Securities and Exchange Commission v. Applied BioSciences Corp.
| Securities and Exchange Commission |
| Applied BioSciences Corp. |
| 1:2020cv03729 |
| May 14, 2020 |
| US District Court for the Southern District of New York |
| Jesse M Furman |
| Securities/Commodities |
| Plaintiff |
Docket Report
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This docket was last retrieved on December 3, 2020. A more recent docket listing may be available from PACER.
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Filing 23
FINAL JUDGMENT AS TO DEFENDANT APPLIED BIOSCIENCES CORP. 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 10b-5 promulgated thereunder [17 C.F.R. 240.10b-5], by using any means or instrumentality of interstate commerce, or of the mails, or of any facility of any national securities exchange, connection with the purchase or sale of any security: (a) to employ any device, scheme, or artifice to defraud; (b) to make any untrue statement of a material fact or to omit to state a material fact necessary in order to make the statements made, in the light of the circumstances under which they were made, not misleading; or (c) to engage in any act, practice, or course of business which operates or would operate as a fraud or deceit upon any person. IT IS FURTHER ORDERED, ADJUDGED, AND DECREED that Defendant shall pay a civil penalty in the amount of $25,000 to the Securities and Exchange Commission pursuant to Exchange Act Section 21(d)(3) [15 U.S.C. 78u(d)(3)]. Defendant shall make this payment within 30 days after entry of this Final Judgment. IT IS FURTHER ORDERED, ADJUDGED, AND DECREED that this Court shall retain jurisdiction of this matter for the purposes of enforcing the terms of this Final Judgment., (Applied BioSciences Corp. terminated.) (Signed by Judge Jesse M. Furman on 12/3/20) (yv)
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| Filing 22 PROPOSED JUDGMENT. Document filed by Securities and Exchange Commission. (Attachments: #1 Consent to Judgment).(Bliss, Dugan) Proposed Judgment to be reviewed by Clerk's Office staff. |
| Filing 21 JOINT LETTER addressed to Judge Jesse M. Furman from Dugan Bliss dated December 3, 2020 re: Request to Approve Settlement. Document filed by Securities and Exchange Commission..(Bliss, Dugan) |
| ***NOTICE TO COURT REGARDING PROPOSED JUDGMENT. Document No. #22 Proposed Judgment was reviewed and approved as to form. (km) |
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Filing 20
ORDER OF DISMISSAL... It is ORDERED that the above-entitled action be and is hereby DISMISSED and discontinued without costs, and without prejudice to the right to reopen the action within sixty days of the date of this Order if the settlement is not consummated. To be clear, any application to reopen be filed by the aforementioned deadline; any application to reopen filed thereafter may be denied solely on that basis. Further, requests to extend the deadline to reopen are unlikely to be granted. If the parties wish for the Court to retain jurisdiction for the purposes of enforcing any settlement agreement, they submit the settlement agreement to the Court by the deadline to reopen to be "so ordered" by the Court. Per Paragraph 4(B) of the Court's Individual Rules and Practices for Civil Cases, unless the Court orders otherwise, the Court will not retain jurisdiction to enforce a settlement agreement unless it is made part of the public record. Any pending motions are moot. All conferences are canceled. The Clerk of Court is directed to terminate ECF No. 19 and to close the case. SO ORDERED. (Signed by Judge Jesse M. Furman on 10/26/20) (yv)
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| Filing 19 JOINT LETTER MOTION to Continue All Deadlines Pending Submission of Proposed Settlement addressed to Judge Jesse M. Furman from Dugan Bliss and Thomas Puzzo dated October 23, 2020. Document filed by Securities and Exchange Commission..(Bliss, Dugan) |
| Filing 18 JOINT LETTER addressed to Judge Jesse M. Furman from Dugan Bliss dated September 30, 2020 re: Status Letter re Settlement Discussions. Document filed by Securities and Exchange Commission..(Bliss, Dugan) |
