Securities and Exchange Commission v. Shapiro
Plaintiff: Securities and Exchange Commission
Defendant: Michael A. Gramins, Tyler G. Peters and Ross B. Shapiro
Interested Party: Alliancebernstein, L.P. and Putnam Investments LLC
Intervenor: United States Attorney's Office, District of Connecticut
Case Number: 1:2015cv07045
Filed: September 8, 2015
Court: US District Court for the Southern District of New York
Office: Foley Square Office
County: XX Out of State
Presiding Judge: Richard M Berman
Referring Judge: Robert W Lehrburger
Nature of Suit: Securities/Commodities
Cause of Action: 15 U.S.C. § 77
Jury Demanded By: Plaintiff
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Docket Report

This docket was last retrieved on March 8, 2023. A more recent docket listing may be available from PACER.

Date Filed Document Text
June 7, 2019 Opinion or Order Filing 164 ORDER granting #163 Letter Motion for Extension of Time to Complete Discovery. Granted. SO ORDERED. Deposition due by 10/31/2019. (Signed by Magistrate Judge Robert W. Lehrburger on 6/7/2019) (mml)
June 7, 2019 Opinion or Order Filing 163 LETTER MOTION for Extension of Time to Complete Discovery addressed to Magistrate Judge Robert W. Lehrburger from Brett D. Jaffe dated June 7, 2019. Document filed by Tyler G. Peters.(Jaffe, Brett)
June 7, 2019 Opinion or Order Set/Reset Deadlines: Fact Discovery due by 10/31/2019. (mml)
May 24, 2019 Opinion or Order Filing 162 LETTER addressed to Magistrate Judge Robert W. Lehrburger from Rua M. Kelly dated 05/24/2019 re: Discovery Status Update. Document filed by Securities and Exchange Commission.(Kelly, Rua)
May 22, 2019 Opinion or Order Filing 161 NOTICE OF APPEARANCE by Jeffrey Burton Sklaroff on behalf of Michael A. Gramins. (Sklaroff, Jeffrey)
May 22, 2019 Opinion or Order Filing 160 NOTICE OF CHANGE OF ADDRESS by Marc Lee Mukasey on behalf of Michael A. Gramins. New Address: Mukasey Frenchman & Sklaroff LLP, 2 Grand Central Tower, 140 East 45th Street, 17th Floor, New York, New York, USA 10017, (212) 466-6400. (Mukasey, Marc)
May 10, 2019 Opinion or Order Filing 159 LETTER addressed to Magistrate Judge Robert W. Lehrburger from Rua M. Kelly dated 05/10/2019 re: Discovery Issue re: Depositions. Document filed by Securities and Exchange Commission.(Kelly, Rua)
May 7, 2019 Opinion or Order Filing 158 ORDER granting #157 Letter Motion for Extension of Time. Application granted. SO ORDERED. (Discovery due by 10/31/2019.) (Signed by Judge Richard M. Berman on 5/7/2019) (jca)
May 7, 2019 Opinion or Order Set/Reset Deadlines: Responses due by 3/3/2020 (jca)
May 6, 2019 Opinion or Order Filing 157 LETTER MOTION for Extension of Time of the Deadlines for Discovery and Trial addressed to Judge Richard M. Berman from Brett D. Jaffe dated May 6, 2019. Document filed by Tyler G. Peters.(Jaffe, Brett)
March 25, 2019 Opinion or Order Filing 156 JOINT LETTER addressed to Magistrate Judge Robert W. Lehrburger from Rua M. Kelly dated 03/25/2019 re: Discovery Status Update. Document filed by Securities and Exchange Commission.(Kelly, Rua)
March 18, 2019 Opinion or Order Filing 155 ORDER granting in part and denying in part #152 Letter Motion for Local Rule 37.2 Conference. This resolves Defendant Peters' request to compel production of materials from the SEC concerning the Harrison Parking Investigation and the Dinucci Investigation. (Dkt. 152.) Peters' application is granted in part and denied in part. This Court already has ordered the SEC to produce witness statements and testimony for certain individuals. (Dkt. 150.) To the extent not previously encompassed by that order, statements and testimony of both Harrison and Dinucci should be produced as those materials are relevant to Harrison and Dinucci's credibility and they are potential witnesses in this case. However, the Court does not agree that documents concerning what other people said about Harrison and Dinucci should be produced. These materials go far afield into collateral issues and/or inadmissible material, and their production is not proportional to the needs of the case. (Signed by Magistrate Judge Robert W. Lehrburger on 3/18/2019) Copies Sent By Chambers. (mml)
March 12, 2019 Opinion or Order Filing 154 LETTER RESPONSE to Motion addressed to Magistrate Judge Robert W. Lehrburger from Kurt Wm. Hemr dated March 12, 2019 re: #152 LETTER MOTION for Local Rule 37.2 Conference addressed to Magistrate Judge Robert W. Lehrburger from Brett D. Jaffe dated March 8, 2019. . Document filed by Putnam Investments LLC. (Hemr, Kurt)
March 12, 2019 Opinion or Order Filing 153 LETTER RESPONSE to Motion addressed to Magistrate Judge Robert W. Lehrburger from Rua M. Kelly dated 03/12/2019 re: #152 LETTER MOTION for Local Rule 37.2 Conference addressed to Magistrate Judge Robert W. Lehrburger from Brett D. Jaffe dated March 8, 2019. . Document filed by Securities and Exchange Commission. (Kelly, Rua)
March 8, 2019 Opinion or Order Filing 152 LETTER MOTION for Local Rule 37.2 Conference addressed to Magistrate Judge Robert W. Lehrburger from Brett D. Jaffe dated March 8, 2019. Document filed by Tyler G. Peters.(Jaffe, Brett)
March 8, 2019 Opinion or Order ***NOTICE TO ATTORNEY TO RE-FILE DOCUMENT - EVENT TYPE ERROR. Notice to Attorney Brett D. Jaffe to RE-FILE Document #151 LETTER MOTION for Local Rule 37.2 Conference addressed to Magistrate Judge Robert W. Lehrburger from Brett D. Jaffe dated March 7, 2019. Use the event type Compel found under the event list Motion (Letter). (db)
March 7, 2019 Opinion or Order Filing 151 FILING ERROR - WRONG EVENT TYPE SELECTED FROM MENU - LETTER MOTION for Local Rule 37.2 Conference addressed to Magistrate Judge Robert W. Lehrburger from Brett D. Jaffe dated March 7, 2019. Document filed by Tyler G. Peters.(Jaffe, Brett) Modified on 3/8/2019 (db).
