Securities and Exchange Commission v. Genovese et al
| Securities and Exchange Commission |
| Nicholas J. Genovese, Willow Creek Investments, LP and Willow Creek Advisers, LLC |
| 1:2018cv00942 |
| February 2, 2018 |
| US District Court for the Southern District of New York |
| Foley Square Office |
| New York |
| John G. Koeltl |
| Securities/Commodities/Exchanges |
| 15 U.S.C. ยง 77 |
| Plaintiff |
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The following documents for this case are available for you to view or download:
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Filing
97
MEMORANDUM OPINION AND ORDER re: 96 MOTION for Leave to Appeal in forma pauperis. filed by Nicholas J. Genovese. Accordingly, the appellant's application to proceed in forma pauperis is denied, without prejudice to his ability to seek the same relief from the Court of Appeals. See Coppedge, 369 U.S. at 445. The Clerk is directed to close Docket No. 96. SO ORDERED. (Signed by Judge John G. Koeltl on 11/29/2021) (jca)
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Filing
89
JUDGMENT: IT IS HEREBY ORDERED, ADJUDGED, AND DECREED that Defendants Genovese and Willow Creek Fund are permanently restrained and enjoined from violating, directly or indirectly, Section l0(b) of the Securities Exchange Act of 1934 (the " ;Exchange Act") [15 U.S.C. § 78j(b )] and Rule lOb-5 promulgated thereunder [17 C.F.R. § 240.1 0b-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 herein.) SO ORDERED. (Signed by Judge John G. Koeltl on 8/4/2021) (va)
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Filing
80
ORDER: Chambers has received the attached form from FCI Cumberland stating that the Court's mail to the defendant, enclosing certain Court Orders which the defendant claims not to have received, was rejected because the mail was transmitted in a "COLORED ENVELOPE." The Court will again mail the copies of ECF No. 67 and 68 to the defendant, now in a white envelope. The defendant was ordered to file further papers objecting to the Magistrate Judge's November 10, 2020 Order (ECF. No. 67) by February 1, 2021. The defendant's time to file any further papers objecting the Magistrate Judge's November 10, 2020 Order (ECF No. 67) is extended until March 12, 2021. The SEC may respond by March 22, 2021. In additi on, the defendant was previously ordered to respond to the SEC's pending motion by February 22, 2021. Although the SEC has served the summary judgment motion papers on the defendant, ECF No.75, nevertheless, the time for the defendant to respon d to the SEC's pending motion is extended to March 15, 2021. The time for the SEC to reply is extended to April 9, 2021. Chambers will mail a copy of this Order, and ECF Nos. 67 and 68 to the defendant. The Clerk is directed to mail a copy of this letter to the Warden of FCI Cumberland, so that the Warden may ensure that the defendant receives the mail from Chambers. SO ORDERED. (Signed by Judge John G. Koeltl on 2/19/2021) ( Responses due by 3/15/2021, Replies due by 4/9/2021.) (ks) Transmission to Docket Assistant Clerk for processing.
