Securities and Exchange Commission v. Morgan et al
Plaintiff: Securities and Exchange Commission
Defendant: Robert C. Morgan, Morgan Acquisitions LLC and Morgan Mezzanine Fund Manager LLC
Case Number: 1:2019cv00661
Filed: May 22, 2019
Court: US District Court for the Western District of New York
Presiding Judge: Elizabeth A Wolford
Nature of Suit: Securities/Commodities
Cause of Action: 12 U.S.C. § 22
Jury Demanded By: Plaintiff
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Docket Report

This docket was last retrieved on April 22, 2022. A more recent docket listing may be available from PACER.

Date Filed Document Text
July 18, 2019 Opinion or Order Filing 52 TEXT ORDER granting #51 Motion to Expedite and #50 Motion to Appoint Counsel. Without objection from the parties, the Court grants Receiver Robert Knuts' motion to (1) employ Sher Tremonte LLP as counsel for the Receiver and (2) extend the deadline to file an accounting for each of the Receivership Entities for an additional 21 days. The Receiver's employment of Sher Tremonte shall comport with the terms set forth in the Receiver's motion papers (namely, that Sher Tremonte shall receive compensation in accordance with the provisions of the Receivership Order and shall provide substantial discounts on the regular hourly rates charged for work performed on this matter). The deadline to file the accountings is extended to August 9, 2019. SO ORDERED. Signed by Hon. Elizabeth A. Wolford on 07/18/2019. (CDH).
July 18, 2019 Opinion or Order Filing 51 MOTION to Expedite by Robert Knuts. (Attachments: #1 Exhibit A - Receiver's Motion to Employ Counsel And Extend the Deadline to Submit Accountings, #2 Declaration of Amanda Ravich, #3 Proposed Order)(Ravich, Amanda)
July 17, 2019 Opinion or Order Filing 50 MOTION to Appoint Counsel Sher Tremonte LLP, MOTION for Extension of Time to File Accountings by Robert Knuts.(Ravich, Amanda)
July 15, 2019 Opinion or Order Filing 49 STIPULATION AND ORDER CLARIFYING DEFINITION OF MORGAN ACQUISITIONS LLC. Signed by Hon. Elizabeth A. Wolford on 7/15/2019. (KM)
July 15, 2019 Opinion or Order Filing 48 NOTICE of Appearance by Amanda B Ravich on behalf of Robert Knuts (Ravich, Amanda)
July 12, 2019 Opinion or Order Filing 47 Letter filed by Morgan Acquisitions LLC, Morgan Mezzanine Fund Manager LLC, Robert C. Morgan as to Morgan Acquisitions LLC, Morgan Mezzanine Fund Manager LLC, Robert C. Morgan re stipulation and proposed order for clarification. (Attachments: #1 Exhibit A - Stipulation and Proposed Order)(Cohen, Joel)
July 2, 2019 Opinion or Order Filing 46 TEXT ORDER re #45 Letter. Having reviewed the parties' stipulation and proposed scheduling order, the Court hereby extends the deadline for Defendants to file an answer or motion until September 6, 2019. SO ORDERED. Signed by Hon. Elizabeth A. Wolford on 07/02/2019. (PFC)
July 1, 2019 Opinion or Order Filing 45 Letter filed by Morgan Acquisitions LLC, Morgan Mezzanine Fund Manager LLC, Robert C. Morgan as to Morgan Acquisitions LLC, Morgan Mezzanine Fund Manager LLC, Robert C. Morgan re stipulation and proposed order extending time to move or answer. (Attachments: #1 Exhibit A - Stipulation and Proposed Order)(Cohen, Joel)
June 27, 2019 Opinion or Order Filing 44 NOTICE OF FILING OF OFFICIAL TRANSCRIPT of Proceedings held on 6/14/2019, before Judge Elizabeth A. Wolford. Court Reporter/Transcriber Karen J. Bush, Contact Info 585-613-4312. 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 7/18/2019. Redacted Transcript Deadline set for 7/29/2019. Release of Transcript Restriction set for 9/25/2019. (NRE)
