Administrative Proceeding File No. 3-17184

Respondents

Gibson, Christopher M.
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Release Date Release Number Other Release Numbers Name of Document
33-11198
  • 34-97640
  • IA-6323
  • IC-34933
  • AAER-4413
 Pending Administrative Proceedings (Order Dismissing Proceedings)
34-97500
  • IA-6309
  • IC-34916
 Order Extending Time to Issue Decision
34-96891
  • IA-6236
  • IC-34830
 34-96891.pdf
34-96302
  • IA-6186
  • IC-34750
 Order Extending Time To Issue Decision
34-95500
  • IA-6089
  • IC-34673
 Order Extending Time to Issue Decision
34-94919
  • IA-6023
  • IC-34585
 Order Extending Time to Issue Decision
34-94241
  • IA-5961
  • IC-34504
 Order Extending Time to Issue Decision
34-93572
  • IA-5907
  • IC-34417
 Order Extending Time to Issue Decision
34-92679
  • IA-5822
  • IC-34357
 Order Extending Time to Issue Decision
34-91913
  • IA-5735
  • IC-34271
 Order Extending Time to Issue Decision
34-88799 Order Granting Petition for Review and Scheduling Briefs
1398 Initial Decision
AP-6733 Order Extending Deadline for Issuance of Initial Decision
AP-6699 Order On Respondent's Exhibit 235
AP-6696 Order on Motions to Strike
AP-6695 Order On Respondent's Motion to Strike and the Division of Enforcement's Letter
AP-6679 Protective Order for Respondent's Financial Records
AP-6676 Order Granting Extension
AP-6668 Order Addressing Joint Stipulation On Constitutional Defenses
AP-6651 Order On Transcript Corrections
AP-6648 Post-Hearing Order
AP-6638 Order Following Final Prehearing Conference
AP-6629 Order Addressing Examination of Experts
AP-6624 Order Following Oral Argument
AP-6618 Order Denying Respondent's Motion to Quash
AP-6615 Order Granting Motion in Limine to Preclude Testimony by Current and Former Counsel for the Division of Enforcement
AP-6616 Order Granting Extension
AP-6600 Order Setting Oral Argument Date
AP-6599 Order On Reissuance of Subpoena
AP-6594 Order Directing Motions in Limine and Oral Argument
AP-6593 Order Granting Motion for Extension of Deposition Deadline
AP-6592 Notice of Hearing Location
AP-6530 Order Extending Prehearing Schedule and Rescheduling Hearing
AP-6507 Order Redesignating Presiding Judge
AP-6455 Order Extending Prehearing Schedule and Rescheduling Hearing
AP-6362 Order Granting Joint Motion for Protective Order
AP-6224 Order Setting Prehearing Schedule and General Prehearing Order
AP-6178 Order Scheduling Prehearing Conference
AP-6061 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
AP-5724 Order Ratifying Prior Actions
AP-5648 Order Extending Date for Ratification Ruling
AP-5429 Order On Motion to Extend Time
AP-5371 Order Regarding the Securities and Exchange Commission's Order On Pending Administrative Proceedings
34-80663
  • IA-4706
  • IC-32633
 Order Granting Motion to Strike and Modifying Briefing Schedule
34-80509
  • IA-4690
  • IC-32610
 Order Denying Motion to Stay Administrative Proceeding
34-80508
  • IA-4689
  • IC-32609
 Order Granting Extension of Time
34-80163
  • IA-4657
  • IC-32521
 Order Granting Petition for Review and Scheduling Briefs
1106 Initial Decision
AP-4546 Correction Order
AP-4389 Order Extending Briefing Deadlines
AP-4339 Order On Proposed Corrections to Hearing Transcript and Exhibits
AP-4302 Order Extending Date for Response to Motion to Correct Transcripts
AP-4238 Order Extending Briefing Deadlines
AP-4165 Post-Hearing Order
AP-4141 Order Denying Motion to Exclude Testimony
AP-4089 Order Following Second Prehearing Conference
AP-4079 Order On Motion in Limine
AP-4063 Order Scheduling Prehearing Conference
AP-4054 Order Granting Joint Motion for Modification of Protective Order
AP-3866 Order Granting Joint Motion for Prehearing Schedule
AP-3834 Order Following Prehearing Conference
AP-3821 Order On Motion
AP-3788 Order Granting Joint Motion for Protective Order
AP-3783 Order Postponing Hearing and Scheduling Prehearing Conference
AP-3755 Order Scheduling Hearing and Designating Presiding Judge
34-77466
  • IA-4359
  • IC-32059
 Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 21C 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 Investment Company Act of 1940
Release Date Release Number Other Release Numbers Name of Document
Opposition of Respondent Gibson to Division's Motion in Limine Requesting that Respondent Be Prohibited From Arguing Reliance on Counsel or Offering Evidence of Communications With Counsel
Division's Prehearing Brief
Motion in Limine Requesting Exclusion of Testimony of Lawyers Thomas Harman and Myron Steele
Opposition of Respondent Gibson To Division of Enforcement's Motion In Limine Requesting Exclusion Of Testimony of Thomas S. Harman And Myron T. Steele
Respondent's Opposition to Division's Motion in Limine Requesting that Portions of Respondent's Prior Testimony be Admitted into Evidence
Division's Proposed Findings of Fact and Conclusions of Law
Division's Post-Hearing Brief
Respondent's Post-Hearing Brief