March 1, 2019 Opinion or Order Filing 150 ORDER denying #147 Letter Motion for Local Rule 37.2 Conference. This resolves Defendant Peters' request for a conference regarding Mr. Peters' request for production of witness statements and testimony from the SEC. (Dkt. 147.) The request for conference is denied as the Court has sufficient information to resolve the dispute. The request for non-public witness statements and testimony as framed by Peters is overly broad, unduly burdensome, and not proportional to the needs of the case, including to the extent it seeks witness statements and testimony from any non-publicinvestigation of "Litvak-style tactics" regardless of the parties involved. The SEC, however, shall produce witness statements and testimony obtained during non- public investigations into both 'Litvak-style' and non-'Litvak-style' trading in the RMBS market for both the individuals identified as counterparties to the trades at issue in this case and the individuals identified in the SEC's initial disclosure. SO ORDERED. (Signed by Magistrate Judge Robert W. Lehrburger on 3/1/2019) (ks)
February 28, 2019 Opinion or Order Filing 149 LETTER addressed to Magistrate Judge Robert W. Lehrburger from Kurt Wm. Hemr dated February 28, 2019 re: respectfully informing the Court of Putnam's intention of responding to and opposing Defendant Tyler Peters' Letter Motion(s). Document filed by Putnam Investments LLC.(Hemr, Kurt)
February 28, 2019 Opinion or Order Filing 148 LETTER addressed to Magistrate Judge Robert W. Lehrburger from Rua M. Kelly dated 02/28/2019 re: Response to 2/25/19 Letter-Motion re: Discovery Dispute. Document filed by Securities and Exchange Commission.(Kelly, Rua)
February 25, 2019 Opinion or Order Filing 147 LETTER MOTION for Local Rule 37.2 Conference addressed to Magistrate Judge Robert W. Lehrburger from Brett D. Jaffe dated February 25, 2019. Document filed by Tyler G. Peters.(Jaffe, Brett)
February 12, 2019 Opinion or Order Filing 146 ORDER: The Court hereby directs that the remaining schedule for this case is as follows: All discovery is to be completed by August 31, 2019. Discovery issues should continue to be taken up with Judge Lehrburger. Pretrial submissions, including joint pretrial order, joint jury instructions, joint verdict sheet, list of names and places for voir dire, and motions in limine are due on or before December 27, 2019. Responses to any motions in limine are due on or before January 3, 2020. The final pretrial conference will be held on Tuesday, January 14, 2020 at 10:00 a.m. The trial will begin on Monday, January 27, 2020 at 9:00 a.m. Note: The Court will not "so order" any settlement agreement reached after January 7, 2020. ( Discovery due by 8/31/2019., Motions due by 12/27/2019., Pretrial Order due by 12/27/2019., Responses due by 1/3/2020, Final Pretrial Conference set for 1/14/2020 at 10:00 AM before Judge Richard M. Berman., Jury Trial set for 1/27/2020 at 09:00 AM before Judge Richard M. Berman.) (Signed by Judge Richard M. Berman on 2/12/2019) (mro)
February 12, 2019 Opinion or Order Filing 145 LETTER addressed to Judge Richard M. Berman from Rua M. Kelly dated 02/12/2019 re: Discovery Schedule. Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit Proposed Revised Scheduling Order)(Kelly, Rua)
January 24, 2019 Opinion or Order Filing 144 LETTER addressed to Magistrate Judge Robert W. Lehrburger from Rua M. Kelly dated 01/24/2019 re: Joint Discovery Status Update. Document filed by Securities and Exchange Commission.(Kelly, Rua)
December 28, 2018 Opinion or Order Filing 143 ORDER granting #142 Letter Motion for Discovery. SO ORDERED. (Signed by Magistrate Judge Robert W. Lehrburger on 12/28/2018) (mml)
December 28, 2018 Opinion or Order Filing 142 CONSENT LETTER MOTION for Discovery to allow defendant Michael Garmins to participate in certain ongoing fact discovery addressed to Magistrate Judge Robert W. Lehrburger from Marc L. Mukasey dated December 28, 2018. Document filed by Michael A. Gramins.(Mukasey, Marc)
November 26, 2018 Opinion or Order Filing 141 LETTER addressed to Magistrate Judge Robert W. Lehrburger from Rua M. Kelly dated 11/26/2018 re: Status Update. Document filed by Securities and Exchange Commission.(Kelly, Rua)
November 15, 2018 Opinion or Order Filing 140 DECISION & ORDER denying #121 Motion for Reconsideration. For planning purposes, the Court hereby adjourns the current trial date from October 1, 2019 to October 21, 2019. (As further set forth in this order.) For the reasons stated above, Defendant's motion for reconsideration [#121] is denied. (Signed by Judge Richard M. Berman on 11/15/2018) (cf)
November 14, 2018 Opinion or Order Minute Entry for proceedings held before Judge Richard M. Berman: Status Conference held on 11/14/2018. Reconsideration motion is fully briefed. See transcript of proceedings held for a complete record. (Court Reporter Lisa Smith) (CM)
November 8, 2018 Opinion or Order Filing 139 LETTER addressed to Judge Richard M. Berman from Rua M. Kelly dated 11/08/2018 re: Status Conference. Document filed by Securities and Exchange Commission.(Kelly, Rua)
October 3, 2018 Opinion or Order Filing 138 FINAL JUDGMENT AS TO DEFENDANT ROSS B. SHAPIRO: IT IS HEREBY ORDERED, ADJUDGED, AND DECREED that Defendant is permanently restrained and enjoined from violating, directly or indirectly, Section 10(b) of the Securities Exchange Act of 1934 (the "Exchange Act") [15 U.S.C. 78j(b)] and Rule 106-5 promulgated thereunder [17 C.F.R. 240.106-5], by using any means or instrumentality of interstate commerce, or of the mails, or of any facility of any national securities exchange, in connection with the purchase or sale of any security (as further set forth in this Order.) IT IS FURTHER ORDERED, ADJUDGED, AND DECREED that Defendant shall pay a civil penalty in the amount of $200,000.00 to the Securities and Exchange Commission pursuant to Section 20(d) of the Securities Act, 15 U.S.C. 77t(d) and Section 2l(d)(3) of the Exchange Act, 15 U.S.C.78u(d)(3). Defendant shall make this payment within 14 days after entry of this Final Judgment. Motions terminated: #131 JOINT MOTION for Judgment to Enter as to Ross Shapiro. filed by Securities and Exchange Commission. (Signed by Judge Richard M. Berman on 10/3/2018) (Attachments: #1 Exhibit)(cf) Modified on 2/8/2019 (cf).
September 26, 2018 Opinion or Order Filing 137 LETTER addressed to Robert W. Lehrburger from Rua M. Kelly dated 09/26/18 re: Joint Status Letter. Document filed by Securities and Exchange Commission.(Kelly, Rua)
September 20, 2018 Opinion or Order Filing 136 NOTICE OF APPEARANCE by Alfred A. Day on behalf of Securities and Exchange Commission. (Day, Alfred)
September 20, 2018 Opinion or Order Filing 135 ORDER ON MOTION FOR ADMISSION PRO HAC VICE granting #134 Motion for Alfred A. Day to Appear Pro Hac Vice. (As further set forth in this Order.) (Signed by Judge Richard M. Berman on 9/20/2018) (cf)
September 18, 2018 Opinion or Order Filing 134 MOTION for Alfred A. Day to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Securities and Exchange Commission. (Attachments: #1 Affidavit of Alfred A. Day In Support of Motion, #2 Certificate of Good Standing, #3 Text of Proposed Order)(Day, Alfred)
September 18, 2018 Opinion or Order >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #134 MOTION for Alfred A. Day to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (bcu)
September 14, 2018 Opinion or Order Filing 133 ORDER granting #132 Letter Motion to Adjourn Conference. Conference adjourned to November 14, 2018 at 10:00 am. Status Conference set for 11/14/2018 at 10:00 AM before Judge Richard M. Berman. (Signed by Judge Richard M. Berman on 9/14/2018) (cf)
September 14, 2018 Opinion or Order Filing 132 LETTER MOTION to Adjourn Conference and Status Update addressed to Judge Richard M. Berman from Rua M. Kelly dated 09/14/2018. Document filed by Securities and Exchange Commission.(Kelly, Rua)
September 7, 2018 Opinion or Order Filing 131 JOINT MOTION for Judgment to Enter as to Ross Shapiro. Document filed by Securities and Exchange Commission. (Attachments: #1 Text of Proposed Order Proposed Judgment, #2 Exhibit Consent of Defendant)(Kelly, Rua)
July 31, 2018 Opinion or Order Filing 130 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a Case Management Conference proceeding held on 7/26/2018 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days.(vba)
July 31, 2018 Opinion or Order Filing 129 TRANSCRIPT of Proceedings re: Case Management Conference held on 7/26/2018 before Magistrate Judge Robert W. Lehrburger. Court Reporter/Transcriber: Carole Ludwig, (212) 420-0771. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 8/21/2018. Redacted Transcript Deadline set for 8/31/2018. Release of Transcript Restriction set for 10/29/2018.(vba)
July 26, 2018 Opinion or Order Filing 128 CIVIL CASE MANAGEMENT PLAN AND SCHEDULING ORDER: All fact discovery shall be completed by March 31, 2019. Depositions shall be completed by March 31, 2019. Expert discovery shall be completed by May 30, 2019. All parties do not consent to a trial before a Magistrate Judge at this time. The case is to be tried to a jury. The parties anticipate that the trial of this case will require 15 days. (As further set forth in this Order.) Deposition due by 3/31/2019. Fact Discovery due by 3/31/2019. Expert Discovery due by 5/30/2019. (Signed by Magistrate Judge Robert W. Lehrburger on 7/26/2018) (cf)
July 26, 2018 Opinion or Order Minute entry for proceedings held before Magistrate Judge Robert W. Lehrburger: Case Management Conference held on 7/26/2018 at 2:45 p.m. (rsh)
July 16, 2018 Opinion or Order Filing 127 RESPONSE in Opposition to Motion re: #121 MOTION for Reconsideration re; #107 Order on Motion to Dismiss, . . Document filed by Securities and Exchange Commission. (Kelly, Rua)
July 12, 2018 Opinion or Order Filing 126 ORDER granting #125 Letter Motion to Continue. Case Management Conference set for 7/26/2018 at 2:45 PM in Courtroom 18D, 500 Pearl Street, New York, NY 10007 before Magistrate Judge Robert W. Lehrburger. Parties are instructed to review and adhere to Judge Lehrburger's individual rules and practices. (HEREBY ORDERED by Magistrate Judge Robert W. Lehrburger)(Text Only Order) (Lehrburger, Robert)
July 12, 2018 Opinion or Order Filing 125 FILING ERROR - WRONG EVENT TYPE SELECTED FROM MENU - LETTER MOTION to Continue Case Management Conference addressed to Magistrate Judge Robert W. Lehrburger from Rua M. Kelly dated July 12, 2018. Document filed by Securities and Exchange Commission.(Kelly, Rua) Modified on 7/24/2018 (ldi).