June 26, 2019 Opinion or Order Filing 43 WAIVER OF SERVICE Returned Executed by Securities and Exchange Commission. Morgan Acquisitions LLC waiver sent on 6/10/2019, answer due 8/9/2019. (Greenwood, Lee)
June 26, 2019 Opinion or Order Filing 42 WAIVER OF SERVICE Returned Executed by Securities and Exchange Commission. Morgan Mezzanine Fund Manager LLC waiver sent on 6/10/2019, answer due 8/9/2019. (Greenwood, Lee)
June 26, 2019 Opinion or Order Filing 41 WAIVER OF SERVICE Returned Executed by Securities and Exchange Commission. Robert C. Morgan waiver sent on 5/28/2019, answer due 7/29/2019. (Greenwood, Lee)
June 24, 2019 Opinion or Order Filing 40 Letter filed by Securities and Exchange Commission as to Morgan Acquisitions LLC, Morgan Mezzanine Fund Manager LLC, Robert C. Morgan . (Greenwood, Lee)
June 19, 2019 Opinion or Order Filing 39 ORDER Appointing Robert Knuts, Esq., as Receiver. Signed by Hon. Elizabeth A. Wolford on 06/19/2019. (CDH)
June 14, 2019 Opinion or Order Filing 38 Minute Entry for proceedings held before Hon. Elizabeth A. Wolford: Appearances by telephone: Lee Attix Greenwood, Esq. and Neal Ralph Jacobson, Esq. on behalf of plaintiff; Joel M. Cohen, Esq. and Caitlin S. Walgamuth, Esq. on behalf of defendant Morgan. Telephone Status Conference held on 6/14/2019 with regard to filing at Docket #32 . Court addresses issue of representation of co-defendants, Notice(s) of Appearance to be filed. Proposed Receiver discussed, parties to provide additional information. Proposed Order(s) with exhibits to be provided to the Court. (Court Reporter Karen Bush.) (DPS)
June 14, 2019 Opinion or Order Filing 37 NOTICE of Appearance by Caitlin S Walgamuth on behalf of Morgan Acquisitions LLC, Morgan Mezzanine Fund Manager LLC (Walgamuth, Caitlin)
June 14, 2019 Opinion or Order Filing 36 NOTICE of Appearance by Lee Gordon Dunst on behalf of Morgan Acquisitions LLC, Morgan Mezzanine Fund Manager LLC (Dunst, Lee)
June 14, 2019 Opinion or Order Filing 35 NOTICE of Appearance by Joel M. Cohen on behalf of Morgan Acquisitions LLC, Morgan Mezzanine Fund Manager LLC (Cohen, Joel)
June 14, 2019 Opinion or Order Filing 34 PRELIMINARY INJUNCTION ON CONSENT (Please Note: This docket text may not contain the entire contents of the attached Order. It is your responsibility to read the attached Order and download it for future reference.) PI Motion scheduled for June 28, 2019, is adjourned. SO ORDERED. Signed by Hon. Elizabeth A. Wolford on 6/14/2019. (NRE)
June 14, 2019 Opinion or Order Filing 33 TEXT ORDER. Telephone Conference set for 6/14/2019 at 11:00 AM in US Courthouse, 100 State Street, Rochester NY 14614 before Hon. Elizabeth A. Wolford. Call-in instructions will be provided. Signed by Hon. Elizabeth A. Wolford on 6/14/2019. (DPS)
June 13, 2019 Opinion or Order Filing 32 Letter filed by Securities and Exchange Commission as to Morgan Acquisitions LLC, Morgan Mezzanine Fund Manager LLC, Robert C. Morgan . (Attachments: #1 Exhibit A - Proposed Preliminary Injunction on Consent, #2 Exhibit B - Proposed Order Appointing Receiver)(Greenwood, Lee)
June 12, 2019 Opinion or Order Filing 31 Letter filed by Robert C. Morgan as to Morgan Acquisitions LLC, Morgan Mezzanine Fund Manager LLC, Robert C. Morgan pursuant to the Court's Temporary Restraining Order (Dkt. 26) regarding proposed receivers. (Attachments: #1 Exhibit A - Goldin Associates CVs)(Cohen, Joel)
