Securities and Exchange Commission v. Yin et al

Justia Dockets & Filings Second Circuit New York Southern District Securities and Exchange Commission v. Yin et al

Securities and Exchange Commission v. Yin et al

Plaintiff:	Securities and Exchange Commission
Defendant:	Yin, Zhiqing Yin, Yan Zhou, Jun Qin, Benjamin Bin Chow, Shaohua Michael Yin, Chaofeng Ji, Lizhao Su and Bei Xie
Case Number:	1:2017cv00972
Filed:	February 10, 2017
Court:	US District Court for the Southern District of New York
Office:	Foley Square Office
County:	XX Out of State
Presiding Judge:	James L Cott
Referring Judge:	J Paul Oetken
Nature of Suit:	Securities/Commodities
Cause of Action:	15 U.S.C. § 78
Jury Demanded By:	Both

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Date Filed	Document Text
August 20, 2019	Filing 128 AFFIDAVIT OF SERVICE of Summons and Amended Complaint,. Chaofeng Ji served on 8/5/2019, answer due 8/26/2019. Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit A - Email, #2 Exhibit B - Publication)(Leung, Gary)
July 30, 2019	Filing 127 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a CONFERENCE proceeding held on 7/8/19 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 30, 2019	Filing 126 TRANSCRIPT of Proceedings re: CONFERENCE held on 7/8/2019 before Magistrate Judge James L. Cott. Court Reporter/Transcriber: Carol Ganley, (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 8/20/2019. Redacted Transcript Deadline set for 8/30/2019. Release of Transcript Restriction set for 10/28/2019.(McGuirk, Kelly)
July 18, 2019	Filing 125 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a CONFERENCE proceeding held on 6/20/19 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 18, 2019	Filing 124 TRANSCRIPT of Proceedings re: CONFERENCE held on 6/20/2019 before Judge J. Paul Oetken. Court Reporter/Transcriber: Lisa Picciano Franko, (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 8/8/2019. Redacted Transcript Deadline set for 8/19/2019. Release of Transcript Restriction set for 10/16/2019.(McGuirk, Kelly)
July 8, 2019	Filing 123 ORDER granting in part and denying in part #115 Letter Motion for Local Rule 37.2 Conference. For the reasons set forth on the record at today's conference, the relief requested by the SEC is granted in part and denied in part. The parties are directed to the transcript of today's proceedings for the Court's specific rulings. (HEREBY ORDERED by Magistrate Judge James L. Cott)(Text Only Order) (Cott, James)
July 8, 2019	Minute Entry for proceedings held before Magistrate Judge James L. Cott: Telephone Conference held on 7/8/2019. (Court Reporter Carol Ganley) (Tam, David)
June 28, 2019	Filing 122 ORDER taking under advisement #115 Motion for Local Rule 37.2 Conference. Please note that the conference scheduled for July 8 at 3:00 p.m. is now rescheduled for 3:30 p.m. on the same day. (HEREBY ORDERED by Magistrate Judge James L. Cott)(Text Only Order) (Cott, James)
June 26, 2019	Filing 121 ORDER granting #120 Letter Motion to Adjourn Conference. The conference is adjourned to July 8 at 3:00 p.m. (HEREBY ORDERED by Magistrate Judge James L. Cott)(Text Only Order) (Cott, James)
June 26, 2019	Filing 120 CONSENT LETTER MOTION to Adjourn Conference currently scheduled for the afternoon of June 28, 2019 addressed to Magistrate Judge James L. Cott from Michael S. Sommer dated June 26, 2019. Document filed by Jun Qin, Lizhao Su, Bei Xie, Shaohua Michael Yin, Zhiqing Yin.(Sommer, Michael)
June 25, 2019	Filing 119 ORDER taking under advisement #115 Motion for Local Rule 37.2 Conference. Judge Oetken has referred this discovery dispute regarding the SEC's written discovery requests to me for resolution. Accordingly, the Court will hold a telephone conference to address the issues raised in the parties' letters on June 28 at 3:00 p.m. (New York time). Counsel should call chambers at (212) 805-0250 with everyone on the line or alternatively provide a call-in number to the Court by emailing it to CottNYSDChambers @nysd.uscourts.gov in advance of the conference. (HEREBY ORDERED by Magistrate Judge James L. Cott)(Text Only Order) (Cott, James)
June 21, 2019	Filing 118 ORDER GRANTING PLAINTIFF SEC'S MOTION FOR ALTERNATIVE SERVICE: IT IS HEREBY ORDERED that; (1) The SEC may serve relief defendant Chaofeng Ji by email at the email address mr-yue@163.com, pursuant to Rule 4(f)(3) of the Federal Rules of Civil Procedure; (2) The SEC may serve relief defendant Chaofeng Ji by publication in the International New York Times once a week for four consecutive weeks pursuant to Rule 4(f)(3) of the Federal Rules of Civil Procedure; and (3) The SEC may serve relief defendant Ji by these means on or before sixty days from the date of this Order. So Ordered. (Signed by Judge J. Paul Oetken on 6/20/2019) (js)
June 21, 2019	Filing 117 ORDER OF REFERENCE TO A MAGISTRATE JUDGE Order that case be referred to the Clerk of Court for assignment to a Magistrate Judge for Specific Non-Dispositive Motion/Dispute.(including discovery dispute): Motion at Docket Number 115 Referred to Magistrate Judge James L. Cott. Motions referred to James L. Cott. (Signed by Judge J. Paul Oetken on 6/20/2019) (js)
June 20, 2019	Minute Entry for proceedings held before Judge J. Paul Oetken: Telephone Conference held on 6/20/2019. (bh)
June 18, 2019	Filing 116 LETTER RESPONSE in Opposition to Motion addressed to Judge J. Paul Oetken from Michael S. Sommer and Roland G. Riopelle dated June 18, 2019 re: #115 LETTER MOTION for Local Rule 37.2 Conference addressed to Judge J. Paul Oetken from Gary Y Leung dated June 14, 2019. . Document filed by Jun Qin, Lizhao Su, Bei Xie, Shaohua Michael Yin, Zhiqing Yin, Yan Zhou. (Sommer, Michael)
June 14, 2019	Filing 115 LETTER MOTION for Local Rule 37.2 Conference addressed to Judge J. Paul Oetken from Gary Y Leung dated June 14, 2019. Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit A Table of Disputed Discovery Responses, #2 Exhibit B Declaration of Gary Y Leung, #3 Exhibit B1, #4 Exhibit B2, #5 Exhibit B3, #6 Exhibit B4, #7 Exhibit B5, #8 Exhibit B6, #9 Exhibit B7, #10 Exhibit B8, #11 Exhibit B9, #12 Exhibit B10)(Leung, Gary)
June 14, 2019	Filing 114 LETTER addressed to Judge J. Paul Oetken from Gary Y. Leung dated June 14, 2019 re: Alternative Service. Document filed by Securities and Exchange Commission. (Attachments: #1 Publication Notice, #2 Declaration of Gary Y. Leung, #3 Text of Proposed Order)(Leung, Gary)