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Filing
76
ORDER denying 72 Motion. In ECF No. 72, the defendant Genovese makes 3 requests. First, he asks that various prior orders of the Magistrate Judge be vacated and the case be remanded back to the Magistrate Judge. That request is DENIED. The defendant has failed to explain why the prior orders of the Magistrate Judge were clearly erroneous or contrary to law. See Fed. R. Civ. P. 72(a). In any event, as the Magistrate Judge explained in ECF No. 67, the defendant appears to be objecting t o the decision not to allow various requests for discovery, and the defendant can raise that objection in response to the pending motion for summary judgment. In any event, the Court will grant the defendant additional time to support any objections to ECF No. 67. Second, the defendant asks that the Court send the defendant a copy of ECF. No. 68. That request is GRANTED. The Court will send the defendant a copy of ECF No. 68, as well as ECF No. 67 which the defendant is probably seeking. Third, the defendant seeks an extension of time to respond to the SEC's pending motion for summary judgment. Although the court has previously granted such an extension, the Court will grant another extension. That request is GRANTED. Therefore, the defendant may file any further papers objecting to the Magistrate Judge's November 10, 2020 Order (ECF. No. 67) by February 1, 2021. The SEC may respond by February 12, 2021. The time for the defendant to respond to the SEC's pending motion to summary judgment is extended to February 22, 2021. The time for the SEC to reply is extended to March 12, 2021. Chambers will mail a copy of this Order, and ECF Nos. 67 and 68 to the defendant. The Clerk is directed to close Docket No. 72. SO ORDERED.. (Signed by Judge John G. Koeltl on 1/19/2021) (ks)
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Filing
71
ORDER, The time to respond to the SEC's motion for summary judgment is extended to December 22, 2020. The SEC's time to reply is January 8, 2021. A copy of this Order will be mailed to Nicholas Genovese. SO ORDERED. Set Deadlines/Hearing as to 61 MOTION for Summary Judgment Against All Defendants. MOTION for Default Judgment as to Willow Creek Fund and Willow Creek. :( Responses due by 12/22/2020, Replies due by 1/8/2021.) (Signed by Judge John G. Koeltl on 12/3/20) (yv)
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Filing
70
ORDER: The defendant, Nicholas Genovese, has filed a Notice of Appeal from the decision of Magistrate Judge Moses, dated November 10, 2020. See ECF Nos. 67 & 68. Although it is indicated that a copy was sent to the Court of Appeals for the Seco nd Circuit, Objections to decisions of the Magistrate Judge should be directed to this Court. See 28 U.S.C. § 636(b)(l)(A). However, there is no supporting argument explaining why the defendant contends that the decision of the Magistrate Jud ge was clearly erroneous or contrary to law. See id. The time for the defendant to submit any supporting papers in support of his objections to the decision of the Magistrate Judge is extended to December 16, 2020. The time to respond is December 30, 2020. The time to reply is January 8, 2021. A copy of this Order will be mailed to the defendant. SO ORDERED. (Signed by Judge John G. Koeltl on 12/2/2020) ( Responses due by 12/30/2020, Replies due by 1/8/2021.) (ks)
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Filing
67
ORDER: So construed, defendant's motion is DENIED. Defendant is reminded that, to the extent he believes he "cannot present facts essential to justify [his] opposition" to plaintiff's pending summary judgment motion without di scovery, he may so assert in his opposition papers, which are due November 23, 2020, supported by an affidavit or declaration. See Fed. R. Civ. P. 56(d). Chambers will mail a copy of this Order to defendant Genovese at his new address of record. (As further set forth in this Order.) (Signed by Magistrate Judge Barbara C. Moses on 11/20/2020) (cf)
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Filing
60
ORDER: Consequently, it is hereby ORDERED that: 1.The Clerk of Court is respectfully directed to mail this Order to defendant Genovese at his address of record, together with (a) a copy of the complaint (Dkt.No. 1); and (b) a copy of the publicat ion "How to File an Answer." 2.Defendant Genovese shall file his answer or other response to the complaint no later than November 19, 2020. When filing an answer, a defendant must "admit or deny" each factual allegation asserte d against him. Fed. R. Civ. P. 8(b)(1)(B)."A denial must fairly respond to the substance of the allegation." Fed. R. Civ. P.8(b)(2). A defendant who does not have sufficient knowledge or information to admit or deny a factual allegation may so state. Fed. R. Civ. P. 8(b)(5). Defendant Genovese is advised, however, that being "unable to obtain proper Discovery in whole from Plaintiff" (Dkt. No. 51) is not an acceptable reason to deny a factual allegation as to a matter within his personal knowledge, or as to which he otherwise has sufficient knowledge or information to admit or deny the allegation. Mr. Genovese is warned that a failure to file his answer or other response to the complaint on or before November 1 9, 2020 could lead to significant adverse consequences, including sanctions, the issuance of a certificate of default, and/or a motion for entry of a default judgment. (And as further set forth herein.) SO ORDERED. Nicholas J. Genovese answer due 11/19/2020. (Signed by Magistrate Judge Barbara C. Moses on 10/20/2020) (jca) Transmission to Docket Assistant Clerk for processing.