| Filing 17 ANSWER to Complaint. Document filed by Applied BioSciences Corp...(Puzzo, Thomas) |
| Filing 16 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent SBS Family Trust, Other Affiliate John Robert Brady for Applied BioSciences Corp.. Document filed by Applied BioSciences Corp...(Puzzo, Thomas) |
| Filing 15 NOTICE OF APPEARANCE by Thomas Puzzo on behalf of Applied BioSciences Corp...(Puzzo, Thomas) |
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Filing 14
ORDER granting #13 Motion for Thomas E. Puzzo to Appear Pro Hac Vice (HEREBY ORDERED by Judge Jesse M. Furman)(Text Only Order) (Furman, Jesse)
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| >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #13 MOTION for Thomas E. Puzzo 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. (vba) |
| Filing 13 MOTION for Thomas E. Puzzo to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Applied BioSciences Corp.. (Attachments: #1 Text of Proposed Order Order (Proposed)).(Puzzo, Thomas) |
| >>>NOTICE REGARDING DEFICIENT MOTION TO APPEAR PRO HAC VICE. Notice to RE-FILE Document No. #12 MOTION for Thomas E. Puzzo to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-20766240. 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 WASHINGTON - Clerks Office PO Box 40929 Olympia, WA 98504 - 360-357-2078. Re-file the motion as a 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. (aea) |
| Filing 12 FILING ERROR - DEFICIENT DOCKET ENTRY - MOTION for Thomas E. Puzzo to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-20766240. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Applied BioSciences Corp...(Puzzo, Thomas) Modified on 7/22/2020 (aea). |
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Filing 11
CIVIL CASE MANAGEMENT PLAN AND SCHEDULING ORDER: 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). The parties have conferred pursuant to Fed. R. Civ. P. 26(f). Settlement discussions have taken place. All counsel must meet in person for at least one hour to discuss settlement within fourteen (14) days following the close of fact discovery. This case is to be tried to a jury. Counsel for the parties have conferred, and the present best estimate of the length of trial is one week. The parties shall file a joint letter by September 30, 2020 indicating whether they would like the Court to refer the case to the assigned Magistrate Judge and/or the Court mediation program for settlement purposes and, if so, approximately when they believe a settlement conference should be held. The initial conference scheduled for July 2, 2020, is CANCELED. Motions due by 8/3/2020. Deposition due by 12/14/2020. Fact Discovery due by 10/30/2020. Expert Discovery due by 12/14/2020. Pretrial Conference set for 11/12/2020 at 03:00 PM in Courtroom 1105, 40 Centre Street, New York, NY 10007 before Judge Jesse M. Furman. (And as further set forth herein.) SO ORDERED. (Signed by Judge Jesse M. Furman on 6/26/2020) (jca)
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| Filing 10 NOTICE OF APPEARANCE by Kristine Mary Zaleskas on behalf of Securities and Exchange Commission..(Zaleskas, Kristine) |
| Filing 9 JOINT LETTER addressed to Judge Jesse M. Furman from Dugan Bliss and Thomas Puzzo dated June 25, 2020 re: Joint Letter and Proposed Case Management Plan. Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit Proposed Case Management Plan).(Bliss, Dugan) |
| Filing 8 WAIVER OF SERVICE RETURNED EXECUTED. Applied BioSciences Corp. waiver sent on 5/14/2020, answer due 7/13/2020. Document filed by Securities and Exchange Commission..(Bliss, Dugan) |
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Filing 7
ORDER. In light of the COVID-19 situation, the Court will not hold the upcoming conference in this case in person. Counsel should submit their proposed case management plan and joint letter by the Thursday prior to the conference, as directed in the Court's earlier Scheduling Order. In their joint letter, the parties should also indicate whether they can do without a conference altogether. If so, the Court may enter a case management plan and scheduling order and the parties need not appear. If not, the Court will hold the initial conference by telephone, albeit perhaps at a different time. To that end, counsel should indicate in their joint letter dates and times during the week of the conference that they would be available for a telephone conference.In either case, counsel should review and comply with the Court's Emergency Individual Rules and Practices in Light of COVID-19, available at https://nysd.uscourts.gov/hon-jesse-m-furman. SO ORDERED. (Signed by Judge Jesse M. Furman on 6/22/20) (yv)