June 12, 2019	Filing 113 CONFIDENTIALITY STIPULATION AND PROTECTIVE ORDER:...regarding procedures to be followed that shall govern the handling of confidential material... So Ordered. (Signed by Judge J. Paul Oetken on 6/12/2019) (js)
June 11, 2019	Filing 112 PROPOSED PROTECTIVE ORDER. Document filed by Jun Qin, Lizhao Su, Bei Xie, Shaohua Michael Yin, Zhiqing Yin. (Sommer, Michael)
June 5, 2019	Filing 111 ORDER granting #110 Letter Motion to Adjourn Conference. GRANTED. THE TELEPHONIC DISCOVERY AND SCHEDULING CONFERENCE PREVIOUSLY SCHEDULED FOR JUNE 14, 2019, AT 12:30 P.M. WILL INSTEAD BE HELD ON JUNE 20, 2019, AT 10:00 A.M. COUNSEL FOR ALL PARTIES ARE DIRECTED TO JOINTLY CONTACT CHAMBERS AT 212-805-0266 ON JUNE 20, 2019, AT 10:00 A.M. FOR THE DISCOVERY AND SCHEDULING CONFERENCE. SO ORDERED. (HEREBY ORDERED by Judge J. Paul Oetken)(Text Only Order) (Goldenberg, Jacob)
June 4, 2019	Filing 110 LETTER MOTION to Adjourn Conference respectfully requesting that the upcoming discovery and status conference currently scheduled for June 14, 2019 be briefly adjourned addressed to Judge J. Paul Oetken from Michael S. Sommer dated June 4, 2019. Document filed by Jun Qin, Lizhao Su, Bei Xie, Shaohua Michael Yin, Zhiqing Yin.(Sommer, Michael)
June 4, 2019	Filing 109 ORDER granting #107 Letter Motion for Conference. GRANTED. COUNSEL FOR ALL PARTIES ARE DIRECTED TO JOINTLY CONTACT CHAMBERS AT 212-805-0266 ON JUNE 14, 2019, AT 12:30 P.M. FOR A DISCOVERY AND SCHEDULING CONFERENCE. SO ORDERED. (HEREBY ORDERED by Judge J. Paul Oetken)(Text Only Order) (bh)
May 31, 2019	Filing 108 ORDER granting #102 Motion to Appear Pro Hac Vice. GRANTED. (HEREBY ORDERED by Judge J. Paul Oetken)(Text Only Order) (bh)
May 30, 2019	Filing 107 FIRST LETTER MOTION for Conference Request to Appear by Telephone addressed to Judge J. Paul Oetken from William H. Kimball dated 05/30/2019. Document filed by Benjamin Bin Chow. Return Date set for 6/14/2019 at 12:30 PM.(Kimball, William)
May 28, 2019	Filing 106 JOINT LETTER addressed to Judge J. Paul Oetken from Michael S. Sommer and Roland G. Riopelle dated May 28, 2019 re: respectfully responding to the SEC's discovery dispute letter, Dkt. No. 98. Document filed by Jun Qin, Lizhao Su, Bei Xie, Shaohua Michael Yin, Zhiqing Yin, Yan Zhou. (Attachments: #1 Exhibit 1)(Sommer, Michael)
May 28, 2019	Filing 105 LETTER RESPONSE in Support of Motion addressed to Judge J. Paul Oetken from Gary Y. Leung dated May 28, 2019 re: #98 LETTER MOTION for Discovery re: Deposition Venue addressed to Judge J. Paul Oetken from Gary Y. Leung dated May 20, 2019. . Document filed by Securities and Exchange Commission. (Leung, Gary)
May 23, 2019	Filing 104 STIPULATION AND ORDER REGARDING DUE DATE FOR RESPONSES TO INITIAL L.R. 37.2 BRIEFS CONCERNING DEPOSITION VENUE: NOW THEREFORE, the Parties hereby stipulate and agree that: The parties' response briefs shall be simultaneously submitted at 5:00 p.m. ET on May 28, 2019. SO ORDERED., ( Responses due by 5/28/2019) (Signed by Judge J. Paul Oetken on 5/23/2019) (ama)
May 23, 2019	Filing 103 PROPOSED STIPULATION AND ORDER. Document filed by Securities and Exchange Commission. (Leung, Gary)
May 21, 2019	Filing 102 MOTION for William H. Kimball to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-16927382. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Benjamin Bin Chow.(Kimball, William)
May 21, 2019	>>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #102 MOTION for William H. Kimball to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-16927382. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (jc)
May 20, 2019	Filing 101 DECLARATION of Gary Y. Leung in Support re: #98 LETTER MOTION for Discovery re: Deposition Venue addressed to Judge J. Paul Oetken from Gary Y. Leung dated May 20, 2019.. Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit 1 - Parties' Correspondence, #2 Exhibit 2 - Hague Info for China, Hong Kong and Macao, #3 Exhibit 3 - China Judicial Assistance Info, #4 Exhibit 4 - Letter from Dept of State, #5 Exhibit 5 - DHS Records, #6 Exhibit 6 - Declaration of Yan Zhou, #7 Exhibit 7 - Macao Response to Hague Questionnaire, #8 Exhibit 8 - Correspondence with Macao, #9 Exhibit 9 - Yin Discovery Response Excerpts, #10 Exhibit 10 - Yan Zhou Depo Notice, #11 Exhibit 11 - China Travel Advisory)(Leung, Gary)
May 20, 2019	Filing 100 DECLARATION of Katerina Ossenova in Support re: #98 LETTER MOTION for Discovery re: Deposition Venue addressed to Judge J. Paul Oetken from Gary Y. Leung dated May 20, 2019.. Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit A - Chinese Info on Hague, #2 Exhibit B - Macao Info on Hague, #3 Exhibit C - Macao Response on Video-Link, #4 Exhibit D - Email with Macao Representative)(Leung, Gary)
May 20, 2019	Filing 99 JOINT LETTER addressed to Judge J. Paul Oetken from Michael S. Sommer and Roland G. Riopelle dated May 20, 2019 re: respectfully responding to discovery dispute court order, Dkt. No. 97. Document filed by Jun Qin, Lizhao Su, Bei Xie, Shaohua Michael Yin, Zhiqing Yin, Yan Zhou. (Attachments: #1 Exhibit 1, #2 Exhibit 2)(Sommer, Michael)
May 20, 2019	Filing 98 LETTER MOTION for Discovery re: Deposition Venue addressed to Judge J. Paul Oetken from Gary Y. Leung dated May 20, 2019. Document filed by Securities and Exchange Commission.(Leung, Gary)
May 3, 2019	Filing 97 ORDER ON THE PARTIES' JOINT REQUEST FOR A L.R. 37.2 INFORMAL DISCOVERY CONFERENCE AND CORRESPONDING CONTINUANCE OF THE MAY 6, 2019 SCHEDULING CONFERENCE granting #96 Letter Motion for Local Rule 37.2 Conference. IT IS HEREBY ORDERED that: Standing Order, paragraph 4(B) letter motions: SEC Opening Brief and Defendant Yin and Relief Defendants Yin, Su, Xie, Qin, and Zhou Opening Brief shall be simultaneously submitted at 5:00 p.m. ET on May 20, 2019; Standing Order, paragraph 4(B) responses: SEC Response Brief and Defendant Yin and Relief Defendants Yin, Su, Xie, Zin, and Zhou Response Brief shall be simultaneously submitted at 5:00 p.m. ET on May 27, 2019; An informal discovery conference on the parties' submitted discovery issue is set for June 14, 2019, at 12:30 pm. The previously-scheduled May 6, 2019 scheduling conference is adjourned to that same date and time. SO ORDERED. (Discovery Hearing set for 6/14/2019 at 12:30 PM before Judge J. Paul Oetken.) (Signed by Judge J. Paul Oetken on 5/3/2019) (anc) Modified on 5/6/2019 (anc).