July 11, 2018 Opinion or Order Filing 124 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a confernece proceeding held on 6/21/18 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days...(McGuirk, Kelly)
July 11, 2018 Opinion or Order Filing 123 TRANSCRIPT of Proceedings re: conference held on 6/21/2018 before Judge Richard M. Berman. Court Reporter/Transcriber: Vincent Bologna, (212) 805-0300. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 8/1/2018. Redacted Transcript Deadline set for 8/13/2018. Release of Transcript Restriction set for 10/9/2018.(McGuirk, Kelly)
July 9, 2018 Opinion or Order Filing 122 MEMORANDUM OF LAW in Support re: #121 MOTION for Reconsideration re; #107 Order on Motion to Dismiss, . . Document filed by Tyler G. Peters. (Jaffe, Brett)
July 9, 2018 Opinion or Order Filing 121 MOTION for Reconsideration re; #107 Order on Motion to Dismiss, . Document filed by Tyler G. Peters.(Jaffe, Brett)
July 9, 2018 Opinion or Order Filing 120 SCHEDULING ORDER: Case Management Conference set for 7/23/2018 at 11:20 AM in Courtroom 18D, 500 Pearl Street, New York, NY 10007 before Magistrate Judge Robert W. Lehrburger. Parties are instructed to review and adhere to Judge Lehrburger's individual rules and practices. (Signed by Magistrate Judge Robert W. Lehrburger on 7/9/2018) (rsh)
July 5, 2018 Opinion or Order Filing 119 ANSWER to #1 Complaint. Document filed by Tyler G. Peters.(Jaffe, Brett)
July 3, 2018 Opinion or Order Filing 118 ORDER denying #116 Letter Motion for Extension of Time to Answer re #1 Complaint. Application denied. (Signed by Judge Richard M. Berman on 7/3/2018) (clt)
July 2, 2018 Opinion or Order Filing 117 RULE 26(f) DISCOVERY PLAN REPORT.Document filed by Tyler G. Peters.(Jaffe, Brett)
July 2, 2018 Opinion or Order Filing 116 JOINT LETTER MOTION for Extension of Time to File Answer re: #1 Complaint addressed to Judge Richard M. Berman from Joseph G. Tully and Rua Kelly dated July 2, 2018. Document filed by Tyler G. Peters.(Tully, Joseph)
June 21, 2018 Opinion or Order Minute Entry for proceedings held before Judge Richard M. Berman: Status Conference held on 6/21/2018. Trial is scheduled for 10/1/19. Final pretrial conference is scheduled for 9/23/19 at 10:00 am. Pretrial submissions including: joint pretrial order; joint jury instructions; joint verdict sheet; names/places for voir dire; motions in limine due 9/3/19. Response to motions in limine due 9/10/19. Discovery issues are referred to magistrate judge. Motion for reconsideration is due 7/9/18. Response to motion for reconsideration is due 7/16/18. Status conference is scheduled for 9/20/18 at 10:00 am. Parties to meet and confer re: discovery schedule in light of trial schedule set by Court. (Court Reporter Vincent Bologna) (CM)
June 20, 2018 Opinion or Order Filing 115 RULE 26(f) DISCOVERY PLAN REPORT.Document filed by Tyler G. Peters.(Jaffe, Brett)
June 15, 2018 Opinion or Order Filing 114 ORDER granting #112 Letter Motion for Extension of Time to Answer. Application granted on consent. (Signed by Judge Richard M. Berman on 6/15/2018) (clt)
June 15, 2018 Opinion or Order Filing 113 LETTER addressed to Judge Richard M. Berman from Rua M. Kelly dated 06/15/2018 re: Response to Defendant Peters' Pre-Motion Letter. Document filed by Securities and Exchange Commission.(Kelly, Rua)
June 15, 2018 Opinion or Order Filing 112 JOINT LETTER MOTION for Extension of Time to File Answer re: #1 Complaint addressed to Judge Richard M. Berman from Joseph G. Tully and Rua Kelly dated June 15, 2018. Document filed by Tyler G. Peters.(Tully, Joseph)
June 15, 2018 Opinion or Order ***DELETED DOCUMENT. Deleted document number #115 Memo Endorsement. The document was incorrectly filed in this case. (ne)
June 14, 2018 Opinion or Order Filing 111 MEMO ENDORSEMENT on re: #110 LETTER MOTION for Conference addressed to Judge Richard M. Berman from Brett D. Jaffe dated June 13, 2018 filed by Tyler G. Peters. ENDORSEMENT: SEC to respond to this letter (no more than 3 pp needed) by June 18, 2018 at noon. If they have not already "met & conferred", parties to present a joint case management plan prior to June 20, 2018 (noon). Meet with magistrate judge if needed to develop comprehensive case management plan. (Signed by Judge Richard M. Berman on 6/14/2018) (clt)
June 13, 2018 Opinion or Order Filing 110 LETTER MOTION for Conference addressed to Judge Richard M. Berman from Brett D. Jaffe dated June 13, 2018. Document filed by Tyler G. Peters.(Jaffe, Brett)
June 5, 2018 Opinion or Order Filing 109 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a conference proceeding held on 5/30/18 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days...(McGuirk, Kelly)
June 5, 2018 Opinion or Order Filing 108 TRANSCRIPT of Proceedings re: conference held on 5/30/2018 before Judge Richard M. Berman. Court Reporter/Transcriber: Kristen Carannante, (212) 805-0300. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 6/26/2018. Redacted Transcript Deadline set for 7/6/2018. Release of Transcript Restriction set for 9/4/2018.(McGuirk, Kelly)
June 4, 2018 Opinion or Order Filing 107 DECISION & ORDER denying #96 Motion to Dismiss. For the reasons stated above, Peters' motion to dismiss [#96] is denied. A status conference is scheduled for June 21, 2018, at 9:30 a.m. (Signed by Judge Richard M. Berman on 6/4/2018) (clt)
June 4, 2018 Opinion or Order Set/Reset Hearings: Status Conference set for 6/21/2018 at 09:30 AM before Judge Richard M. Berman. (clt)
May 30, 2018 Opinion or Order Minute Entry for proceedings held before Judge Richard M. Berman: Oral Argument held on 5/30/2018 re: #101 Declaration in Support of Motion, filed by Tyler G. Peters, #106 Notice (Other) filed by Securities and Exchange Commission, #1 Complaint filed by Securities and Exchange Commission, #99 Memorandum of Law in Opposition to Motion filed by Securities and Exchange Commission, #96 MOTION to Dismiss the Complaint. filed by Tyler G. Peters, #100 Declaration in Opposition to Motion filed by Securities and Exchange Commission, #102 Reply Memorandum of Law in Support of Motion filed by Tyler G. Peters, #98 Declaration in Support of Motion, filed by Tyler G. Peters, #97 Memorandum of Law in Support of Motion filed by Tyler G. Peters. (Court Reporter Kristen Carannante) (CM)
May 29, 2018 Opinion or Order Filing 106 NOTICE of Supplemental Authority re: #96 MOTION to Dismiss the Complaint.. Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit A)(Kelly, Rua)
May 23, 2018 Opinion or Order Filing 105 ORDER: The Court will hear brief oral argument (no more than ten to fifteen minutes per side) on Wednesday, May 30, 2018, at 2:15 p.m. for Tyler G. Peters' Motion to Dismiss the Complaint, dated October 27, 2017 [#96], in Courtroom 17B of the Daniel Patrick Moynihan Courthouse at 500 Pearl Street, New York, New York 10007. (Oral Argument set for 5/30/2018 at 02:15 PM in Courtroom 17B, 500 Pearl Street, New York, NY 10007 before Judge Richard M. Berman.) (Signed by Judge Richard M. Berman on 5/23/2018) (clt)
