Administrative Proceeding File No. 3-15215

Respondents

Tagliaferri, James S.
Release Date Release Number Other Release Numbers Name of Document
33-10308
  • 34-80047
  • IA-4650
  • IC-32480
 Opinion of the Commission
34-77825 Order Granting Petition for Review and Scheduling Briefs
AP-3798 Order Denying Motion to Correct Manifest Error of Fact
AP-3772 Order On Post-Initial Decision Motion
985 Initial Decision
AP-3413 Order Extending Deadlines
AP-3274 Order to Show Cause, Amending Procedural Schedule, and Directing Supplemental Briefing
AP-3277 Order Withdrawing Show Cause Order
AP-3160 Order On Procedural Schedule
AP-3124 Order Scheduling Prehearing Conference Following Amendment of the Order Instituting Proceedings
34-75820
  • IA-4187
  • IC-31804
 Order Granting Motion to Amend Order Instituting Proceedings
AP-2800 Protective Order
AP-2797 Order Following Prehearing Conference
AP-2780 Order Scheduling Prehearing Conference
AP-2750 Order Lifting Stay
AP-2717 Order Directing Response from U.S. Attorney's Office
AP-2655 Order
AP-2339 Order
AP-2269 Order
AP-1972 Order
AP-1832 Order
AP-1554 Order
AP-1325 Order
34-68963
  • IA-3555
 ORDER INSTITUTING ADMINISTRATIVE PROCEEDINGS PURSUANT TO SECTION 15(b)(6) OF THE SECURITIES EXCHANGE ACT OF 1934, SECTION 203(f) OF THE INVESTMENT ADVISERS ACT OF 1940, AND SECTION 9(b) OF THE INVESTMENT COMPANY ACT OF 1940 AND NOTICE OF HEARING\
Release Date Release Number Other Release Numbers Name of Document
US Dept of Justice's Application to Intervene and Motion to Stay Admin Proceeding, with Memorandum of Law in Support
Order Staying Proceeding
Division of Enforcement's Status Report
Division of Enforcement's Status Report with Attached Exhibits A-B.
Division of Enforcement's Status Report Dated 5/6/15
Letter Dated May 22, 2015 to Administrative Law Judge from Division of Enforcement in Response to May 20, 2015 Letter from Respondent Regarding Division's Motion to Intervene and for a Stay to Produce Investigative Files
Letter Dated May 20, 2015 to ALJ from Respondent Tagliaferri Regarding Request for Court to Lift Stay and Compel the Commission to Provide Respondent with All Evidence It Collected in Its Investigation of This Matter
Division of Enforcement's Motion for a Protective Order and Memorandum of Law in Support
Division of Enforcement's Motion to Amend the Order Instituting Proceedings and Brief in Support
Respondent's Opposition to Division of Enforcement's Motion to Amend the Order Instituting Proceedings
Respondent's Answer to OIP
Opposition to Motion for Summary Disposition
Respondent's Opposition to Division of Enforcement's Supplemental Brief, in Response to Court's Order of 10/30/15, and in Further Support of Respondent's Opposition to the Division of Enforcement's Motion for Summary Disposition
Division of Enforcement's Reply Mem. in Further Support of Its 11/19/15 Supplemental Submission and Its Motion for Summary Disposition
Respondent's Petition for Review of Court's Initial Decision Dated 3/23/16 and Motion to Correct Manifest Errors of Fact
Division of Enforcement's Opposition to Respondent's Motion to Correct Manifest of Errors of Fact
Division of Enforcement's Mem. of Law in Opposition to the Respondent's Petition for Review
Initial Decision
ORDER INSTITUTING ADMINISTRATIVE PROCEEDINGS PURSUANT TO SECTION 15(b)(6) OF THE SECURITIES EXCHANGE ACT OF 1934, SECTION 203(f) OF THE INVESTMENT ADVISERS ACT OF 1940, AND SECTION 9(b) OF THE INVESTMENT COMPANY ACT OF 1940 AND NOTICE OF HEARING\
Order
Order
Order
Order
Order
Order
Order
Order Directing Response from U.S. Attorney's Office
Order Lifting Stay
Order Scheduling Prehearing Conference
Order Following Prehearing Conference
Protective Order
Order Scheduling Prehearing Conference Following Amendment of the Order Instituting Proceedings
Order On Procedural Schedule
Order Withdrawing Show Cause Order
Order to Show Cause, Amending Procedural Schedule, and Directing Supplemental Briefing
Order Extending Deadlines
Order On Post-Initial Decision Motion
Order Denying Motion to Correct Manifest Error of Fact
Opinion of the Commission
Order Granting Motion to Amend Order Instituting Proceedings
Order Granting Petition for Review and Scheduling Briefs

Documents