Securities and Exchange Commission v. Caplitz et al

Defendant: Gregg D. Caplitz, Insight Onsite Strategic Management, LLC, Rosalind Herman, Brad Herman, Charlene Herman, Brian Herman and The Knew Finance Experts, Inc.
Plaintiff: Securities and Exchange Commission
 
Case Number: 1:2013cv10612
Filed: March 15, 2013
 
Court: Massachusetts District Court
Office: Boston Office
County: Barnstable
Presiding Judge: Mark L. Wolf
 
Nature of Suit: Securities/Commodities
Cause of Action: 15:77 Securities Fraud
Jury Demanded By: Plaintiff

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Date Filed#Document Text
March 21, 2013 24 Featured Case Judge Mark L. Wolf: ORDER entered. Therefore, it is hereby ORDERED that: 1. Counsel for the parties shall confer forthwith and, by March 22, 2013, at 12:00 noon, inform the court of whether defendants agree to an extension of the TRO. If so, the parties shall propose a schedule to complete the briefing concerning the Motion and state their respective positions as to whether it will be necessary or appropriate for the court to hear testimony from any particular witness(es). 2. If the defe ndants do not consent to an extension of the TRO: a) The defendants shall, by March 26, 2013, respond to the Motion and identify any potential witness(es) that they propose testify at the hearing on it. b) The SEC shall, by March 28, 2013, file any reply, and identify any potential witness(es) that it proposes testify at the hearing on the Motion. c) A hearing on the Motion shall be held on April 1, 2013, at 11: 00 a.m. Unless otherwise ordered, each potential witness identified by a party s hall be present to testify, if necessary, at the hearing. 3. By March 26, 2013, Julie M. Riewe, Deputy Chief of the SEC's Enforcement Division's Asset Management Unit, shall file an affidavit and supporting memorandum seeking to demonstr ate why the court should not find that the statement attributed to her in the attached March 18, 2013 press release and March 19, 2012 Boston Globe article violates Rule 83.2A of the Local Rules of the United States District Court for the District of Massachusetts, which prohibits certain extrajudicial statements. C.f. United States v. Flemmi, 223 F. Supp. 2d 113 (D. Mass. 2000). Her affidavit should, among other things, address whether she was aware when she made her statement that Gregg D. Caplitz is also a defendant in a pending criminal case in the District of Massachusetts, United States v. Caplitz, Cr. No. 12-10015-WGY, and whether she or the SEC have communicated or cooperated with government agents and/or attorneys with regard to the investigation and/or prosecution of that criminal case.(Hohler, Daniel)
May 9, 2013 46 Featured Case Judge Mark L. Wolf: ENDORSED ORDER entered granting 45 Motion to Stay The Stipulated Preliminary Injunction is appropriate and acceptable to the court. Having balanced the competing considerations, the court finds that defendants' request fo r a stay of the case pending resolution of the referenced criminal case is also justified. See SEC v. Dresser Industries, 628 F.2d 1368 (D.C. Cir. 1980); Microfinancial, Inc. Premier Holidays International, 385 F. 3d 72 (1st Cir. 2004). Therefore, it is hereby Ordered that: (1) this Motion is ALLOWED; (2) the Stipulated Preliminary Injunction is ENTERED; (3) the June 6, 2013 hearing is CANCELLED; and (4) defendants shall confer with the SEC and inform the court when the related criminal case is resolved. (Hohler, Daniel)

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Defendant: Gregg D. Caplitz
Represented By: Paul J. Andrews, Jr.(Designation Retained)
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Defendant: Insight Onsite Strategic Management, LLC
Represented By: Paul J. Andrews, Jr.(Designation Retained)
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Defendant: Rosalind Herman
Represented By: Paul J. Andrews, Jr.(Designation Retained)
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Defendant: Brad Herman
Represented By: Paul J. Andrews, Jr.(Designation Retained)
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Defendant: Charlene Herman
Represented By: Paul J. Andrews, Jr.(Designation Retained)
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Defendant: Brian Herman
Represented By: Paul J. Andrews, Jr.(Designation Retained)
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Defendant: The Knew Finance Experts, Inc.
Represented By: Paul J. Andrews, Jr.(Designation Retained)
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Plaintiff: Securities and Exchange Commission
Represented By: Kevin M. Kelcourse(Designation Retained)
Represented By: David P Bergers
Represented By: Mayeti Gametchu(Designation Retained)
Represented By: Kathleen Burdette Shields(Designation Retained)
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