June 12, 2019 Opinion or Order Filing 30 TEXT ORDER re #26 Temporary Restraining Order. The Court has reviewed the Letter filed by the Securities and Exchange Commission #28 and confirmed that counsel for Robert C. Morgan is in agreement with the request contained therein. Accordingly, the Court hereby clarifies that the "Anti-Litigation Injunction" contained in the Temporary Restraining Order (see Dkt. 26 at 2, first full paragraph of page 2, fourth decretal paragraph of the full Order) does not and shall not be interpreted to prevent arms-length sales of assets that are owned by Affiliate Borrowers to bona fide purchasers. Accordingly, the Anti-Litigation Injunction is hereby amended to include the following sentence: "Nothing in this paragraph shall be interpreted to prevent arms-length sales of assets that are owned by Affiliate Borrowers to bona fide purchasers." SO ORDERED. Signed by Hon. Elizabeth A. Wolford on 06/12/2019. (CDH)
June 12, 2019 Opinion or Order Filing 29 Letter filed by Securities and Exchange Commission as to Morgan Acquisitions LLC, Morgan Mezzanine Fund Manager LLC, Robert C. Morgan Submitting Receiver Candidate Proposals. (Attachments: #1 Exhibit Receiver Proposal, #2 Exhibit Receiver Proposal, #3 Exhibit Receiver Proposal)(Jacobson, Neal)
June 11, 2019 Opinion or Order Filing 28 Letter filed by Securities and Exchange Commission as to Morgan Acquisitions LLC, Morgan Mezzanine Fund Manager LLC, Robert C. Morgan . (Greenwood, Lee)
June 6, 2019 Opinion or Order Filing 27 NOTICE OF FILING OF OFFICIAL TRANSCRIPT of Proceedings held on 6/5/2019, before Judge Elizabeth A. Wolford. Court Reporter/Transcriber Karen J. Bush, Contact Info 585-613-4312. 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 6/27/2019. Redacted Transcript Deadline set for 7/8/2019. Release of Transcript Restriction set for 9/4/2019. (NRE)
June 6, 2019 Opinion or Order CALENDAR EVENT: Set/Reset Hearings: Preliminary Injunction Hearing set for 6/28/2019 at 9:30 AM before Hon. Elizabeth A. Wolford. (DPS)
June 5, 2019 Opinion or Order Filing 26 TEMPORARY RESTRAINING ORDER. Signed by Hon. Elizabeth A. Wolford on 06/05/2019. (CDH)
June 5, 2019 Opinion or Order Filing 25 DECISION AND ORDER granting in part and denying in part #4 Motion for a Temporary Restraining Order. Signed by Hon. Elizabeth A. Wolford on 06/05/2019. (CDH)
June 5, 2019 Opinion or Order Filing 24 Minute Entry for proceedings held before Hon. Elizabeth A. Wolford: Appearances: Pltf: Lee Greenwood, Neal Jacobson, with Kerri Palen; Dft: Joel Cohen, Esq., Caitlin Walgamuth, Esq. Lee Dunst, Esq. Oral Argument held on 6/5/2019 re: Plaintiff's application for TRO. Outline of court's decision entered into the record; written decision to be filed. (Court Reporter Karen Bush.) (SDW)
June 4, 2019 Opinion or Order Filing 23 MOTION for Hearing - Letter Request for hearing on the issue of property forfeiture by Robert C. Morgan. (Attachments: #1 Enclosure - Letter to J. Cohen from D. Penrose re forfeiture of property issue, #2 Enclosure - Response to D. Penrose from J. Cohen re forfeiture of property issue)(Cohen, Joel)
June 4, 2019 Opinion or Order Filing 22 NOTICE of Appearance by Lee Gordon Dunst on behalf of Robert C. Morgan (Dunst, Lee)
June 3, 2019 Opinion or Order Filing 21 REPLY to Response to Motion re #4 MOTION for Temporary Restraining Order filed by Securities and Exchange Commission. (Jacobson, Neal)
June 3, 2019 Opinion or Order Filing 20 TEXT ORDER granting #19 Motion to Expedite and #18 Motion for Leave to File Reply Memorandum of Law. Plaintiff's request for leave to file a reply memorandum of law is granted. Plaintiff shall file its reply memorandum by June 4, 2019. The Court did not set a deadline for the filing of reply papers when it issued a schedule for Plaintiff's motion for a temporary restraining order because Plaintiff's notice of motion did not indicate, in accordance with Local Rule of Civil Procedure 7(a)(1), that Plaintiff intended to file and serve reply papers. Going forward, Plaintiff should be familiar with and adhere to the Court's Local Rules. SO ORDERED. Signed by Hon. Elizabeth A. Wolford on 06/03/2019. (CDH)