May 3, 2019	Set/Reset Deadlines: Motions due by 5/20/2019. Responses due by 5/27/2019. (anc)
May 2, 2019	Filing 96 LETTER MOTION for Local Rule 37.2 Conference addressed to Judge J. Paul Oetken from Gary Y. Leung dated 05/02/2019. Document filed by Securities and Exchange Commission. (Attachments: #1 Text of Proposed Order Proposed Order)(Leung, Gary)
May 1, 2019	NOTICE: THE PRETRIAL CONFERENCE CURRENTLY SCHEDULED FOR MAY 6, 2019 WILL BE HELD ON MAY 6, 2019 AT 2:00 P.M. (bh)
March 1, 2019	Filing 95 ANSWER to #68 Amended Complaint, with JURY DEMAND. Document filed by Benjamin Bin Chow.(Kane, Miranda)
February 1, 2019	Filing 94 STIPULATION AND ORDER AMENDING CASE MANAGEMENT PLAN AND SCHEDULING ORDER: Defendant Benjamin Bin Chow shall respond to Plaintiff's complaint by March 1, 2019. Depositions shall be completed by September 24, 2019. All fact discovery shall be completed by September 24, 2019. All expert discovery, including expert depositions, shall be completed no later than December 3, 2019. Motions for summary judgment shall be filed no later than January 21, 2020. It is further stipulated that the status conference scheduled for March 6, 2019 be adjourned and rescheduled for May 6, 2019. (As further set forth in this Order.) Benjamin Bin Chow answer due 3/1/2019. (Deposition due by 12/3/2019., Expert Discovery due by 12/3/2019., Fact Discovery due by 9/24/2019., Motions due by 1/21/2020.) (Signed by Judge J. Paul Oetken on 2/1/2019) (cf)
January 31, 2019	Filing 93 JOINT LETTER addressed to Judge J. Paul Oetken from Gary Y. Leung dated January 31, 2019 re: Stipulation and Proposed Order Amending Case Management Plan and Scheduling Order following stay. Document filed by Securities and Exchange Commission. (Attachments: #1 Text of Proposed Order Stipulation and Proposed Order Amending Scheduling Order)(Leung, Gary)
January 23, 2019	Filing 92 ORDER granting #88 Motion to Appear Pro Hac Vice. GRANTED. (HEREBY ORDERED by Judge J. Paul Oetken)(Text Only Order) (bh)
January 17, 2019	Filing 91 CONSENT ORDER GRANTING SUBSTITUTION OF ATTORNEY: Notice is hereby given that, subject to approval by the court, Yan Zhou substitutes Roland Gustaf Riopelle, as counsel of record in place of Eli Bard Richlin, Katherine Talbot McCarthy, Michael S. Sommer, Meher Javid Talib at Wilson Sonsini Goodrich & Rosati, 1301 Avenue of the Americas 40th Floor New York, NY 10019. The substitution of attorney is hereby approved and so ORDERED., Attorney Michael S Sommer; Meher Javid Talib; Katherine Talbot McCarthy and Eli Bard Richlin terminated. (Signed by Judge J. Paul Oetken on 1/16/2019) (ama) Modified on 1/30/2019 (ama).
January 16, 2019	Filing 90 PROPOSED ORDER FOR SUBSTITUTION OF ATTORNEY. Document filed by Yan Zhou. (Riopelle, Roland)
January 16, 2019	Filing 89 NOTICE OF APPEARANCE by Roland Gustaf Riopelle on behalf of Yan Zhou. (Riopelle, Roland)
January 16, 2019	>>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #88 MOTION for Miranda Kane to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-16195936. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (wb)
January 15, 2019	Filing 88 MOTION for Miranda Kane to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-16195936. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Benjamin Bin Chow.(Kane, Miranda)
January 11, 2019	Filing 87 ORDER: granting #86 Letter Motion to Stay. Granted. This action is hereby stayed for the duration of the government shutdown. Within seven days of the President signing into law a budget appropriation that restores funding to the Securities and Exchange Commission, the Parties shall confer and propose a revised Civil Case Management Plan and Scheduling Order. SO ORDERED. PRO SE PARTY SHALL NOTIFY THE COURT IF PRO SE PARTY HAS RETAINED COUNSEL IN THIS MATTER. ] (Signed by Judge J. Paul Oetken on 1/11/2019) Copies Mailed By Chambers. (ama)
January 11, 2019	Case Stayed (ama)
January 10, 2019	Filing 86 LETTER MOTION to Stay re: #77 Order, Set Deadlines,,,,,, #75 Stipulation and Order, Set Deadlines/Hearings,,,,,,,,,, #76 Stipulation - Unsigned addressed to Judge J. Paul Oetken from Securities and Exchange Commission dated January 10, 2019. Document filed by Securities and Exchange Commission.(Longo, Amy)
January 8, 2019	Filing 85 MEMO ENDORSEMENT on re: #84 Notice (Other) filed by Lizhao Su, Yan Zhou, Bei Xie, Jun Qin, Zhiqing Yin, Shaohua Michael Yin. ENDORSEMENT: Granted. Megan Wall-Wolff is withdrawn as counsel of record forDefendant Shaohua (Michael) Yin and Relief Defendants Lizhao Su,Zhiqing Yin, Jun Qin, Yan Zhou, and Bei Xie in this matter. So Ordered., (Attorney Megan Elizabeth Wall-Wolff terminated.) (Signed by Judge J. Paul Oetken on 1/8/19) Copy mailed by Chambers. (yv)
January 7, 2019	Filing 84 NOTICE of WITHDRAWAL OF COUNSEL, MEGAN WALL-WOLFF. Document filed by Jun Qin, Lizhao Su, Bei Xie, Shaohua Michael Yin, Zhiqing Yin, Yan Zhou. (Richlin, Eli)
January 7, 2019	Filing 83 FILING ERROR - DEFICIENT DOCKET ENTRY (SEE #84 Notice) - NOTICE of Withdrawl of Counsel, Megan Wall-Wolff. Document filed by Chaofeng Ji, Jun Qin, Lizhao Su, Bei Xie, Shaohua Michael Yin, Zhiqing Yin, Yan Zhou. (Richlin, Eli) Modified on 1/8/2019 (db).
