AP-3514 Order Requesting Supplemental Briefing
AP-3425 Order Granting in Part Respondent's Request for Extension of Time
AP-3374 Order Granting Extension of Time
AP-3325 Protective Order
AP-3273 Order On Procedural Schedule
AP-3154 Order Postponinghearing and Directing Parties to Confer On Briefing Schedule
AP-3110 Order Scheduling Hearing and Designating Presiding Judge
33-9908
  • 34-75857
 Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933 and Section 15(b) of the Securities Exchange Act of 1934, Making Findings, Imposing Remedial Sanctions and a Cease-and-Desist Order and Notice of Hearing
Release Date Release Number Other Release Numbers Name of Document
Division's Motion for Summary Disposition and Brief in Support and Memorandum of Law in Support of Its Motion for Summary Disposition
Respondent's Response Brief to Division's Motion for Summary Disposition
Division's Reply in Support of its Motion for Summary Disposition
Division's Supplemental Brief in Support of its Motion for Summary Disposition
Respondent's Reply to Division's Supplemental Brief in Support of its Motion for Summary Disposition
Respondent's Motion to Correct Manifest Errors
Respondent Fox's Petition for Review of the Initial Decision
Division's Motion for Summary Affirmance of Initial Decision
Respondent's Brief in Support of the Petition for Review of the lntial Decision
Division's Brief in Opposition to Respondent's Petition for Review
Respondent's Reply Brief in Support of Petition for Review of Initial Decision
Respondent's Combined (1) Response to Division's Motion to Strike Fox's Reply Brief in Support of his Petition for Review, and (2) Motion Under Rule 452 of the Rules of Practice to Admit Highly Relevant Information
Respondent's Motion for Reconsideration of the Commission's March 24, 2017
Opinion Imposing a Five-Year Collateral Bar
Division's Motion to Strike (the reply brief in support of petition for review of initial
decision)
Division's Response to Respondent Joseph J. Fox's January 6, 2018 Letter and
Proposed Order
Letter Dated 1 /5/18 from Division to ALJ Requesting that He Ratify All Prior Actions Made in this Proceeding, with Proposed Order
Ltr dated 2/27/18 from Resp requesting consideration of Resp.'s 5/8/17 Mot. to
Reconsider the 3/4/17 Opinion; Resp's1/6/18 letter to ALJ; and requesting Denial of
Div's Motion for Summary Disposition w/Prejudice
Letter Dated 1 /5/18 from Respondent to B. Fields in Response to the ALJ's 12/5/17 Notice to the Parties and Order Following Remand, with Proposed Order Ratifying Initial Decision, with Exhibits 1-3
Division of Enforcement's Response to Respondent Joseph J. Fox's February 27,
2018 Letter
Letter dated 5/2/18 from Respondent to Secretary Fields in response to division's 3/16/18 response
Division of Enforcement's Motion for Summary Disposition and Brief in Support
Initial Decision
Initial Decision
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933 and Section 15(b) of the Securities Exchange Act of 1934, Making Findings, Imposing Remedial Sanctions and a Cease-and-Desist Order and Notice of Hearing
Notice That Initial Decision Has Become Final
Extension Order
Extension Order
Order Scheduling Hearing and Designating Presiding Judge
Order Postponinghearing and Directing Parties to Confer On Briefing Schedule
Order On Procedural Schedule
Protective Order
Order Granting Extension of Time
Order Granting in Part Respondent's Request for Extension of Time
Order Requesting Supplemental Briefing
Order Denying Motion for Summary Disposition Without Prejudice and Scheduling Prehearing Conference
Order
Order Denying Respondent's Motion to Correct a Manifest Error of Fact
Notice to the Parties and Order Following Remand
Order Scheduling Conference
Order Following Conference
Order Ratifying Actions
Notice from the Chief Administrative Law Judge
Chief Administrative Law Judge's Order Assigning Proceedings Post Lucia v. SEC
Order
Order
Prehearing Order
Order
Order
Order
Order to Show Cause
Opinion of the Commission
Order Granting Petition for Review and Scheduling Briefs

Documents