Respondent's Proposed Findings of Fact and Conclusions of Law
Division's Responses to Respondents Proposed Findings and Conclusions
Division's Post-Hearing Reply Brief
Respondent's Petition for Review of Initial Decision
Respondent's Reply to Division's Opposition to his Motion to Stay Proceeding
Respondent's Opening Brief
Respondent's Motion for Oral Argument
Letter dated 4/2/17 from Respondents' to ALJ, regarding the subject of the in camera review.
Respondent's Motion to Stay Proceeding
Division's Opposition to Motion to Stay Proceeding
Division's Reply in Support of Motion to Strike Respondent's Opening Brief.
Opening Brief Of Respondent Christopher M. Gibson
Division's Opposition Brief
Respondent's Reply Brief
Letter dated 2/14/18 from the Division to CALJ Murray regarding Commission's
ratification of the prior appointment of its administrative law judges with proposed
draft order
Division's Response to Respondent's Brief Regarding New Evidence and Challenged Rulings, Findings, and Conclusions
Letter dated 3/1 /18 with Respondent's Opposition to Divison of Enforcement letter
dated 2/14/18
Letter dated 2/14/18 from counsel with Respondent's Brief regarding New Evidence
and Challenged Rulings, Findings and Conclusions
Respondent's Supplemental Petition for Review of Initial Decision
Respondent's Answer and Affirmative Defenses to the OIP
Respondent's Prehearing Brief
Division of Enforcement's Prehearing Brief
Division of Enforcement's Post Hearing Brief
Division of Enforcement's Proposed Findings of Fact and Conclusions of Law
Respondent's Proposed Post- Hearing Brief
Respondent's Proposed Findings of Fact and Conclusions of Law
Respondent's Request for Protective Order
Division of Enforcement's Responses to Respondent's Proposed Findings of Fact and Law Conclusions of Law
Respondent's Post Hearing Reply Brief
Respondent's Reply to Division's Opposition to Respondent's Motion to Strike
Respondent Christopher M. Gibson's Response to Division's Proposed Findings of
Fact and Conclusions of Law
Division of Enforcement's Post-Hearing Reply Brief
Respondent Christopher M. Gibson's Constitutional Challenges
Respondent's Pettition for Review
Brief in Support of Petition for Review of Initial Decision
Divisions's Opposition Brief
Respondent’s Reply Brief
Initial Decision
Initial Decision
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 21C 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 Investment Company Act of 1940
Order Scheduling Hearing and Designating Presiding Judge
Order Postponing Hearing and Scheduling Prehearing Conference
Order Granting Joint Motion for Protective Order
Order On Motion
Order Following Prehearing Conference
Order Granting Joint Motion for Prehearing Schedule
Order Granting Joint Motion for Modification of Protective Order
Order Scheduling Prehearing Conference
Order On Motion in Limine
Order Following Second Prehearing Conference
Order Denying Motion to Exclude Testimony
Post-Hearing Order
Order Extending Briefing Deadlines
Order Extending Date for Response to Motion to Correct Transcripts
Order On Proposed Corrections to Hearing Transcript and Exhibits
Order Extending Briefing Deadlines
Correction Order
Order Regarding the Securities and Exchange Commission's Order On Pending Administrative Proceedings
Order On Motion to Extend Time
Order Extending Date for Ratification Ruling
Order Ratifying Prior Actions
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 Setting Prehearing Schedule and General Prehearing Order
Order Granting Joint Motion for Protective Order
Order Extending Prehearing Schedule and Rescheduling Hearing
Order Redesignating Presiding Judge
Order Extending Prehearing Schedule and Rescheduling Hearing
Notice of Hearing Location
Order Granting Motion for Extension of Deposition Deadline
Order Directing Motions in Limine and Oral Argument
Order On Reissuance of Subpoena
Order Setting Oral Argument Date
Order Granting Extension
Order Granting Motion in Limine to Preclude Testimony by Current and Former Counsel for the Division of Enforcement
Order Denying Respondent's Motion to Quash
Order Following Oral Argument
Order Addressing Examination of Experts
Order Following Final Prehearing Conference
Post-Hearing Order
Order On Transcript Corrections
Order Addressing Joint Stipulation On Constitutional Defenses
Order Granting Extension
Protective Order for Respondent's Financial Records
Order On Respondent's Motion to Strike and the Division of Enforcement's Letter
Order on Motions to Strike
Order On Respondent's Exhibit 235
Order Extending Deadline for Issuance of Initial Decision
Order Granting Petition for Review and Scheduling Briefs
Order Granting Extension of Time
Order Denying Motion to Stay Administrative Proceeding
Order Granting Motion to Strike and Modifying Briefing Schedule
Order Granting Petition for Review and Scheduling Briefs
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
34-96891.pdf

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