December 28, 2018	Filing 82 LETTER addressed to Judge J. Paul Oetken from Michael S. Sommer dated December 28, 2018 re: Shaohua (Michael) Yin's Amended Answer to the SEC's Second Amended Complaint. Document filed by Jun Qin, Lizhao Su, Bei Xie, Shaohua Michael Yin, Zhiqing Yin, Yan Zhou.(Sommer, Michael)
December 13, 2018	Filing 81 JOINT STIPULATION AND ORDER FOR AMENDMENT OF ANSWER: THEREFORE, the SEC and S. Yin hereby agree and stipulate that S. Yin may file an amended answer to the Second Amended Complaint which withdraws his invocation of his right against self-incrimination as to the SEC's allegations relating to Lattice, and substantively respond to those allegations pursuant to Fed. R. Civ. P. 8 and Fed. R. Civ. P. 12, to be filed no later than December 28, 2018. SO ORDERED. Shaohua Michael Yin answer due 12/28/2018. (Signed by Judge J. Paul Oetken on 12/13/2018) Copies Mailed By Chambers. (ama)
December 12, 2018	Filing 80 LETTER addressed to Judge J. Paul Oetken from Michael S. Sommer dated December 12, 2018 re: Amendment of Answer to the SEC's Second Amended Complaint. Document filed by Shaohua Michael Yin. (Attachments: #1 Text of Proposed Order)(Sommer, Michael)
December 10, 2018	Filing 79 STIPULATION AND ORDER AUTHORIZING SALE OF SECURITIES: THEREFORE, Plaintiff Securities and Exchange Commission ("SEC"), and Relief Defendants Lizhao Su and Zhiqing Yin, hereby agree and stipulate to providing the following instructions to Interactive Brokers with respect to certain securities held in the Accounts: And as set forth herein. SO ORDERED. (Signed by Judge J. Paul Oetken on 12/10/2018) Copies Mailed By Chambers. (ama)
December 10, 2018	Filing 78 JOINT LETTER addressed to Judge J. Paul Oetken from Michael S. Sommer and the SEC dated December 10, 2018 re: Authorizing Sale of Securities. Document filed by Jun Qin, Lizhao Su, Bei Xie, Shaohua Michael Yin, Zhiqing Yin, Yan Zhou. (Attachments: #1 Text of Proposed Order)(Sommer, Michael)
December 6, 2018	Filing 77 ORDER. Defendant Benjamin Chow's time to move, answer or otherwise respond to the Complaint is hereby extended to January 21, 2019. Defendant Chow is directed to file a "Notice Of Pro Se Appearance" form with the Court's pro se office. The form may be retrieved from this Court's website at the following address: http://nysd.uscourts.gov/forms.php. In completing the form, Defendant Chow shall indicate whether future correspondences from the Court should be provided to him by mail or electronically via email. Defendant Chow is also directed to refer to the following forms available on the Court's website: 1) "Motion for Permission for Electronic Filing;" 2) "Answer Form;" and 3) "Motion's guide for Pro Se Litigants." SO ORDERED. Benjamin Bin Chow answer due 1/21/2019. (Signed by Judge J. Paul Oetken on 12/6/2018) Copies Mailed By Chambers. (rjm)
December 3, 2018	Filing 76 STIPULATION(unsigned) & PROPOSED ORDER. Document filed by Benjamin Bin Chow, Securities and Exchange Commission.(sc)
November 13, 2018	Filing 75 STIPULATION AND ORDER AMENDING CASE MANAGEMENT PLAN AND SCHEDULING ORDER: Plaintiff Securities and Exchange Commission ("SEC"), Defendant Shaohua (Michael) Yin, and Relief Defendants Lizhao Su, Zhiqing Yin, Jun Qin, Yan Zhou, and Bei Xie, hereby agree and stipulate to the following case management plan and scheduling order: Interrogatories shall be served by January 18, 2019. Requests to admit shall be served by January 18, 2019. Fact depositions shall be completed by July 26, 2019. All fact discovery shall be completed no later than July 26, 2019. Plaintiff's expert disclosures pursuant to Fed. R. Civ. P. 26(a)(2) shall be made on or before August 30, 2019. Defendants' expert disclosures pursuant to Fed. R. Civ. P. 26(a)(2) shall be made on or before September 20, 2019. All expert discovery, including expert depositions, shall be completed no later than October 4, 2019. Motions for summary judgment shall be filed no later than November 1, 2019. It is further stipulated that the status conference scheduled for November 15, 2018 be adjourned and rescheduled for March 6, 2019. (Deposition due by 10/4/2019., Expert Discovery due by 10/4/2019., Fact Discovery due by 7/26/2019., Motions due by 11/1/2019.) (Signed by Judge J. Paul Oetken on 11/13/2018) (rro)
November 9, 2018	Filing 74 JOINT LETTER addressed to Judge J. Paul Oetken from Michael S. Sommer and the SEC dated November 9, 2018 re: respectfully requesting that the Court so-order the enclosed Stipulation and [Proposed] Order Amending Case Management Plan and Scheduling Order. Document filed by Jun Qin, Lizhao Su, Bei Xie, Shaohua Michael Yin, Zhiqing Yin, Yan Zhou. (Attachments: #1 Text of Proposed Order)(Sommer, Michael)
October 17, 2018	Filing 73 WAIVER OF SERVICE RETURNED EXECUTED. Benjamin Bin Chow waiver sent on 10/3/2018, answer due 12/3/2018. Document filed by Securities and Exchange Commission. (Leung, Gary)
October 1, 2018	Filing 72 ANSWER to #68 Amended Complaint, with JURY DEMAND. Document filed by Jun Qin, Lizhao Su, Bei Xie, Zhiqing Yin, Yan Zhou.(Sommer, Michael)
October 1, 2018	Filing 71 ANSWER to #68 Amended Complaint, with JURY DEMAND. Document filed by Shaohua Michael Yin.(Sommer, Michael)
September 18, 2018	Filing 70 ELECTRONIC SUMMONS ISSUED as to Benjamin Bin Chow. (pc)
September 17, 2018	Filing 69 REQUEST FOR ISSUANCE OF SUMMONS as to Benjamin Bin Chow, re: #68 Amended Complaint,. Document filed by Securities and Exchange Commission. (Leung, Gary)
September 17, 2018	Filing 68 SECOND AMENDED COMPLAINT amending #32 Amended Complaint, against Chaofeng Ji, Jun Qin, Lizhao Su, Bei Xie, Shaohua Michael Yin, Zhiqing Yin, Yan Zhou, Benjamin Bin Chow.Document filed by Securities and Exchange Commission. Related document: #32 Amended Complaint,. (Attachments: #1 Exhibit A - Order Granting Leave to Amend)(Leung, Gary)
September 11, 2018	Filing 67 ORDER granting #63 Motion to Amend/Correct. Upon consideration of Plaintiff's motion and supporting memorandum of law at Docket Numbers 63 and 64, the Court grants Plaintiff leave to file an amended complaint in the form indicated at Docket Number 64-1. The Clerk of Court is directed to close the motion at Docket Number 63. SO ORDERED. (Signed by Judge J. Paul Oetken on 9/11/2018) (ama)
September 11, 2018	Filing 66 ORDER granting #62 Motion to Appear Pro Hac Vice. Granted. (HEREBY ORDERED by Judge J. Paul Oetken)(Text Only Order) (Oetken, J.)
September 10, 2018	Filing 65 LETTER addressed to Judge J. Paul Oetken from Michael S. Sommer dated 09/10/2018 re: Plaintiff's Motion to Amend Complaint, Dkt. No. 63. Document filed by Jun Qin, Lizhao Su, Bei Xie, Shaohua Michael Yin, Zhiqing Yin, Yan Zhou.(Sommer, Michael)
August 27, 2018	Filing 64 MEMORANDUM OF LAW in Support re: #63 MOTION to Amend/Correct #32 Amended Complaint, . . Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit [Proposed] Second Amended Complaint)(Leung, Gary)
August 27, 2018	Filing 63 MOTION to Amend/Correct #32 Amended Complaint, . Document filed by Securities and Exchange Commission.(Leung, Gary)
August 13, 2018	Filing 62 MOTION for KATHERINE T. MCCARTHY to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-15442466. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Jun Qin, Lizhao Su, Bei Xie, Shaohua Michael Yin, Zhiqing Yin, Yan Zhou. (Attachments: #1 Affidavit, #2 Text of Proposed Order)(McCarthy, Katherine)
August 13, 2018	>>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #62 MOTION for KATHERINE T. MCCARTHY to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number 0208-15442466. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (bcu)
July 26, 2018	Filing 61 ORDER granting #60 Letter Motion for Extension of Time to File. GRANTED. PLAINTIFF MAY MOVE TO JOIN BENJAMIN (BIN) CHOW AS A DEFENDANT ON OR BEFORE AUGUST 27, 2018. NO FURTHER AMENDED PLEADINGS MAY BE FILED AND NO ADDITIONAL PARTIES MAY BE JOINED WITHOUT FURTHER LEAVE OF THE COURT. SO ORDERED. (HEREBY ORDERED by Judge J. Paul Oetken)(Text Only Order) (Oetken, J.)