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Filing
50
MEMO ENDORSED ORDER denying 48 Motion to Stay. ENDORSEMENT: The application for a stay pending appeal is DENIED. The order appealed from (Dkt. No. 44) is a non-dispositive scheduling order within the scope of the assigned magistrate judge� 39;s reference and is not appealable. Consequently, no stay is warranted. Holmes v. Nat'l Broad. Co., 133 F.3d 907 (2d Cir. 1997); United States v. Rogers, 101 F.3d 247, 251-52 (2d Cir. 1996); Rosenberg v. City of New York, 2020 WL 5868153, a t *1 (S.D.N.Y. Sept. 4, 2020); Mabry v. Hester, 2014 WL 1848739, at *1 n.1 (S.D.N.Y. May 8, 2014). Despite two recent extensions of his time within which to do so (Dkt. Nos. 26, 44), defendant Genovese failed to answer or otherwise respond to the Complaint on or before his most recent deadline, which was October 9, 2020. (Dkt. No. 44.) The entity defendants have never appeared orresponded to the Complaint through licensed counsel, as required. Plaintiff may (but is not required to) seek certificates of default pursuant to Local Civ. R. 55.1, without prejudice to its right to move for summary judgment on or before October 23, 2020. SO ORDERED.. (Signed by Magistrate Judge Barbara C. Moses on 10/19/2020) (rj)
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Filing
41
ORDER: Plaintiff may respond to defendant's letter no later than September 16, 2020. Chambers will mail a copy of this Order to defendant Nicholas Genovese. (As further set forth in this Order.) (Signed by Magistrate Judge Barbara C. Moses on 9/9/2020) Copies Will Be Mailed By Chambers. (cf)
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Filing
38
ORDER: The Court has received and reviewed plaintiff's letter-motion (Dkt. No. 37) proposing that, in lieu of a discovery schedule, the Court set a briefing schedule for its motion for summary judgment. Plaintiff points out that defendant G enovese was convicted in a parallel criminal case, and argues that collateral estoppel "flows from his criminal judgment to the claims in this case," making it ripe for summary judgment. Defendant Genovese may respond to plaintiff's letter no later than September 9, 2020. Defendants Willow Creek Investments, LP and Willow Creek Advisors, LLC may respond by the same date, through counsel, if by then they have appeared in this action through counsel. As this Court previously e xplained, Mr. Genovese "may represent himself but may not represent the entity defendants." (Dkt. No. 35.) Chambers will mail a copy of this Order to defendant Nicholas Genovese. SO ORDERED (Signed by Magistrate Judge Barbara C. Moses on 8/26/2020) ( Responses due by 9/9/2020) (ks)
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Filing
35
MEMO ENDORSEMENT on re: 32 Letter makong clear that he is representing Willow Creek Investments LP and Willow Creek Advisors LLC, and myself Pro Se., filed by Nicholas J. Genovese. ENDORSEMENT: The Complaint alleges that Willow Creek Investme nts LP is a Delaware limited partnership and that Willow Creek Advisors, LLC is a Delaware limited liability company. LPs and LLCs, even if wholly-owned, must appear in this Court through a licensed attorney. Lattanzio v. COMTA, 481 F.3d 137, 139-40 (2d Cir. 2007). Mr. Genovese, who is not an attorney, may represent himself but may not represent the entity defendants. The Court sua sponte extends the parties' deadline for filing their Rule 26(f) report to August 24, 2020. Mr. Genovese is a dvised that Rule 26(f) requires the parties to (a) jointly confer to develop a proposed discovery plan and (b) submit a joint written report outlining the plan. Mr. Genovese's letter at Dkt. No. 33, which the Court construes as an application for an order compelling the production of evidence in a certain form, is DENIED without prejudice to renewal after the Rule 26(f) report is submitted. SO ORDERED. (Signed by Magistrate Judge Barbara C. Moses on 7/22/20) (yv)
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Filing
31