June 3, 2019 Opinion or Order Filing 19 MOTION to Expedite by Securities and Exchange Commission. (Attachments: #1 Exhibit A - Motion for Leave to File Reply Memorandum of Law, #2 Proposed Order)(Jacobson, Neal)
June 3, 2019 Opinion or Order Filing 18 MOTION for Leave to File Reply Memorandum of Law by Securities and Exchange Commission. (Attachments: #1 Exhibit A - Proposed Reply Brief, #2 Proposed Order)(Jacobson, Neal)
June 1, 2019 Opinion or Order Filing 17 DECLARATION signed by JOEL M. COHEN re #4 MOTION for Temporary Restraining Order filed by Robert C. Morgan - Declaration in Opposition filed by Robert C. Morgan. (Attachments: #1 Exhibit 1 - Article, #2 Exhibit 2 - Article, #3 Exhibit 3 - Article, #4 Exhibit 4 - Order, #5 Exhibit 5 - Transcript, #6 Exhibit 6 - Press Release, #7 Exhibit 7 - Docket Entry)(Cohen, Joel)
May 31, 2019 Opinion or Order Filing 16 MEMORANDUM in Opposition re #4 MOTION for Temporary Restraining Order filed by Robert C. Morgan. (Cohen, Joel)
May 31, 2019 Opinion or Order Filing 15 NOTICE of Appearance by Caitlin S Walgamuth on behalf of Robert C. Morgan (Walgamuth, Caitlin)
May 31, 2019 Opinion or Order Filing 14 NOTICE of Appearance by Joel M. Cohen on behalf of Robert C. Morgan (Cohen, Joel)
May 28, 2019 Opinion or Order Filing 13 NOTICE OF FILING OF OFFICIAL TRANSCRIPT of Proceedings held on 5/22/2019, before Judge Elizabeth A. Wolford. Court Reporter/Transcriber Karen J. Bush, Contact Info 585-613-4312. 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 6/18/2019. Redacted Transcript Deadline set for 6/28/2019. Release of Transcript Restriction set for 8/26/2019. (NRE)
May 23, 2019 Opinion or Order Filing 12 CERTIFICATE OF SERVICE by Securities and Exchange Commission re 10 Text Order,,, Terminate Motions,,, Set Hearings,, (Greenwood, Lee)
May 22, 2019 Opinion or Order Filing 11 Minute Entry for proceedings held before Hon. Elizabeth A. Wolford: Appearances: Pltf-Lee Greenwood, Esq., Neal Jacobson, Esq. with Kerri Palen; Deft via telephone-Joel Cohen, Esq., Lee Dunst, Esq., Alan Bozer, Esq. Status Conference held on 5/22/2019. Motion to expedite granted in part. Order setting schedule for pending motions to be filed. (Court Reporter Karen Bush.) (SDW)
May 22, 2019 Opinion or Order Filing 10 TEXT ORDER granting #7 Motion to Expedite. For the reasons set forth on the record at the conference held on May 22, 2019, the Court grants Plaintiff's motion to expedite consideration of its pending motion for a temporary restraining order. Defendants shall file papers in opposition to the request for a temporary restraining order by no later than May 31, 2019. Oral argument is set for Wednesday, June 5, 2019, at 3:00 p.m. at the United States Courthouse, 2 Niagara Square, Buffalo, New York. Plaintiff is directed to serve a copy of this Text Order on Joel Cohen, Esq. of Gibson Dunn by email no later than May 23, 2019. SO ORDERED. Signed by Hon. Elizabeth A. Wolford on 05/22/2019. (CDH)
May 22, 2019 Opinion or Order Filing 9 TEXT ORDER re #7 Motion to Expedite. A conference to discuss scheduling in this matter is set for May 22, 2019, at 4:45 p.m. at the United States Courthouse, 2 Niagara Square, Buffalo, New York. Defense counsel is granted permission to appear telephonically and call-in instructions will be provided. SO ORDERED. Signed by Hon. Elizabeth A. Wolford on 05/22/2019. (CDH)
May 22, 2019 Opinion or Order Filing 8 CERTIFICATE OF SERVICE by Securities and Exchange Commission re #6 Declaration, #4 MOTION for Temporary Restraining Order , #1 Complaint, #7 MOTION to Expedite , #5 Declaration,,, (Jacobson, Neal)