January 9, 2018 Opinion or Order Filing 104 MEMO ENDORSEMENT on re: #103 Letter, filed by Tyler G. Peters. ENDORSEMENT: Application granted. Attorney Craig Carpenito terminated. (Signed by Judge Richard M. Berman on 1/9/2018) (cf)
January 8, 2018 Opinion or Order Filing 103 LETTER addressed to Judge Richard M. Berman from Joseph G. Tully dated January 8, 2018 re: Requesting that the Court Remove Craig Carpenito's Name from the Court Docket and its Electronic Case Filing System for this Case. Document filed by Tyler G. Peters.(Tully, Joseph)
December 15, 2017 Opinion or Order Filing 102 REPLY MEMORANDUM OF LAW in Support re: #96 MOTION to Dismiss the Complaint. . Document filed by Tyler G. Peters. (Jaffe, Brett)
December 15, 2017 Opinion or Order Filing 101 DECLARATION of Brett D. Jaffe in Support re: #96 MOTION to Dismiss the Complaint.. Document filed by Tyler G. Peters. (Attachments: #1 Exhibit A, copy of letter Mr. Peter's Counsel sent to Hon. Robert N. Catigny, dated May 15, 2017)(Jaffe, Brett)
November 28, 2017 Opinion or Order Filing 100 DECLARATION of Rua M. Kelly, Esq. in Opposition re: #96 MOTION to Dismiss the Complaint.. Document filed by Securities and Exchange Commission. (Kelly, Rua)
November 28, 2017 Opinion or Order Filing 99 MEMORANDUM OF LAW in Opposition re: #96 MOTION to Dismiss the Complaint. Against Tyler Peters. Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit A)(Kelly, Rua)
November 2, 2017 Opinion or Order NOTICE OF REASSIGNMENT OF A REFERRAL TO ANOTHER MAGISTRATE JUDGE. The referral in the above entitled action has been reassigned to Magistrate Judge Robert W. Lehrburger, for General Pretrial (includes scheduling, discovery, non-dispositive pretrial motions, and settlement). Magistrate Judge James C. Francis no longer referred to the case. (jc) Modified on 11/7/2017 (kw).
November 2, 2017 Opinion or Order NOTICE OF REDESIGNATION TO ANOTHER MAGISTRATE JUDGE. The above entitled action has been redesignated to Magistrate Judge Robert W. Lehrburger. Please note that this is a reassignment of the designation only. (jc)
October 27, 2017 Opinion or Order Filing 98 DECLARATION of Brett D. Jaffe, Esq. in Support re: #96 MOTION to Dismiss the Complaint.. Document filed by Tyler G. Peters. (Attachments: #1 Exhibit A - Electronic Communication dated March 18, 2011 (Redcated), #2 Exhibit B - Electronic Communication dated January 11, 2012 (Redacted))(Jaffe, Brett)
October 27, 2017 Opinion or Order Filing 97 MEMORANDUM OF LAW in Support re: #96 MOTION to Dismiss the Complaint. . Document filed by Tyler G. Peters. (Jaffe, Brett)
October 27, 2017 Opinion or Order Filing 96 MOTION to Dismiss the Complaint. Document filed by Tyler G. Peters.(Jaffe, Brett)
October 12, 2017 Opinion or Order Filing 95 STIPULATION AND ORDER EXTENDING TIME FOR DEFENDANT TYLER PETERS TO RESPOND TO COMPLAINT AND SETTING BRIEFING SCHEDULE: IT IS HEREBY STIPULATED AND AGREED by and among the undersigned attorneys for Plaintiff and Mr. Peters that Mr. Peters's time to move or answer with respect to the Complaint be and hereby is adjourned to October 27, 2017, with any opposition to a motion to dismiss the Complaint to be filed by November 28, 2017, and with any reply to be filed by December 19, 2017. SO ORDERED. (Tyler G. Peters answer due 10/27/2017.)(Responses due by 11/28/2017.Replies due by 12/19/2017.) (Signed by Magistrate Judge James C. Francis on 10/12/2017) (anc)
September 6, 2017 Opinion or Order Filing 94 STIPULATION & ORDER EXTENDING TIME FOR DEFENDANT TYLER PETERS TO RESPOND TO COMPLAINT AND SETTING BRIEFING SCHEDULE: IT IS HEREBY STIPULATED AND AGREED by any among the undersigned attorneys for Plaintiff and Mr. Peters that Mr. Peters's time to move or answer with respect to the Complaint be and hereby is adjourned to October 13, 2017, with any opposition to a motion to dismiss the Complaint to be filed by November 14, 2017, and with any reply to be filed by December 5, 2017. SO ORDERED. (Tyler G. Peters answer due 10/13/2017.)(Motions due by 10/13/2017. Responses due by 11/14/2017. Replies due by 12/5/2017.) (Signed by Magistrate Judge James C. Francis on 9/6/2017) (anc)
September 5, 2017 Opinion or Order Filing 93 NOTICE OF APPEARANCE by David Carl Wohlstadter on behalf of Tyler G. Peters. (Wohlstadter, David)
August 28, 2017 Opinion or Order Filing 92 NOTICE OF APPEARANCE by Alexander Benjamin Spiro on behalf of Tyler G. Peters. (Spiro, Alexander)
July 14, 2017 Opinion or Order Filing 91 ORDER granting #87 Letter Motion for Extension of Time to Answer. Defendant Shapiro's time to answer or move with respect to the complaint is extended to thirty days after entry of judgment on all counts in the Criminal Action. (HEREBY ORDERED by Magistrate Judge James C. Francis)(Text Only Order) (Francis, James)
July 14, 2017 Opinion or Order Filing 90 ORDER granting #86 Letter Motion for Extension of Time to Answer. Defendant Gramins' time to answer or move with respect to the complaint is extended to thirty days after entry of judgment on all counts in the Criminal Action. (HEREBY ORDERED by Magistrate Judge James C. Francis)(Text Only Order) (Francis, James)
July 14, 2017 Opinion or Order Filing 89 ORDER granting #84 Letter Motion to Continue. Defendant Peters' time to answer or move with respect to the complaint is extended to September 15, 2017. (HEREBY ORDERED by Magistrate Judge James C. Francis)(Text Only Order) (Francis, James)
July 14, 2017 Opinion or Order Filing 88 NOTICE OF CHANGE OF ADDRESS by Robert Frenchman on behalf of Michael A. Gramins. New Address: Greenberg Traurig, LLP, 200 Park Avenue, New York, New York, USA 10166, 212-801-9200. (Frenchman, Robert)
July 14, 2017 Opinion or Order Filing 87 LETTER MOTION for Extension of Time to File Answer or Move with Respect to the Complaint addressed to Magistrate Judge James C. Francis IV from Guy Petrillo dated July 14, 2017. Document filed by Ross B. Shapiro.(Petrillo, Guy)
July 14, 2017 Opinion or Order Filing 86 LETTER MOTION for Extension of Time to File Answer re: #1 Complaint, #84 JOINT LETTER MOTION to Continue Deadline to Answer addressed to Judge Richard M. Berman from Rua M. Kelly dated 07/12/2017., #22 Stipulation and Order, Set Deadlines,,,, #66 Order,, addressed to Magistrate Judge James C. Francis IV from Marc L. Mukasey dated July 14, 2017. Document filed by Michael A. Gramins.(Mukasey, Marc)
July 14, 2017 Opinion or Order Filing 85 MEMO ENDORSEMENT on re: #84 JOINT LETTER MOTION to Continue Deadline to Answer addressed to Judge Richard M. Berman from Rua M. Kelly dated 07/12/2017. filed by Securities and Exchange Commission. ENDORSEMENT: Referred to Magistrate Judge Francis. (Signed by Judge Richard M. Berman on 7/14/2017) (cf)
July 12, 2017 Opinion or Order Filing 84 JOINT LETTER MOTION to Continue Deadline to Answer addressed to Judge Richard M. Berman from Rua M. Kelly dated 07/12/2017. Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit A)(Kelly, Rua)
August 4, 2016 Opinion or Order Filing 83 ORDER ON MOTION FOR WITHDRAWAL granting #81 Motion to Withdraw as Attorney. IT IS HEREBY ORDERED that the motion of James R. Drabick to withdraw his appearance as counsel for the plaintiff in the above-captioned action is granted. Attorney James Robert Drabick terminated (Signed by Magistrate Judge James C. Francis on 8/4/2016) (cf)