July 25, 2018	Filing 60 LETTER MOTION for Extension of Time to File Motion to Amend or Join Additional Parties addressed to Judge J. Paul Oetken from Amy J Longo dated 07/24/2018. Document filed by Securities and Exchange Commission. (Attachments: #1 Joint Stipulation Extending Time to File Motion to Amend or Join, #2 Text of Proposed Order)(Longo, Amy)
July 3, 2018	Filing 59 NOTICE OF APPEARANCE by Eli Bard Richlin on behalf of Jun Qin, Lizhao Su, Bei Xie, Shaohua Michael Yin, Zhiqing Yin, Yan Zhou. (Richlin, Eli)
June 12, 2018	Minute Entry for proceedings held before Judge J. Paul Oetken: Initial Pretrial Conference held on 6/12/2018. Next conference scheduled for 6/12/2018 at 2:00 pm. (bh)
June 12, 2018	Filing 58 CIVIL CASE MANAGEMENT PLAN AND SCHEDULING ORDER: This Civil Case Management Plan (the "Plan") is submitted by the parties in accordance with Fed. R. Civ. P. 26(f)(3). All parties do not consent to conducting all further proceedings before a United States Magistrate Judge, including motions and trial. 28 U.S.C. 636(c). All Fact Discovery due by 4/30/2019. Deposition due by 6/28/2019. All Expert Discovery due by 6/28/2019. This case is to be tried to a jury. Counsel for the parties have conferred and their present best estimate of the length of trial is 10-15 trial days. The next Case Management Conference set for 11/15/2018 at 02:00 PM before Judge J. Paul Oetken. And as set forth herein. SO ORDERED. (Signed by Judge J. Paul Oetken on 6/12/2018) (ama)
June 7, 2018	Filing 57 RULE 26(f) DISCOVERY PLAN REPORT.Document filed by Securities and Exchange Commission.(Leung, Gary)
May 31, 2018	Filing 56 ORDER: Counsel for all parties are directed to appear for an initial pretrial conference with the Court on June 12, 2018, at 11:45 a.m. The conference will be held in Courtroom 706 of the Thurgood Marshall United States Court House, 40 Foley Square, New York, New York. Counsel who appear at the pretrial conference must be authorized to negotiate terms of settlement. And as set forth herein. SO ORDERED. Initial Conference set for 6/12/2018 at 11:45 AM in Courtroom 706, 40 Centre Street, New York, NY 10007 before Judge J. Paul Oetken. (Signed by Judge J. Paul Oetken on 5/30/2018) (ama)
May 29, 2018	Filing 55 ANSWER to #32 Amended Complaint, with JURY DEMAND. Document filed by Jun Qin, Lizhao Su, Bei Xie, Zhiqing Yin, Yan Zhou.(Sommer, Michael)
May 29, 2018	Filing 54 ANSWER to #32 Amended Complaint, with JURY DEMAND. Document filed by Shaohua Michael Yin.(Sommer, Michael)
May 14, 2018	Filing 53 OPINION AND ORDER: re: #49 MOTION for Reconsideration filed by Lizhao Su, Yan Zhou, Bei Xie, Jun Qin, Zhiqing Yin, Shaohua Michael Yin. Accordingly, the motion for reconsideration is DENIED. The Clerk of Court is directed to close the motion at Docket Number 49. Defendants shall file an answer within 14 days from the date of this order. SO ORDERED. (Signed by Judge J. Paul Oetken on 5/14/2018) (ama)
April 30, 2018	Filing 52 REPLY MEMORANDUM OF LAW in Support re: #49 MOTION for Reconsideration . . Document filed by Jun Qin, Lizhao Su, Bei Xie, Shaohua Michael Yin, Zhiqing Yin, Yan Zhou. (Sommer, Michael)
April 23, 2018	Filing 51 RESPONSE in Opposition to Motion re: #49 MOTION for Reconsideration . . Document filed by Securities and Exchange Commission. (Leung, Gary)
April 9, 2018	Filing 50 MEMORANDUM OF LAW in Support re: #49 MOTION for Reconsideration . . Document filed by Jun Qin, Lizhao Su, Bei Xie, Shaohua Michael Yin, Zhiqing Yin, Yan Zhou. (Sommer, Michael)
April 9, 2018	Filing 49 MOTION for Reconsideration . Document filed by Jun Qin, Lizhao Su, Bei Xie, Shaohua Michael Yin, Zhiqing Yin, Yan Zhou.(Sommer, Michael)
March 27, 2018	Filing 48 OPINION AND ORDER: re: #37 MOTION to Dismiss filed by Lizhao Su, Yan Zhou, Bei Xie, Jun Qin, Zhiqing Yin, Shaohua Michael Yin. For the foregoing reasons, Defendants' motion dismiss is DENIED. Defendants shall file an answer within 14 days of the date of this order. The Clerk of Court is directed to close the motion at Docket Number 37. SO ORDERED. (Signed by Judge J. Paul Oetken on 3/26/2018) (ama)
November 20, 2017	Filing 47 LETTER addressed to Judge J. Paul Oetken from Jasmine M. Starr dated 11/20/2017 re: Indictment of Benjamin Chow. Document filed by Securities and Exchange Commission.(Starr, Jasmine)
November 9, 2017	Filing 46 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a MOTION proceeding held on 10/11/17 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 9, 2017	Filing 45 TRANSCRIPT of Proceedings re: MOTION held on 10/11/2017 before Judge J. Paul Oetken. 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 11/30/2017. Redacted Transcript Deadline set for 12/11/2017. Release of Transcript Restriction set for 2/7/2018.(McGuirk, Kelly)
October 18, 2017	Filing 44 NOTICE OF APPEARANCE by Meher Javid Talib on behalf of Jun Qin, Lizhao Su, Bei Xie, Shaohua Michael Yin, Zhiqing Yin, Yan Zhou. (Talib, Meher)
October 11, 2017	Minute Entry for proceedings held before Judge J. Paul Oetken: Oral Argument held on 10/11/2017 re: #37 MOTION to Dismiss . filed by Lizhao Su, Yan Zhou, Bei Xie, Jun Qin, Zhiqing Yin, Shaohua Michael Yin. Decision reserved. (bh)
August 23, 2017	ORDER granting #43 Letter Motion for Oral Argument. GRANTED. ORAL ARGUMENT ON THE MOTION TO DISMISS WILL TAKE PLACE ON OCTOBER 11, 2017, AT 11:30 AM IN COURTROOM 706 OF THE THURGOOD MARSHALL UNITED STATES COURT HOUSE, 40 FOLEY SQUARE, NEW YORK, NEW YORK. SO ORDERED. (HEREBY ORDERED by Judge J. Paul Oetken)(Text Only Order) (Oetken, J.)
August 21, 2017	Filing 43 LETTER MOTION for Oral Argument addressed to Judge J. Paul Oetken from Michael S. Sommer dated 08/21/2017. Document filed by Jun Qin, Lizhao Su, Bei Xie, Shaohua Michael Yin, Zhiqing Yin, Yan Zhou.(Sommer, Michael)
August 18, 2017	Filing 42 REPLY MEMORANDUM OF LAW in Support re: #37 MOTION to Dismiss . . Document filed by Jun Qin, Lizhao Su, Bei Xie, Shaohua Michael Yin, Zhiqing Yin, Yan Zhou. (Sommer, Michael)
July 28, 2017	Filing 41 MEMORANDUM OF LAW in Opposition re: #37 MOTION to Dismiss . . Document filed by Securities and Exchange Commission. (Starr, Jasmine)
June 30, 2017	Filing 40 ORDER denying as moot #28 Motion to Dismiss. On April 21, 2017, Defendants filed a motion to dismiss the original complaint in this matter. (Dkt. No. 28.) Plaintiffs filed an amended complaint on May 30, 2017. (Dkt. No. 32.) On June 28, 2017, Defendants filed a motion to dismiss the amended complaint. (Dkt. No. 37.) Accordingly, the motion to dismiss the original complaint is hereby DENIED as moot. The Clerk of Court is directed to close the motion at Docket Number 28. (Signed by Judge J. Paul Oetken on 6/29/2017) (mro)
June 28, 2017	Filing 39 ORDER granting #36 Motion to Appear Pro Hac Vice. GRANTED. (HEREBY ORDERED by Judge J. Paul Oetken)(Text Only Order) (Oetken, J.)