ORDER REGARDING GENERAL PRETRIAL MANAGEMENT. The above-referenced action has been referred to Magistrate Judge Barbara Moses for general pretrial management, including scheduling, discovery, non-dispositive pretrial motions, and settlement, pursuant to 28 U.S.C. § 636(b)(1)(A). All pretrial motions and applications, including those related to scheduling and discovery (but excluding motions to dismiss or for judgment on the pleadings, for injunctive relief, for summary judgment, or for class certification under Fed. R. Civ. P. 23) must be made to Judge Moses and in compliance with this Court's Individual Practices in Civil Cases and Emergency Individual Practices in Civil Cases, which are attached to this Order and available on the Court's website at https://nysd.uscourts.gov/hon-barbara-moses. Parties and counsel are reminded that the deadline for submitting their Rule 26(f) report is July 24, 2020. (Dkt. No. 30.) The deadline for defendants to answer or otherwise respon d to the Complaint is October 2, 2020. (Dkt. No. 26.), and as further set forth in this Order. PLEASE BE AWARE THAT, FOR THE DURATION OF THE COVID-19 NATIONAL EMERGENCY, UNLESS OTHERWISE ORDERED BY THE COURT: Conferences and Hearings. All court confe rences and hearings will be conducted by teleconference. Please treat the teleconference as you would treat a public court appearance. If a conference or hearing in another matter is ongoing, please be silent (mute your line) until your case is calle d. Remote Depositions. Pursuant to Fed. R. Civ. P. 30(b)(3) and (b)(4), all depositions in this action may be taken via telephone, videoconference, or other remote means, and may be recorded by any reliable audio or audiovisual means. This Order does not dispense with the requirements set forth in Fed. R. Civ. P. 30(b)(5), including the requirement that, unless the parties stipulate otherwise, the deposition be "conducted before an officer appointed or designated under Rule 28," and th at the deponent be placed under oath by that officer. For avoidance of doubt, a deposition will be deemed to have been conducted "before" an officer so long as that officer attends the deposition via the same remote means (e.g., telephone c onference call or video conference) used to connect all other remote participants, and so long as all participants (including the officer) can clearly hear and be heard by all other participants. Chambers will mail a copy of this Order to defendant Genovese at the address provided in his recent correspondence: Nicholas J. Genovese #17079-104, Metropolitan Detention Center, P.O. Box 329002, Brooklyn, NY 11232-9002. So ordered. (Signed by Magistrate Judge Barbara C. Moses on 6/18/2020) (rjm)
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Filing
30
ORDER: The time to submit a Rule 26(f) report is extended to July 24, 2020. The case is referred to the Magistrate Judge for general pretrial matters. Chambers will mail a copy of this Order to the pro se party at: Nicholas Genovese. SO ORDERED. (Signed by Judge John G. Koeltl on 6/17/2020) (va)
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Filing
28
ORDER: The Court has received the attached letter from the defendant dated May 15, 2020, which the Court files. Chambers will mail a copy of this Order to the pro se party at: Nicholas Genovese #17079104 Metropolitan Detention Center P.O. Box 329002 Brooklyn, NY 11232-9002 SO ORDERED. (Signed by Judge John G. Koeltl on 6/2/2020) (ks)
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Filing
27
ORDER: The Court has received the attached motion for discovery pursuant to Federal Rule of Civil Procedure 26(f). Rule 26(f) requires the parties to consult with respect to the course of discovery in a case and to provide a report to the Court. It does not provide for a motion for discovery. The Federal Rules of Civil Procedure provide for other discovery devices. Therefore, the motion for discovery pursuant to Rule 26(f) is denied as moot. A discovery guide prepared by the pro se office for pro se litigants is attached to this Order. The defendant may also seek legal advice from the New York Legal Assistance Group (NYLAG) at 212 659-6190 for assistance. A flyer about contacting NYLAG is also attached to this Order. Chambers will mail a copy of this Order and attachments to the pro se party at: Nicholas Genovese #17079104 Metropolitan Detention Center P.O. Box 329002 Brooklyn, NY 11232-9002 SO ORDERED. (Signed by Judge John G. Koeltl on 5/27/2020) (ks)
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Filing
26
ORDER: The Court has received the attached letter from Mr. Genovese dated April 20, 2020, which indicates that a copy was sent to Mr. Vasilescu of the SEC. Mr. Genovese agrees that the stay should be lifted and the Court has done so. Mr. Genovese r equests an extension of time to answer the complaint for 6 months. That adjournment is somewhat lengthy to file an answer. The time to respond to the complaint is extended to Oct 2, 2020. Chambers will mail a copy of this Order to the pro se defendant. SO ORDERED. (Signed by Judge John G. Koeltl on 5/19/2020) Nicholas J. Genovese answer due 10/2/2020; Willow Creek Advisers, LLC answer due 10/2/2020; Willow Creek Investments, LP answer due 10/2/2020. (ks)
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