August 3, 2016 Opinion or Order Filing 82 AFFIDAVIT of James R. Drabick in Support re: #81 MOTION for James R. Drabick to Withdraw as Attorney .. Document filed by Securities and Exchange Commission. (Kelly, Rua)
August 3, 2016 Opinion or Order Filing 81 MOTION for James R. Drabick to Withdraw as Attorney . Document filed by Securities and Exchange Commission. (Attachments: #1 Text of Proposed Order, #2 Certificate of Service)(Kelly, Rua)
August 1, 2016 Opinion or Order Filing 80 STIPULATION TO ALLOW PARTIES TO FILE MOTIONS TO COMPEL COMPLIANCE AFTER THE CLOSE OF DOCUMENT DISCOVERY: IT IS HEREBY STIPULATED AND AGREED by and between the undersigned attorneys for the parties that the parties will not be precluded by the July 22, 2016 deadline for the close of document discovery from moving to compel compliance with either third party subpoenas duces tecum or document requests that have been served prior to July 22, 2016. IT IS HEREBY FURTHER STIPULATED AND AGREED by and between the undersigned attorneys for the parties that any such motions to compel compliance with either third party subpoenas or document requests must be filed within forty-five (45) days after the date on which Defendants answer or move with respect to the complaint in this civil action. (As further set forth in this Order.) (Signed by Magistrate Judge James C. Francis on 8/1/2016) (cf)
July 29, 2016 Opinion or Order ***NOTICE TO ATTORNEY TO RE-FILE DOCUMENT - DEFICIENT DOCKET ENTRY ERROR. Notice to Attorney Rua M. Kelly to RE-FILE Document #79 MOTION for James R. Drabick to Withdraw as Attorney . ERROR(S): Supporting Documents are filed separately, each receiving their own document #. (db)
July 22, 2016 Opinion or Order Filing 79 FILING ERROR - DEFICIENT DOCKET ENTRY - MOTION for James R. Drabick to Withdraw as Attorney . Document filed by Securities and Exchange Commission. (Attachments: #1 Affidavit of James R. Drabick, #2 Text of Proposed Order, #3 Exhibit Certificate of Service)(Kelly, Rua) Modified on 7/29/2016 (db).
July 18, 2016 Opinion or Order Filing 78 ORDER granting #77 Letter Motion for Extension of Time to Complete Discovery. Document discovery shall be completed by July 22, 2016. (HEREBY ORDERED by Magistrate Judge James C. Francis)(Text Only Order) (Francis, James)
July 15, 2016 Opinion or Order Filing 77 LETTER MOTION for Extension of Time to Complete Discovery with Plaintiff's Consent addressed to Magistrate Judge James C. Francis IV from Joshua Klein dated 7/15/2016. Document filed by Michael A. Gramins, Tyler G. Peters, Ross B. Shapiro.(Curzer, Mirah)
June 3, 2016 Opinion or Order Filing 76 AMENDED PROTECTIVE ORDER...regarding procedures to be followed that shall govern the handling of confidential material...IT IS HEREBY ORDERED THAT this amended Protective Order shall take effect on June 3, 2016, absent objection from any served party. In the event of objection, the Court will schedule a conference. (As further set forth in this Order.) (Signed by Judge Richard M. Berman on 6/3/2016) (cf)
June 1, 2016 Opinion or Order Filing 75 LETTER addressed to Magistrate Judge James C. Francis IV from Marc L. Mukasey dated June 1, 2016 re: Motion to Compel. Document filed by Michael A. Gramins.(Mukasey, Marc)
May 27, 2016 Opinion or Order Minute Entry for proceedings held before Magistrate Judge James C. Francis: Telephone Conference held on 5/27/2016. (Bacchus, Michael)
May 23, 2016 Opinion or Order Filing 74 ORDER granting #73 Letter Motion for Extension of Time to Complete Discovery. The deadline for completing document discovery is extended to July 15, 2016. (HEREBY ORDERED by Magistrate Judge James C. Francis)(Text Only Order) (Francis, James)
May 20, 2016 Opinion or Order Filing 73 LETTER MOTION for Extension of Time to Complete Discovery with Plaintiff's Consent addressed to Magistrate Judge James C. Francis IV from Guy Petrillo dated 5/20/2016. Document filed by Michael A. Gramins, Tyler G. Peters, Ross B. Shapiro. (Attachments: #1 Scheduling Order of 11/4/2015)(Sandlar, Leonid)
May 16, 2016 Opinion or Order Filing 72 LETTER addressed to Judge Richard M. Berman from Lee G. Dunst dated May 16, 2016 re: letter in opposition to Defendants' letter, dated May 11, 2016 requesting a pre-motion conference seeking leave to move to compel compliance. Document filed by Alliancebernstein, L.P.. (Attachments: #1 Exhibit 1, #2 Exhibit 2, #3 Exhibit 3, #4 Exhibit 4)(Dunst, Lee)
May 16, 2016 Opinion or Order Filing 71 LETTER addressed to Magistrate Judge James C. Francis IV from Rua M. Kelly dated May 16, 2016 re: Defendants' Pre-Motion Letter. Document filed by Securities and Exchange Commission.(Kelly, Rua)
May 16, 2016 Opinion or Order Filing 70 MEMO ENDORSEMENT on re: #69 Letter filed by Michael A. Gramins, Tyler G. Peters, Ross B. Shapiro. ENDORSEMENT: Matter referred to Magistrate Judge Francis. (Signed by Judge Richard M. Berman on 5/16/2016) (mro)
May 11, 2016 Opinion or Order Filing 69 LETTER addressed to Judge Richard M. Berman from Marc L. Mukasey dated May 11, 2016 re: Pre-Motion Conference. Document filed by Michael A. Gramins, Tyler G. Peters, Ross B. Shapiro.(Mukasey, Marc)
February 29, 2016 Opinion or Order Filing 68 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a conference proceeding held on 1/27/16 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days...(McGuirk, Kelly)
February 29, 2016 Opinion or Order Filing 67 TRANSCRIPT of Proceedings re: conference held on 1/27/2016 before Judge Richard M. Berman. Court Reporter/Transcriber: Steven Griffing, (212) 805-0300. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 3/24/2016. Redacted Transcript Deadline set for 4/4/2016. Release of Transcript Restriction set for 6/3/2016.(McGuirk, Kelly)
February 19, 2016 Opinion or Order Filing 66 ORDER. Counsel having submitted letters concerning defendants' time to answer and the scope of the stay of discovery in this action, it is hereby ORDERED as follows: 1. Defendants' time to answer or move with respect to the complaint is extended until thirty days following completion of the parallel criminal trial. 2. Discovery other than that allowed by the November 4, 2015 order shall be stayed pending completion of the criminal case. 3. The pretrial conference scheduled for February 23, 2016, is cancelled. SO ORDERED. (Signed by Magistrate Judge James C. Francis on 2/19/2016) Copies Sent By Chambers. (adc)
February 18, 2016 Opinion or Order Filing 65 LETTER addressed to Magistrate Judge James C. Francis IV from Brett D. Jaffe dated February 18, 2016 re: Defendants' Reply to the February 12, 2015 Letter Addressed to this Court by the Securities and Exchange Commission (Docket Entry 64). Document filed by Tyler G. Peters.(Jaffe, Brett)
February 12, 2016 Opinion or Order Filing 64 RESPONSE re: #62 Letter . Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit A)(Kelly, Rua)
February 9, 2016 Opinion or Order Filing 63 MEMO ENDORSEMENT on re: #62 Letter filed by Michael A. Gramins, Tyler G. Peters, Ross B. Shapiro. ENDORSEMENT: Please take up the motion with Judge Francis. (Signed by Judge Richard M. Berman on 2/9/2016) (cf)