June 28, 2017	Filing 38 MEMORANDUM OF LAW in Support re: #37 MOTION to Dismiss . . Document filed by Jun Qin, Lizhao Su, Bei Xie, Shaohua Michael Yin, Zhiqing Yin, Yan Zhou. (Attachments: #1 Exhibit A, #2 Exhibit A(T))(Sommer, Michael)
June 28, 2017	Filing 37 MOTION to Dismiss . Document filed by Jun Qin, Lizhao Su, Bei Xie, Shaohua Michael Yin, Zhiqing Yin, Yan Zhou. Responses due by 7/28/2017(Sommer, Michael)
June 21, 2017	>>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #36 MOTION for Jasmine M. Starr 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. (wb)
June 20, 2017	Filing 36 MOTION for Jasmine M. Starr 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 Jasmine M. Starr, #2 Exhibit #1 CA Cert of Good Standing, #3 Exhibit #2 NY Cert of Good Standing, #4 Text of Proposed Order)(Starr, Jasmine)
June 15, 2017	Filing 35 ORDER ON STIPULATION EXTENDING TIME TO RESPOND TO FIRST AMENDED COMPLAINT: IT IS HEREBY ORDERED that on or before June 28, 2017, Defendants shall either: move to dismiss the FAC; or file an Answer. IT IS HEREBY FURTHER ORDERED that in the event that Defendants move to dismiss the FAC, the SEC shall file its response on or before July 28, 2017. Defendants shall file their reply on or before August 18, 2017. SO ORDERED., ( Motions due by 6/28/2017., Responses due by 7/28/2017, Replies due by 8/18/2017.) (Signed by Judge J. Paul Oetken on 6/15/2017) (ama)
May 31, 2017	Filing 34 ELECTRONIC SUMMONS ISSUED as to Chaofeng Ji. (pc)
May 30, 2017	Filing 33 REQUEST FOR ISSUANCE OF SUMMONS as to Chaofeng Ji, re: #32 Amended Complaint,. Document filed by Securities and Exchange Commission. (Leung, Gary)
May 30, 2017	Filing 32 FIRST AMENDED COMPLAINT amending #1 Complaint against Jun Qin, Lizhao Su, Bei Xie, Shaohua Michael Yin, Zhiqing Yin, Yan Zhou, Chaofeng Ji.Document filed by Securities and Exchange Commission. Related document: #1 Complaint filed by Securities and Exchange Commission.(Leung, Gary)
May 4, 2017	Filing 31 ORDER ON STIPULATION EXTENDING TIME TO RESPOND TO MOTION TO DISMISS: granting #30 Letter Motion for Extension of Time to File Response/Reply re #30 FIRST LETTER MOTION for Extension of Time to File Response/Reply as to #28 MOTION to Dismiss addressed to Judge J. Paul Oetken from David Stoelting dated May 3, 2017. NOW THEREFORE, IT IS HEREBY ORDERED that on or before May 30, 2017, the SEC shall either: file its response to Defendant's and Relief Defendants' April 21, 2017 Motion to Dismiss (Dkt. No 28) ("Motion to Dismiss"); or amend its complaint as a matter of course, as permitted by Rule 15(a)(1)(B) and the parties' stipulation. IT IS HEREBY FURTHER ORDERED that in the event that the SEC responds to the Motion to Dismiss, Defendant and Relief Defendants shall file their reply in support of the Motion to Dismiss on or before June 13, 2017. SO ORDERED. Responses due by 5/30/2017 Replies due by 6/13/2017. (Signed by Judge J. Paul Oetken on 5/04/2017) (ama) Modified on 5/4/2017 (ama).
May 3, 2017	Filing 30 FIRST LETTER MOTION for Extension of Time to File Response/Reply as to #28 MOTION to Dismiss . addressed to Judge J. Paul Oetken from David Stoelting dated May 3, 2017. Document filed by Securities and Exchange Commission. (Attachments: #1 Stipulation Extending Time to Respond to Motion to Dismiss, #2 Text of Proposed Order)(Stoelting, David)
April 21, 2017	Filing 29 MEMORANDUM OF LAW in Support re: #28 MOTION to Dismiss . . Document filed by Jun Qin, Lizhao Su, Bei Xie, Shaohua Michael Yin, Zhiqing Yin, Yan Zhou. (Sommer, Michael)
April 21, 2017	Filing 28 MOTION to Dismiss . Document filed by Jun Qin, Lizhao Su, Bei Xie, Shaohua Michael Yin, Zhiqing Yin, Yan Zhou.(Sommer, Michael)
March 23, 2017	Filing 27 PRELIMINARY INJUNCTION ORDER ON CONSENT: granting #5 Motion for TRO. IT IS HEREBY ORDERED that the SECs Application for an Order to Show Cause, Asset Freeze and Other Relief, to the extent it seeks an asset freeze and order prohibiting the destruction of documents, books and records pending a final disposition of this action, is GRANTED. IT IS FURTHER ORDERED that this Order shall be, and is, binding upon Defendant M. Yin and the Relief Defendants, and any of their officers, agents, servants, employees, attorneys, and those persons in active concert or participation with them who receive actual notice of this Order by personal service, facsimile service, electronic mail, or otherwise. IT IS FURTHER ORDERED that on or before April 21, 2017 Defendant M. Yin and Relief Defendants shall answer or otherwise respond to the Complaint. The clerk of Court is directed to close the motion at Docket No. 5. And as set forth herein. SO ORDERED. (Signed by Judge J. Paul Oetken on 3/23/2017) (ama)
March 23, 2017	Filing 26 STIPULATION ON PRELIMINARY INJUNCTION AND EXTENDING TIME TO ANSWER OR OTHERWISE RESPOND TO COMPLAINT: Plaintiff Securities and Exchange Commission ("SEC"), Defendant Shaohua (Michael) Yin, and Relief Defendants Lizhao Su, Zhiqing Yin, Jun Qin, Yan Zhou, and Bei Xie, hereby agree and stipulate: The SEC, Defendant M. Yin, and Relief Defendants have reserved their rights to apply to this Court at any time for a modification of the stipulated preliminary injunction order. On or before April 21, 2017, Defendant M. Yin and Relief Defendants shall answer or otherwise respond to the Complaint. The hearing scheduled for April 18, 2017, is hereby adjourned. And as set forth herein. SO ORDERED., Jun Qin answer due 4/21/2017; Lizhao Su answer due 4/21/2017; Bei Xie answer due 4/21/2017; Shaohua Michael Yin answer due 4/21/2017; Zhiqing Yin answer due 4/21/2017; Yan Zhou answer due 4/21/2017. (Signed by Judge J. Paul Oetken on 3/23/2017) (ama)
March 8, 2017	Filing 25 DECLARATION of David Stoelting in Support re: #5 MOTION for Temporary Restraining Order .. Document filed by Securities and Exchange Commission. (Leung, Gary)
March 8, 2017	Filing 24 MEMORANDUM OF LAW in Support re: #5 MOTION for Temporary Restraining Order . . Document filed by Securities and Exchange Commission. (Leung, Gary)
March 8, 2017	***NOTICE TO ATTORNEY TO RE-FILE DOCUMENT - EVENT TYPE ERROR. Notice to Attorney David Stoelting to RE-FILE Document #7 MOTION for Temporary Restraining Order Local Rule 6.1 Certification. Use the event type Declaration in Support of Motion found under the event list Replies, Opposition and Supporting Documents. Re-File and link ONLY to document #5 Motion. (ldi)
March 8, 2017	***NOTICE TO ATTORNEY TO RE-FILE DOCUMENT - EVENT TYPE ERROR. Notice to Attorney David Stoelting to RE-FILE Document #6 MOTION for Temporary Restraining Order Memorandum of Law in Support of SEC's Ex Parte Emergency Application for an Order to Show Cause, Asset Freeze and Other Relief. Use the event type Memorandum of Law in Support of Motion found under the event list Replies, Opposition and Supporting Documents. Re-File and link ONLY to document #5 Motion. NOTE: This document is missing a signature or s/. (ldi)
March 3, 2017	Filing 23 ORDER granting #21 Motion to Appear Pro Hac Vice; granting #22 Motion to Appear Pro Hac Vice. GRANTED. (HEREBY ORDERED by Judge J. Paul Oetken)(Text Only Order) (Oetken, J.)