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Filing 6
NOTICE OF INITIAL PRETRIAL CONFERENCE: It is hereby ORDERED that counsel for all parties appear for an initial pretrial conference with the Court on July 2, 2020, at 3:15 p.m. in Courtroom 1105 of the Thurgood Marshall Courthouse, 40 Centre Street, New York, New York. All counsel are required to register promptly as filing users on ECF and to familiarize themselves with the SDNY ECF Rules & Instructions, which are available at https://www.nysd.uscourts.gov/electronic-case-filing. All counsel must also familiarize themselves with the Court's Individual Rules, which are available at https://www.nysd.uscourts.gov/hon-jesse-m-furman. Absent leave of Court obtained by letter-motion filed before the conference, all pretrial conferences must be attended by the attorney who will serve as principal trial counsel. In accordance with Paragraph 2.B of the Court's Individual Rules and Practices, the parties are hereby ORDERED to file on ECF a joint letter, described below, as well as a proposed Civil Case Management Plan and Scheduling Order attached as an exhibit to the joint letter, no later than Thursday of the week prior to the initial pretrial conference. The parties shall use this Courts form Proposed Civil Case Management Plan and Scheduling Order, which is also available at https://www.nysd.uscourts.gov/hon-jesse-m-furman. Any open legal issues can be addressed at the conference.The joint letter shall not exceed five (5) pages, and shall provide the following information in separate paragraphs as further set forth in this Order. Counsel who have entered a notice of appearance as of the issuance of this order are directed (1) to notify counsel for all other parties in this action who have not yet appeared by serving upon each of them a copy of this order and the Court's Individual Rules and Practices forthwith, and (2) to file proof of such notice with the Court. If unaware of the identity of counsel for any of the parties, counsel receiving this order must forthwith send a copy of this order and the Court's Individual Rules and Practices to that party personally. SO ORDERED. ( Initial Conference set for 7/2/2020 at 03:15 PM in Courtroom 1105, 40 Centre Street, New York, NY 10007 before Judge Jesse M. Furman.) (Signed by Judge Jesse M. Furman on 5/15/20) (yv)
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| Filing 5 ELECTRONIC SUMMONS ISSUED as to Applied BioSciences Corp...(jgo) |
| CASE OPENING INITIAL ASSIGNMENT NOTICE: The above-entitled action is assigned to Judge Jesse M. Furman. Please download and review the Individual Practices of the assigned District Judge, located at #https://nysd.uscourts.gov/judges/district-judges. 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 #https://nysd.uscourts.gov/rules/ecf-related-instructions..(jgo) |
| Magistrate Judge Stewart D. Aaron is so designated. Pursuant to 28 U.S.C. Section 636(c) and Fed. R. Civ. P. 73(b)(1) parties are notified that they may consent to proceed before a United States Magistrate Judge. Parties who wish to consent may access the necessary form at the following link: #https://nysd.uscourts.gov/sites/default/files/2018-06/AO-3.pdf. (jgo) |
| Case Designated ECF. (jgo) |
| Filing 4 NOTICE OF APPEARANCE by Dugan William Edward Bliss on behalf of Securities and Exchange Commission..(Bliss, Dugan) |
| Filing 3 REQUEST FOR ISSUANCE OF SUMMONS as to Applied BioSciences Corp., re: #1 Complaint. Document filed by Securities and Exchange Commission..(Berger, Marc) |
| Filing 2 CIVIL COVER SHEET filed..(Berger, Marc) |
| Filing 1 COMPLAINT against Applied BioSciences Corp.. Document filed by Securities and Exchange Commission..(Berger, Marc) |
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