February 8, 2016 Opinion or Order Filing 62 LETTER addressed to Judge Richard M. Berman from Guy Petrillo dated 2/8/2016 re: request for a pre-motion conference. Document filed by Michael A. Gramins, Tyler G. Peters, Ross B. Shapiro.(Sandlar, Leonid)
February 4, 2016 Opinion or Order Filing 61 PROTECTIVE ORDER...regarding procedures to be followed that shall govern the handling of confidential material... (As further set forth in this Order.) (Signed by Judge Richard M. Berman on 2/4/2016) (cf)
January 28, 2016 Opinion or Order Filing 60 NOTICE OF APPEARANCE by Robert Frenchman on behalf of Michael A. Gramins. (Frenchman, Robert)
January 27, 2016 Opinion or Order Minute Entry for proceedings held before Judge Richard M. Berman: Interim Pretrial Conference held on 1/27/2016. Answer is due 2/29/16. Joint proposed protective order will be submitted to the Court for its review and signature. See transcript of proceedings held for a complete record.(Court Reporter Steve Griffing) (CM)
January 27, 2016 Opinion or Order Filing 59 MEMO ENDORSEMENT (ORDER) granting #55 Motion to Withdraw as Attorney. PLEASE TAKE NOTlCE that, pursuant to Rule 1.4. of the Local Rules for the United States District Courts for the Southern District of New York, I Philip J. Bezanson a partner with the law firm Bracewell & Giuliani LLP, attorney for Defendant Michael A. Gramins in the above-entitled action, hereby withdraw my appearance as counsel, and the matter shall proceed with counsel Marc L. Mukasey of Greenberg Traurig, LLP remaining in the case. I hereby request that my name and email address be removed from the case's official docket. ENDORSEMENT: SO ORDERED. (Signed by Judge Richard M. Berman on 1/27/2016) (adc)
January 27, 2016 Opinion or Order Filing 58 CONSENT AND ORDER OF SUBSTITUTION OF COUNSEL. IT IS HEREBY CONSENTED TO AND AGREED THAT the law firm of Greenberg Traurig, LLP has been substituted for the law firm of Bracewell & Giuliani, LLP as counsel of record for defendant Michael Gramins in the above captioned matter. SO ORDERED. (Attorney Philip Joseph Bezanson terminated.) (Signed by Judge Richard M. Berman on 1/27/2016) (adc)
January 26, 2016 Opinion or Order Filing 57 MEMO ENDORSEMENT on re: #56 LETTER addressed to Judge Richard M. Berman from Brett D. Jaffe dated January 26, 2016 re: Pre-Motion Conference Scheduled for January 27, 2016. Document filed by Tyler G. Peters. ENDORSEMENT: Respectfully, the conference will proceed as planned. The 30-day extension request will be discussed then. So ordered. (Signed by Judge Richard M. Berman on 1/26/2016) (rjm)
January 26, 2016 Opinion or Order Filing 56 LETTER addressed to Judge Richard M. Berman from Brett D. Jaffe dated January 26, 2016 re: Pre-Motion Conference Scheduled for January 27, 2016. Document filed by Tyler G. Peters.(Jaffe, Brett)
January 26, 2016 Opinion or Order Filing 55 MOTION for Philip J. Bezanson to Withdraw as Attorney . Document filed by Michael A. Gramins.(Bezanson, Philip)
January 25, 2016 Opinion or Order Filing 54 NOTICE OF CHANGE OF ADDRESS by Marc Lee Mukasey on behalf of Michael A. Gramins. New Address: Greenberg Traurig, LLP, 200 Park Avenue, 39th Floor, New York, NY, USA 10166, 212-801-9200. (Mukasey, Marc)
January 21, 2016 Opinion or Order Filing 53 RESPONSE re: #50 Letter . Document filed by Securities and Exchange Commission. (Kelly, Rua)
January 12, 2016 Opinion or Order Filing 52 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a CONFERENCE proceeding held on 11/30/15 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days...(McGuirk, Kelly)
January 12, 2016 Opinion or Order Filing 51 TRANSCRIPT of Proceedings re: CONFERENCE held on 11/30/2015 before Judge Richard M. Berman. Court Reporter/Transcriber: Martha Drevis, (212) 805-0300. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 2/5/2016. Redacted Transcript Deadline set for 2/16/2016. Release of Transcript Restriction set for 4/14/2016.(McGuirk, Kelly)
January 11, 2016 Opinion or Order Filing 50 LETTER addressed to Judge Richard M. Berman from Guy Petrillo dated 1/11/2016 re: pre-answer motions. Document filed by Michael A. Gramins, Tyler G. Peters, Ross B. Shapiro.(Sandlar, Leonid)
December 23, 2015 Opinion or Order Filing 49 NOTICE OF APPEARANCE by Mirah Epstein Curzer on behalf of Ross B. Shapiro. (Curzer, Mirah)
December 3, 2015 Opinion or Order Filing 48 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a CONFERENCE proceeding held on 11/3/15 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days...(McGuirk, Kelly)
December 3, 2015 Opinion or Order Filing 47 TRANSCRIPT of Proceedings re: CONFERENCE held on 11/3/2015 before Magistrate Judge James C. Francis IV. Court Reporter/Transcriber: Steven Griffing, (212) 805-0300. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 12/28/2015. Redacted Transcript Deadline set for 1/6/2016. Release of Transcript Restriction set for 3/5/2016.(McGuirk, Kelly)
November 30, 2015 Opinion or Order Minute Entry for proceedings held before Judge Richard M. Berman: Scheduling Conference held on 11/30/2015. SEC to begin disclosure. Joint defense premotion letter due 1/11/16; government response due 1/21/16. Next conference (premotion conference) is scheduled for 1/27/16 at 12:30 pm. (Court Reporter Martha Drevis) (CM)
November 20, 2015 Opinion or Order Filing 46 ORDER denying #45 Letter Motion to Adjourn Conference. Request respectfully denied. Conference will take place as scheduled. (Signed by Judge Richard M. Berman on 11/20/2015) (kgo)
November 19, 2015 Opinion or Order Filing 45 LETTER MOTION to Adjourn Conference on Behalf of All Parties addressed to Judge Richard M. Berman from Rua M. Kelly dated November 19, 2015. Document filed by Securities and Exchange Commission.(Kelly, Rua)
November 5, 2015 Opinion or Order Filing 44 NOTICE OF APPEARANCE by James Robert Drabick on behalf of Securities and Exchange Commission. (Drabick, James)
November 4, 2015 Opinion or Order Filing 43 CASE MANAGEMENT PLAN: 1. Depositions are presumptively stayed pending completion of the parallel criminal case, United States v. Shapiro, 3:15cr155 (RNC) (D. Conn.), subject to particularized requests for an exception. 2. Document discovery, including service of document subpoenas on non-parties, may proceed, subject to particularized requests for an exception. 3. Defendants shall answer or move with respect to the complaint by January 29, 2016. 4. Plaintiff shall respond to any motion to dismiss by February 26, 2016. 5. Defendants shall reply by March 18, 2016. 6. Initial disclosures shall be exchanged by January 29, 2016. 7. The parties may propound document subpoenas and requests for production of documents immediately. 8. All document discovery shall be completed by May 20, 2016. 9. Additional deadlines shall be established as and when appropriate. Responses due by 2/26/2016 Replies due by 3/18/2016. Discovery due by 5/20/2016. (Signed by Magistrate Judge James C. Francis on 11/4/2015) Copies Sent By Chambers. (kl)