March 3, 2017	>>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #21 MOTION for Gary Y. Leung to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff., #22 MOTION for Amy Jane Longo 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. (wb)
March 2, 2017	Filing 22 MOTION for Amy Jane Longo 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 Amy Jane Longo and Certificate, #2 Text of Proposed Order)(Longo, Amy)
March 2, 2017	Filing 21 MOTION for Gary Y. Leung 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 Gary Y. Leung and Certificate, #2 Text of Proposed Order)(Leung, Gary)
March 2, 2017	>>>NOTICE REGARDING DEFICIENT MOTION TO APPEAR PRO HAC VICE. Notice to RE-FILE Document No. #18 Affidavit in Support of Motion, #20 Affidavit in Support of Motion, #19 MOTION for Amy Jane Longo to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff., #17 MOTION for Gary Y. Leung to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff... The filing is deficient for the following reason(s): missing Certificate of Good Standing from Supreme Court of California; Attorney Affidavit/Declaration missing. Please Read Local Rule 1.3. The Affidavit/Declaration shsould be filed along with the motion.;. Re-file the motion as a Corrected Motion to Appear Pro Hac Vice - attach the correct signed PDF - select the correct named filer/filers - attach valid Certificates of Good Standing issued within the past 30 days - attach Proposed Order.. (bcu)
March 1, 2017	Filing 20 FILING ERROR - DEFICIENT DOCKET ENTRY - AFFIDAVIT of Amy Jane Longo in Support re: #19 MOTION for Amy Jane Longo to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff.. Document filed by Securities and Exchange Commission. (Longo, Amy) Modified on 3/2/2017 (bcu).
March 1, 2017	Filing 19 FILING ERROR - DEFICIENT DOCKET ENTRY - MOTION for Amy Jane Longo 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 Text of Proposed Order)(Longo, Amy) Modified on 3/2/2017 (bcu).
March 1, 2017	Filing 18 FILING ERROR - DEFICIENT DOCKET ENTRY - AFFIDAVIT of Gary Y. Leung in Support re: #17 MOTION for Gary Y. Leung to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff.. Document filed by Securities and Exchange Commission. (Leung, Gary) Modified on 3/2/2017 (bcu).
March 1, 2017	Filing 17 FILING ERROR - DEFICIENT DOCKET ENTRY - MOTION for Gary Y. Leung 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 Text of Proposed Order)(Leung, Gary) Modified on 3/2/2017 (bcu).
February 23, 2017	Filing 16 ORDER: The Court hereby orders that the hearing on the OSC is adjourned to April 18, 2017, at 2:00 p.m. in Courtroom 506 at 40 Foley Square, New York, New York. Defendant and Relief Defendants shall deliver any opposing papers in response to the Order to Show Cause above no later than April 7, 2017, at 5:00 p.m. Service shall be made by delivering the papers, using the most expeditious means available, by that date and time, to the New York Regional Office of the SEC at 3 World Financial Center, Suite 400, New York, New York 10281, Attn: David Stoelting and to the Los Angeles Regional Office of the SEC, 444 S. Flower Street, 9th Flr., Los Angeles, California 90071, Attn: Gary Y. Leung and Amy J. Longo, or such other place as counsel for the SEC may direct in writing. The SEC shall have until April 13, 2017, at 5:00 p.m., to serve, by the most expeditious means available, any reply papers upon counsel for the Defendant and Relief Defendants, or their counsel. On or before March 24, 2017, Defendant and Relief Defendants shall respond to all written discovery propounded on them by the SEC on or about February 13, 2017, and Defendant and Relief Defendants shall each appear for deposition, at a time and place to be agreed upon by the parties, but in no event no later than April 7, 2017. Except as modified by the foregoing scheduling changes, and in the Court's order dated February 16, 2017, all provisions of the OSC, including the asset freeze, shall remain in full force and effect pending completion of the hearing and the Court's determination of the SEC's Application. SO ORDERED, ( Show Cause Hearing set for 4/18/2017 at 02:00 PM in Courtroom 506, 40 Centre Street, New York, NY 10007 before Judge J. Paul Oetken.) (Signed by Judge J. Paul Oetken on 2/22/2017) (ama)
February 16, 2017	Filing 15 ORDER: The Court hereby orders that the hearing on the OSC scheduled for February 17, 2017, is adjourned pending further Order. As the Court is not available on the parties' proposed hearing date, the parties are directed to confer and notify the Court within seven days of the date of this Order as to a preferred new date for the hearing from among March 30, March 31, April 17 or April 18, 2017. The parties are also directed to provide the Court with a revised proposed briefing and discovery schedule. All provisions of the OSC, including the asset freeze, shall remain in full force and effect pending completion of the hearing and the Court's determination of the SEC's Application. (As further set forth in this Order.) (Signed by Judge J. Paul Oetken on 2/16/2017) (cf)
February 16, 2017	Filing 14 DECLARATION of Finola H. Manvelian in Support re: #5 MOTION for Temporary Restraining Order ., #6 MOTION for Temporary Restraining Order Memorandum of Law in Support of SEC's Ex Parte Emergency Application for an Order to Show Cause, Asset Freeze and Other Relief., #7 MOTION for Temporary Restraining Order Local Rule 6.1 Certification.. Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit 1-5, #2 Exhibits 6-7, #3 Exhibit 8a, #4 Exhibit 8b, #5 Exhibits 9-15, #6 Exhibits 16-20, #7 Exhibits 21-23, #8 Exhibit 24, #9 Exhibits 25-32)(Stoelting, David)
February 16, 2017	Filing 13 DECLARATION of Martin Ward in Support re: #5 MOTION for Temporary Restraining Order ., #7 MOTION for Temporary Restraining Order Local Rule 6.1 Certification., #6 MOTION for Temporary Restraining Order Memorandum of Law in Support of SEC's Ex Parte Emergency Application for an Order to Show Cause, Asset Freeze and Other Relief.. Document filed by Securities and Exchange Commission. (Stoelting, David)
February 16, 2017	Filing 12 DECLARATION of Stephen Haupt in Support re: #5 MOTION for Temporary Restraining Order ., #7 MOTION for Temporary Restraining Order Local Rule 6.1 Certification., #6 MOTION for Temporary Restraining Order Memorandum of Law in Support of SEC's Ex Parte Emergency Application for an Order to Show Cause, Asset Freeze and Other Relief.. Document filed by Securities and Exchange Commission. (Stoelting, David)
February 16, 2017	Filing 11 DECLARATION of Jan Jindra in Support re: #5 MOTION for Temporary Restraining Order ., #7 MOTION for Temporary Restraining Order Local Rule 6.1 Certification., #6 MOTION for Temporary Restraining Order Memorandum of Law in Support of SEC's Ex Parte Emergency Application for an Order to Show Cause, Asset Freeze and Other Relief.. Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibits 1-8, #2 Exhibits 9-19, #3 Exhibits 20-23)(Stoelting, David)
February 15, 2017	Filing 10 NOTICE OF APPEARANCE by Megan Elizabeth Wall-Wolff on behalf of Jun Qin, Lizhao Su, Bei Xie, Shaohua Michael Yin, Zhiqing Yin, Yan Zhou. (Wall-Wolff, Megan)
February 15, 2017	Filing 9 NOTICE OF APPEARANCE by Michael S Sommer on behalf of Jun Qin, Lizhao Su, Bei Xie, Shaohua Michael Yin, Zhiqing Yin, Yan Zhou. (Sommer, Michael)
February 15, 2017	>>>NOTICE REGARDING DEFICIENT MOTION TO APPEAR PRO HAC VICE. Notice to RE-FILE Document No. #8 MOTION for Gary Y. Leung to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff... The filing is deficient for the following reason(s): missing Certificate of Good Standing from Supreme Court of California;. Re-file the motion as a Corrected Motion to Appear Pro Hac Vice - attach the correct signed PDF - select the correct named filer/filers - attach valid Certificates of Good Standing issued within the past 30 days - attach Proposed Order.. (bcu)
February 14, 2017	Filing 8 FILING ERROR - DEFICIENT DOCKET ENTRY - MOTION for Gary Y. Leung 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 Gary Y. Leung and Cert. of Standing, #2 Text of Proposed Order)(Leung, Gary) Modified on 2/15/2017 (bcu).