May 22, 2019 Opinion or Order Filing 7 MOTION to Expedite by Securities and Exchange Commission. (Attachments: #1 Declaration of Neal Jacobson, #2 Proposed Order Granting Expedited Hearing, #3 Motion for Temporary Restraining Order)(Jacobson, Neal)
May 22, 2019 Opinion or Order Filing 6 DECLARATION signed by Kerri L. Palen re #4 MOTION for Temporary Restraining Order filed by Securities and Exchange Commission . (Attachments: #1 Exhibit 1, #2 Exhibit 2, #3 Exhibit 3, #4 Exhibit 4, #5 Exhibit 5, #6 Exhibit 6)(Jacobson, Neal)
May 22, 2019 Opinion or Order Filing 5 DECLARATION signed by Lee A. Greenwood re #4 MOTION for Temporary Restraining Order filed by Securities and Exchange Commission . (Attachments: #1 Exhibit 1, #2 Exhibit 2, #3 Exhibit 3, #4 Exhibit 4, #5 Exhibit 5, #6 Exhibit 6, #7 Exhibit 7, #8 Exhibit 8, #9 Exhibit 9, #10 Exhibit 10, #11 Exhibit 11, #12 Exhibit 12, #13 Exhibit 13, #14 Exhibit 14, #15 Exhibit 15, #16 Exhibit 16, #17 Exhibit 17, #18 Exhibit 18, #19 Exhibit 19, #20 Exhibit 20, #21 Exhibit 21, #22 Exhibit 22, #23 Exhibit 23, #24 Exhibit 24, #25 Exhibit 25, #26 Exhibit 26, #27 Exhibit 27, #28 Exhibit 28, #29 Exhibit 29, #30 Exhibit 30, #31 Exhibit 31, #32 Exhibit 32, #33 Exhibit 33, #34 Exhibit 34, #35 Exhibit 35, #36 Exhibit 36, #37 Exhibit 37, #38 Exhibit 38, #39 Exhibit 39, #40 Exhibit 40, #41 Exhibit 41)(Jacobson, Neal)
May 22, 2019 Opinion or Order Filing 4 MOTION for Temporary Restraining Order by Securities and Exchange Commission. (Attachments: #1 Memorandum in Support, #2 Proposed Temporary Restraining Order, #3 Proposed Order Appointing Receiver)(Jacobson, Neal)
May 22, 2019 Opinion or Order Filing 3 NOTICE of Appearance by Lee Attix Greenwood on behalf of Securities and Exchange Commission (Greenwood, Lee)
May 22, 2019 Opinion or Order Filing 2 NOTICE of Appearance by Neal Ralph Jacobson on behalf of Securities and Exchange Commission (Jacobson, Neal)
May 22, 2019 Opinion or Order Filing 1 COMPLAINT against Robert C. Morgan, Morgan Acquisitions LLC, Morgan Mezzanine Fund Manager LLC, filed by Securities and Exchange Commission. (Attachments: #1 Civil Cover Sheet, #2 Summons - Robert C. Morgan, #3 Summons - Morgan Mezzanine Fund Manager LLC, #4 Summons - Morgan Acquisitions LLC)(Michael, Daniel)
May 22, 2019 Opinion or Order Case Assigned to Hon. Elizabeth A. Wolford. Notification to Chambers of on-line civil case opening. (NRE)
May 22, 2019 Opinion or Order Notice of Availability of Magistrate Judge: A United States Magistrate of this Court is available to conduct all proceedings in this civil action in accordance with 28 U.S.C. 636c and FRCP 73. The Notice, Consent, and Reference of a Civil Action to a Magistrate Judge form (AO-85) is available for download at http://www.uscourts.gov/services-forms/forms. (NRE)

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Defendant: Robert C. Morgan
Represented By: Lee Gordon Dunst
Represented By: Caitlin S Walgamuth
Represented By: Joel M. Cohen
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Defendant: Morgan Acquisitions LLC
Represented By: Caitlin S Walgamuth
Represented By: Lee Gordon Dunst
Represented By: Joel M. Cohen
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Defendant: Morgan Mezzanine Fund Manager LLC
Represented By: Caitlin S Walgamuth
Represented By: Lee Gordon Dunst
Represented By: Joel M. Cohen
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Plaintiff: Securities and Exchange Commission
Represented By: Daniel Michael
Represented By: Lee Attix Greenwood
Represented By: Neal Ralph Jacobson
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