November 4, 2015 Opinion or Order Set/Reset Deadlines: Michael A. Gramins answer due 1/29/2016; Tyler G. Peters answer due 1/29/2016; Ross B. Shapiro answer due 1/29/2016. (kl)
November 3, 2015 Opinion or Order Filing 42 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a CONFERENCE proceeding held on 10/19/15 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days...(McGuirk, Kelly)
November 3, 2015 Opinion or Order Filing 41 TRANSCRIPT of Proceedings re: CONFERNCE held on 10/19/2015 before Judge Richard M. Berman. Court Reporter/Transcriber: Thomas Murray, (212) 805-0300. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 11/27/2015. Redacted Transcript Deadline set for 12/7/2015. Release of Transcript Restriction set for 2/4/2016.(McGuirk, Kelly)
November 3, 2015 Opinion or Order Filing 40 ORDER granting #38 Motion for Liam Brennan to Appear Pro Hac Vice. (HEREBY ORDERED by Magistrate Judge James C. Francis)(Text Only Order) (Francis, James)
November 3, 2015 Opinion or Order Minute Entry for proceedings held before Magistrate Judge James C. Francis: Discovery Hearing held on 11/3/2015. Hearing transcribed by court reporter. (Bacchus, Michael)
November 2, 2015 Opinion or Order Filing 39 RESPONSE re: #37 Letter, . Document filed by Securities and Exchange Commission. (Kelly, Rua)
October 30, 2015 Opinion or Order Filing 38 MOTION for Liam Brennan to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by United States Attorney's Office, District of Connecticut. (Attachments: #1 Exhibit Certificate of Good Standing, #2 Text of Proposed Order)(Brennan, Liam)
October 30, 2015 Opinion or Order Filing 37 LETTER addressed to Magistrate Judge James C. Francis IV from Brett D. Jaffe dated October 30, 2015 re: We Write on behalf of all Defendants in Repsonse to the Letter Addressed to this Court dated October 28, 2015 from the United States Attorney for the District of Connecticut (Docket No. 35). Document filed by Tyler G. Peters. (Attachments: #1 Exhibit 1, #2 Exhibit 2)(Jaffe, Brett)
October 30, 2015 Opinion or Order >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #38 MOTION for Liam Brennan to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (bcu)
October 29, 2015 Opinion or Order Filing 36 ORDER granting #34 Motion for Heather L. Cherry to Appear Pro Hac Vice. (HEREBY ORDERED by Magistrate Judge James C. Francis)(Text Only Order) (Francis, James)
October 28, 2015 Opinion or Order Filing 35 LETTER addressed to Magistrate Judge James C. Francis IV from United States Attorney's Office, District of Connecticut dated 10/28/2015 re: Limitd Stay of Discovery. Document filed by United States Attorney's Office, District of Connecticut.(Cherry, Heather)
October 28, 2015 Opinion or Order >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #34 MOTION for Heather L. Cherry to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (sdi)
October 27, 2015 Opinion or Order Filing 34 MOTION for Heather L. Cherry to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by United States Attorney's Office, District of Connecticut. (Attachments: #1 Text of Proposed Order, #2 Supplement, #3 Supplement)(Cherry, Heather)
October 19, 2015 Opinion or Order Filing 33 ORDER ON MOTION FOR ADMISSION PRO HAC VICE granting #17 Motion for James R. Drabick to Appear Pro Hac Vice. (Signed by Judge Richard M. Berman on 10/19/2015) (kgo)
October 19, 2015 Opinion or Order Filing 32 ORDER ON MOTION FOR ADMISSION PRO HAC VICE granting #12 Motion for Rua M. Kelly to Appear Pro Hac Vice. (Signed by Judge Richard M. Berman on 10/19/2015) (kgo)
October 19, 2015 Opinion or Order Filing 31 CASE MANAGEMENT PLAN: Status of settlement discussions Nov 30, 2015 @ 11:30 (status of discovery plan). See Court's Indiv. Rules re: proposed motions. Refer to Judge Francis to devise an appropriate discovery plan (with related criminal case in mind). Settlement Conference set for 11/30/2015 at 11:30 AM before Judge Richard M. Berman. (Signed by Judge Richard M. Berman on 10/19/2015) (kgo)
October 19, 2015 Opinion or Order Filing 30 ORDER REFERRING CASE TO MAGISTRATE JUDGE. Order that case be referred to the Clerk of Court for assignment to a Magistrate Judge for General Pretrial (includes scheduling, discovery, non-dispositive pretrial motions, and settlement) (Devise an appropriate discovery plan bearing related criminal case in mind). Referred to Magistrate Judge James C. Francis. (Signed by Judge Richard M. Berman on 10/19/2015) (kgo)
October 19, 2015 Opinion or Order Minute Entry for proceedings held before Judge Richard M. Berman: Initial Pretrial Conference held on 10/19/2015. Intervention is granted. No blanket stay of discovery. Case management plan entered. Pending pro hac vice motions are granted (Attorneys Kelly and Drabick). Discovery issues are to be addressed with Magistrate Judge. Next conference is scheduled for 11/30/15 at 11:30 am. (Court Reporters Tom Murray and Pamela Utter) (CM)
October 16, 2015 Opinion or Order Filing 29 CERTIFICATE OF SERVICE of Response to Court Order served on Shapiro, Gramins, Peters on 10/16/2015. Document filed by Securities and Exchange Commission. (Kelly, Rua)
October 16, 2015 Opinion or Order Filing 28 RESPONSE to Court's October 16, 2015 Order. Document filed by Securities and Exchange Commission. (Kelly, Rua)
October 16, 2015 Opinion or Order Filing 27 ORDER: The Securities and Exchange Commission is directed to respond in writing to the September 30, 2015 letter from the United States seeking a stay of discovery in light of the criminal charges against the Defendants in Connecticut. The SEC shall respond in writing to the Court before 5:00p.m. today. (Signed by Judge Richard M. Berman on 10/16/2015) (tro)
October 7, 2015 Opinion or Order Filing 26 NOTICE OF APPEARANCE by Philip Joseph Bezanson on behalf of Michael A. Gramins. (Bezanson, Philip)
October 7, 2015 Opinion or Order Filing 25 LETTER addressed to Judge Richard M. Berman from Marc L. Mukasey dated October 7, 2015 Document filed by Michael A. Gramins. (Attachments: #1 Exhibit 1, #2 Exhibit 2)(Mukasey, Marc)
October 7, 2015 Opinion or Order Filing 24 NOTICE OF APPEARANCE by Marc Lee Mukasey on behalf of Michael A. Gramins. (Mukasey, Marc)
October 2, 2015 Opinion or Order Filing 23 ENDORSED LETTER addressed to Judge Richard M. Berman from Deidra M. Daly, Liam Brennan, Heather L. Cherry, and Jonathan Francis dated 9/30/2015 re: Pre-motion conference request. ENDORSEMENT: We can discuss on Oct. 19, 2015 at conference. (Signed by Judge Richard M. Berman on 10/2/2015) (kgo)
October 2, 2015 Opinion or Order Filing 22 STIPULATION EXTENDING TIME TO RESPOND TO COMPLAINT: IT IS HEREBY STIPULATED AND AGREED by and among the undersigned attorneys for the parties that Defendants' time to move or answer with respect to the Complaint be and hereby is adjourned pending negotiation prior to October 19, 2015, of a proposed scheduling Order, on consent, or until such time as the Court may establish a schedule after hearing from the parties on October 19, 2015 and receiving any supporting submissions as the Court may order. (As further set forth in this Order.) Michael A. Gramins answer due 10/19/2015; Tyler G. Peters answer due 10/19/2015; Ross B. Shapiro answer due 10/19/2015. (Signed by Judge Richard M. Berman on 10/2/2015) (kgo)
