Administrative Proceeding File No. 3-17342

Respondents

RD Legal Capital, LLC Dersovitz, Roni
Release Date Release Number Other Release Numbers Name of Document
34-84793 Notice that Initial Decision has become Final
1260 id1260jsp.pdf
AP-6062 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-5928 Notice of Extension of Stay
AP-5828 Notice of Stay
AP-5813 Order Regarding Lucia V. SEC
AP-5708 Order Directing Supplemental Briefing
AP-5688 Motion to Commission for Extension of Time to File Initial Decision
AP-5625 Order On Ratification
AP-5618 Order Extending Deadline for Decision On Ratification
AP-5281 Notice to the Parties and Order Allowing New Evidence
AP-4976 Order Granting Respondents' Rule 250(d) Motion On Valuation Allegations
AP-4908 Protective Order
AP-4855 Order Granting Stipulated Transcript Corrections
AP-4781 Post-Hearing Order
AP-4683 Order Following Prehearing Conference
AP-4673 Order On Motion to Preclude Reliance Defense
AP-4670 Order Redesignating Presiding Judge
AP-4657 Order
AP-4645 Order
AP-4622 Order
AP-4561 Order
AP-4526 Order
AP-4521 Order
AP-4515 Order
AP-4499 Order
AP-4474 Order
AP-4387 Order
AP-4237 Scheduling Order
AP-4086 Prehearing Order
AP-4036 Postponement Order
AP-3988 Order Scheduling Hearing and Designating Presiding Judge
33-10111
  • 34-78325
  • IA-4452
  • IC-32176
 Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Section 21C of the Securities Exchange Act of 1934, Sections 203(e) and 203(f) 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
Letter dated 4/2/17 from Respondents' to ALJ, regarding the subject of the in camera review.
Division's Memorandum of Law in Opposition to Respondents' Motion for a More Definite Statement
Respondents' Motion for a More Definite Statement
Respondents' Answer
Letter dated 10/31/16 from Respondents to ALJ in response to Division's 10/21/16 letter to ALJ.
Respondents' Motion to Quash or, in the Alternative, to Modify Subpoena, with Tabs A-B
Non-Party Steven Mizel's Application to Quash or Modify Subpoena to Produce Documents
Division's Response to Steven Mizel's Application to Quash or Modify Subpoena to
Produce Documents
Non-Parties Alan Mantell and Arthur Sinensky's Motion to Quash or Modify
Subpoenas
Respondents' Application to Quash or Modify Subpoena to Produce Documents
Division's Expert Report of Professor Anthony J. Sebek
Expert Report of Leon M. Metzger
Expert Report of David X. Martin
Letter dated 2/16/17 from Respondents to ALJ in response to Division's letter dated 2/16/17
Letter Dated 2/16/17 from Division to ALJ Opposing Respondents' Request for Leave to File Motion for Summary Disposition
Respondents' Motion in Limine to Exclude Testimony of Ian Guy
Respondents' Pretrial Brief
Division's Response to Respondents (I) Motion in Limine, (II) Objections to Exhibits,
and (Ill) Motion to Dismiss
Division's Memorandum of Law in Support of Omnibus Motion in Limine to Preclude Certain Testimonial and Documentary Evidence
Respondents' Motion for Protective Order
Respondents' Opposition to Division's Omnibus Motion in Limine
Letter dated 3/17 /17 from Division to ALJ in response to Respondents' 3/16/17 letter regarding privilege.
Letter dated 3/18/17 from Division to ALJ in response to Respondents' letter of 3/17/17 regarding alleged Brady violation.
Letter dated 3/17 /17 from Respondents to ALJ seeking emergency relief regarding Division's obligation under Brady.
Division's Prehearing Brief
Respondents' Motion to Dismiss Unconstitutional Proceeding
Letter dated May 12, 2017 from Respondents to ALJ in response to Divisions letter of May 5, 2017
Division's Post Hearing Brief
Division's Proposed Findings of Fact
Respondents' Amended Proposed Findings of Facts
Respondents' Proposed Findings of Fact
Division's Reponse to Respondent's Proposed Findings of Fact
Division's Reply Posthearing Brief
Letter dated 9/1/17 from Respondents to ALJ Regarding Paragraph 8 of the Court's
May 2, 2107 Post-Hearing Order
Letter dated 5/5/17 from Division to ALJ to set forth the record evidence regarding
Flagship Funds
Letter dated 12/04/17 from Respondents to ALJ Regarding their Constitutional Objections to Administrative Proceeding
Letter dated 12/6/17 from Division to ALJ in Response to Respondents' Constitutional Objections to this Administrative Proceedings
Letter Dated 1 /5/18 from Division to ALJ Requesting that He Ratify All Prior Actions Made in this Proceeding, with Proposed Order
Respondents' Response to Commission's November 30, 2017 Order
Letter Dated 1/12/18 from Division to ALJ in Response to Respondents' 1/5/18 Submission
Letter Dated 1 /19/18 from Respondent to ALJ in Response to the Division's 1 /5/18 and 1/12/18 Submission
Letter Dated 2/5/18 from Respondents to ALJ in Response to the Court's Request
that Parties Address the ALJ's Dismissal of an Agency's Proceeding
Letter Dated 2/12/18 from Division to ALJ in Response to the Respondents' Request for the ALJ's Dismissal of the Agency's Administrative Proceedings
Respondent's Disgorgement Brief
Division's Motion for Summary Disposition
Division's Response to Supplemental Brief Regarding Disgorgement
Respondents' Disgorgement Reply Brief
Parties' Joint Agreement on Alternative Procedures
id1260jsp.pdf
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Section 21C of the Securities Exchange Act of 1934, Sections 203(e) and 203(f) 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
Initial Decision Appendix
Administrative Summary
Order Scheduling Hearing and Designating Presiding Judge
Postponement Order
Prehearing Order
Scheduling Order
Order
Order
Order
Order
Order
Order
Order
Order
Order
Order
Order Redesignating Presiding Judge
Order On Motion to Preclude Reliance Defense
Order Following Prehearing Conference
Post-Hearing Order
Order Granting Stipulated Transcript Corrections
Protective Order
Order Granting Respondents' Rule 250(d) Motion On Valuation Allegations
Notice to the Parties and Order Allowing New Evidence
Order Extending Deadline for Decision On Ratification
Order On Ratification
Motion to Commission for Extension of Time to File Initial Decision
Order Directing Supplemental Briefing
Order Regarding Lucia V. SEC
Notice of Stay
Notice of Extension of Stay
Notice from the Chief Administrative Law Judge
Chief Administrative Law Judge's Order Assigning Proceedings Post Lucia v. SEC
Order Following Reassignment

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