February 13, 2017	Filing 7 FILING ERROR - WRONG EVENT TYPE SELECTED FROM MENU - MOTION for Temporary Restraining Order Local Rule 6.1 Certification. Document filed by Securities and Exchange Commission. Return Date set for 2/17/2017 at 03:30 PM.(Stoelting, David) Modified on 3/8/2017 (ldi).
February 13, 2017	Filing 6 FILING ERROR - WRONG EVENT TYPE SELECTED FROM MENU - MOTION for Temporary Restraining Order Memorandum of Law in Support of SEC's Ex Parte Emergency Application for an Order to Show Cause, Asset Freeze and Other Relief. Document filed by Securities and Exchange Commission. Return Date set for 2/17/2017 at 03:30 PM.(Stoelting, David) Modified on 3/8/2017 (ldi).
February 13, 2017	Filing 5 MOTION for Temporary Restraining Order . Document filed by Securities and Exchange Commission. Return Date set for 2/17/2017 at 03:30 PM.(Stoelting, David)
February 13, 2017	Filing 4 AFFIDAVIT OF SERVICE. All Defendants. Document filed by Securities and Exchange Commission. (Stoelting, David)
February 10, 2017	Filing 3 ORDER TO SHOW CAUSE AND ORDER FREEZING ASSETS AND GRANTING OTHER RELIEF: IT IS HEREBY ORDERED that the Defendant and Relief Defendants show cause, if there be any, to this Court at 3:30 p.m. on the 17 day of February, 2017, in Room 706 of the United States Courthouse, 40 Foley Square, New York, New York 10007, why this Court should not enter an Order directing that, pending a final disposition of this action. IT IS FURTHER ORDERED that a copy of this Order, the Complaint, Summons, and the papers supporting the SEC's application shall be served: (i) upon the Defendant and Relief Defendants, and (ii) on Interactive Brokers LLC, on or before Feb. 10, 2017 6:00 P.M. New York Time. The SEC shall have until Feb 17, 2017, at 11:00 a.m., to serve. Courtesy Copies of all papers should be sent by email to OetkenNYSDChambers@nysd.uscourts.gov. SO ORDERED. Order to show Cause Hearing set for 2/17/2017 at 03:30 PM in Courtroom 706, 40 Centre Street, New York, NY 10007 before Judge J. Paul Oetken. (Signed by Judge J. Paul Oetken on 2/10/2017) (ama)
February 10, 2017	Filing 2 CIVIL COVER SHEET filed. (pc) (pc).
February 10, 2017	Filing 1 COMPLAINT against Jun Qin, Lizhao Su, Bei Xie, Shaohua Michael Yin, Zhiqing Yin, Yan Zhou. Document filed by Securities and Exchange Commission.(pc) (pc).
February 10, 2017	SUMMONS ISSUED as to Jun Qin, Lizhao Su, Bei Xie, Shaohua Michael Yin, Zhiqing Yin, Yan Zhou. (pc)
February 10, 2017	Case Designated ECF. (pc)
February 10, 2017	***NOTE TO ATTORNEY TO E-MAIL PDF. Note to Attorney David Stoelting for noncompliance with Section 14.2 of the S.D.N.Y. Electronic Case Filing Rules & Instructions. E-MAIL the PDF for Document #2 Civil Cover Sheet, #1 Complaint to: caseopenings@nysd.uscourts.gov. (pc)
February 10, 2017	Magistrate Judge James L. Cott is so designated. (pc)

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Defendant: Yin
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Defendant: Zhiqing Yin
Represented By:	Megan Elizabeth Wall-Wolff
Represented By:	Michael S Sommer
Represented By:	Meher Javid Talib
Represented By:	Katherine Talbot McCarthy
Represented By:	Eli Bard Richlin
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Defendant: Yan Zhou
Represented By:	Megan Elizabeth Wall-Wolff
Represented By:	Michael S Sommer
Represented By:	Roland Gustaf Riopelle
Represented By:	Meher Javid Talib
Represented By:	Katherine Talbot McCarthy
Represented By:	Eli Bard Richlin
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Defendant: Jun Qin
Represented By:	Megan Elizabeth Wall-Wolff
Represented By:	Michael S Sommer
Represented By:	Meher Javid Talib
Represented By:	Katherine Talbot McCarthy
Represented By:	Eli Bard Richlin
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Defendant: Benjamin Bin Chow
Represented By:	William H Kimball
Represented By:	Miranda Kane
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Defendant: Shaohua Michael Yin
Represented By:	Megan Elizabeth Wall-Wolff
Represented By:	Michael S Sommer
Represented By:	Meher Javid Talib
Represented By:	Katherine Talbot McCarthy
Represented By:	Eli Bard Richlin
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Defendant: Chaofeng Ji
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Defendant: Lizhao Su
Represented By:	Megan Elizabeth Wall-Wolff
Represented By:	Michael S Sommer
Represented By:	Meher Javid Talib
Represented By:	Katherine Talbot McCarthy
Represented By:	Eli Bard Richlin
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Defendant: Bei Xie
Represented By:	Megan Elizabeth Wall-Wolff
Represented By:	Michael S Sommer
Represented By:	Meher Javid Talib
Represented By:	Katherine Talbot McCarthy
Represented By:	Eli Bard Richlin
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Plaintiff: Securities and Exchange Commission
Represented By:	David Stoelting
Represented By:	Amy J. Longo
Represented By:	Jasmine Starr
Represented By:	Gary Y. Leung
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