October 2, 2015 Opinion or Order Set/Reset Deadlines: Motions due by 10/19/2015. (kgo)
September 30, 2015 Opinion or Order Filing 21 NOTICE OF APPEARANCE by Joshua Klein on behalf of Ross B. Shapiro. (Klein, Joshua)
September 25, 2015 Opinion or Order Filing 20 NOTICE OF APPEARANCE by Leonid Sandlar on behalf of Ross B. Shapiro. (Sandlar, Leonid)
September 25, 2015 Opinion or Order Filing 19 NOTICE OF APPEARANCE by Guy Petrillo on behalf of Ross B. Shapiro. (Petrillo, Guy)
September 22, 2015 Opinion or Order Filing 18 CERTIFICATE OF SERVICE of Drabick Motion to Appear Pro Hac Vice served on Ross Shapiro, Michael Gramins, Tyler Peters on 09/22/2015. Service was made by Mail. Document filed by Securities and Exchange Commission. (Kelly, Rua)
September 22, 2015 Opinion or Order Filing 17 MOTION for James R. Drabick to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Securities and Exchange Commission. Return Date set for 10/6/2015 at 09:00 AM. (Attachments: #1 Affidavit of James R. Drabick in Support of Motion to Appear Pro Hac Vice, #2 Exhibit Certificate of Good Standing Massachusetts, #3 Exhibit Certificate of Good Standing New Hampshire, #4 Text of Proposed Order Allowing Appearance Pro Hac Vice)(Kelly, Rua)
September 22, 2015 Opinion or Order Filing 16 NOTICE OF APPEARANCE by Joseph Gerard Tully on behalf of Tyler G. Peters. (Tully, Joseph)
September 22, 2015 Opinion or Order Filing 15 NOTICE OF APPEARANCE by Craig Carpenito on behalf of Tyler G. Peters. (Carpenito, Craig)
September 22, 2015 Opinion or Order Filing 14 NOTICE OF APPEARANCE by Brett D. Jaffe on behalf of Tyler G. Peters. (Jaffe, Brett)
September 22, 2015 Opinion or Order >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #17 MOTION for James R. Drabick to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (bcu)
September 14, 2015 Opinion or Order Filing 13 CERTIFICATE OF SERVICE of Motion served on Shapiro, Gramins, Peters on 09/14/2015. Service was made by Mail. Document filed by Securities and Exchange Commission. (Kelly, Rua)
September 14, 2015 Opinion or Order Filing 12 MOTION for Rua M. Kelly to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Securities and Exchange Commission. Return Date set for 9/28/2015 at 09:00 AM. (Attachments: #1 Affidavit of Rua M. Kelly in Support, #2 Exhibit Kelly Certificate of Good Standing, #3 Text of Proposed Order Granting Motion)(Kelly, Rua) Modified on 9/14/2015 (sdi). Modified on 9/14/2015 (sdi).
September 14, 2015 Opinion or Order >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #12 MOTION for Rua M. Kelly to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (sdi)
September 11, 2015 Opinion or Order Filing 11 SUMMONS RETURNED EXECUTED. Michael A. Gramins served on 9/11/2015, answer due 10/2/2015. Service was made by MAIL. Document filed by Securities and Exchange Commission. (Kelly, Rua)
September 11, 2015 Opinion or Order Filing 10 SUMMONS RETURNED EXECUTED. Ross B. Shapiro served on 9/11/2015, answer due 10/2/2015. Service was made by MAIL. Document filed by Securities and Exchange Commission. (Kelly, Rua)
September 11, 2015 Opinion or Order Filing 9 SUMMONS RETURNED EXECUTED. Tyler G. Peters served on 9/11/2015, answer due 10/2/2015. Service was made by MAIL. Document filed by Securities and Exchange Commission. (Kelly, Rua)
September 10, 2015 Opinion or Order Filing 8 ELECTRONIC SUMMONS ISSUED as to Ross B. Shapiro. (moh)
September 10, 2015 Opinion or Order Filing 7 ELECTRONIC SUMMONS ISSUED as to Tyler G. Peters. (moh)
September 10, 2015 Opinion or Order Filing 6 ELECTRONIC SUMMONS ISSUED as to Michael A. Gramins. (moh)
September 9, 2015 Opinion or Order Filing 5 REQUEST FOR ISSUANCE OF SUMMONS as to Ross B. Shapiro, re: #1 Complaint. Document filed by Securities and Exchange Commission. (Kelly, Rua)
September 9, 2015 Opinion or Order Filing 4 REQUEST FOR ISSUANCE OF SUMMONS as to Tyler Peters, re: #1 Complaint. Document filed by Securities and Exchange Commission. (Kelly, Rua)
September 9, 2015 Opinion or Order Filing 3 REQUEST FOR ISSUANCE OF SUMMONS as to Michael Gramins, re: #1 Complaint. Document filed by Securities and Exchange Commission. (Kelly, Rua)
September 9, 2015 Opinion or Order Filing 2 CIVIL COVER SHEET filed. (Kelly, Rua)
September 9, 2015 Opinion or Order ***NOTICE TO ATTORNEY REGARDING DEFICIENT CIVIL COVER SHEET. Notice to attorney Rua M. Kelly. The filing is deficient for the following reason(s): the event wrong event type was used to file the civil cover sheet;. Re-file the document using the event type Civil Cover Sheet found under the event list Other Documents and attach the correct PDF.. (dgo)
September 9, 2015 Opinion or Order ***NOTICE TO ATTORNEY REGARDING PARTY MODIFICATION. Notice to attorney Rua M. Kelly. The party information for the following party/parties has been modified: Michael A. Gramins, Tyler G. Peters. The information for the party/parties has been modified for the following reason/reasons: party role was entered incorrectly;. (dgo)
September 9, 2015 Opinion or Order CASE OPENING INITIAL ASSIGNMENT NOTICE: The above-entitled action is assigned to Judge Richard M. Berman. Please download and review the Individual Practices of the assigned District Judge, located at #http://nysd.uscourts.gov/judges/District. Attorneys are responsible for providing courtesy copies to judges where their Individual Practices require such. Please download and review the ECF Rules and Instructions, located at #http://nysd.uscourts.gov/ecf_filing.php. (dgo)
September 9, 2015 Opinion or Order Magistrate Judge James C. Francis IV is so designated. (dgo)
September 9, 2015 Opinion or Order Case Designated ECF. (dgo)
September 8, 2015 Opinion or Order Filing 1 COMPLAINT against Michael A. Gramins, Tyler G. Peters, Ross B. Shapiro. Document filed by Securities and Exchange Commission. (Attachments: #1 Civil Cover Sheet Civil Cover Sheet)(Kelly, Rua)

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Defendant: Michael A. Gramins
Represented By: Philip Joseph Bezanson
Represented By: Robert Frenchman
Represented By: Marc Lee Mukasey
Represented By: Jeffrey Burton Sklaroff
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Defendant: Tyler G. Peters
Represented By: Joseph Gerard Tully
Represented By: Craig Carpenito
Represented By: Alexander Benjamin Spiro
Represented By: David Carl Wohlstadter
Represented By: Brett D. Jaffe
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Defendant: Ross B. Shapiro
Represented By: Leonid Sandlar
Represented By: Joshua Klein
Represented By: Guy Petrillo
Represented By: Mirah Epstein Curzer
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Plaintiff: Securities and Exchange Commission
Represented By: James Robert Drabick
Represented By: Alfred A. Day
Represented By: Rua M. Kelly
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Intervenor: United States Attorney's Office, District of Connecticut
Represented By: Liam Brennan
Represented By: Heather Cherry
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