Securities and Exchange Commission v. Finger et al
| Securities and Exchange Commission |
| Richard A. Finger, Jr. and Black Diamond Securities, LLC |
| Attorney John J Tollefsen |
| 2:2011cv01479 |
| September 8, 2011 |
| US District Court for the Western District of Washington |
| Seattle Office |
| King |
| Richard A Jones |
| Securities/Commodities |
| 12 U.S.C. § 22 |
| None |
Docket Report
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This docket was last retrieved on March 1, 2013. A more recent docket listing may be available from PACER.
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Filing 33
ORDER granting govt's #31 Motion to disburse monies held in court registry by Judge Richard A Jones.(RS)cc fin'l
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| Noting Date Reset re #31 MOTION to Disburse Monies Held in the Registry of the Court to Restitution as orderd in the criminal action : Noting Date 2/22/2013. (CL) |
| Filing 32 DECLARATION of Dawn Fernandez filed by Plaintiff Securities and Exchange Commission re #31 MOTION to Disburse Monies Held in the Registry of the Court to Restitution as orderd in the criminal action (Attachments: #1 Exhibit No. 1)(Bartlett, Anastasia) |
| Filing 31 MOTION to Disburse Monies Held in the Registry of the Court to Restitution as orderd in the criminal action by Plaintiff Securities and Exchange Commission. (Attachments: #1 Proposed Order) Noting Date 2/8/2013, (Bartlett, Anastasia) |
| Filing 30 NOTICE of Appearance by attorney Anastasia D. Bartlett on behalf of Plaintiff Securities and Exchange Commission. (Bartlett, Anastasia) |
| Filing 29 FINAL JUDGMENT in favor of Plaintiff Securities and Exchange Commission against Defendants Black Diamond Securities, LLC, Richard A. Finger, Jr., by Judge Richard A Jones. (CL) |
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Filing 28
ORDER by Judge Richard A Jones. The court has received the consents of Defendants Richard A. Finger, Jr. and Black Diamond Securities, LLC to the entry of judgment against them. The court directs the clerk to enter judgment for Plaintiff in substantially the form to which the parties have agreed, and to TERMINATE this civil action.(CL)
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| Filing 27 PROPOSED ORDER (Unsigned) re #25 Offer of Judgment, #26 Offer of Judgment [Proposed] Final Judgment Against Defendants Richard A. Finger, Jr and Black Diamond Securities, LLC. (Mitchell, Robert) |
| Filing 26 CONSENT OF DFT RICHARD A. FINGER, JR., TO ENTRY FINAL OFFER OF JUDGMENT filed by Plaintiff Securities and Exchange Commission. (Mitchell, Robert) Modified text on 8/24/2012 (CL). |
| Filing 25 CONSENT OF DFT BLACK DIAMOND SECURITIES, LLC TO ENTRY OF FINAL OFFER OF JUDGMENT filed by Plaintiff Securities and Exchange Commission. (Mitchell, Robert) Modified text on 8/24/2012 (CL). |
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Filing 24
ORDER granting #23 Stipulated Motion by Judge Richard A Jones. (VE)
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| Filing 23 Third Stipulated MOTION And [Proposed] Interim Order Dissolving Asset Freeze for Sale of Residence by Defendants Black Diamond Securities, LLC, Richard A. Finger, Jr, Plaintiff Securities and Exchange Commission. Noting Date 7/27/2012, (Bukey, David) |
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Filing 22
ORDER granting #21 Stipulated Motion dissolving asset freeze by Judge Richard A Jones. (JJ)
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| Filing 21 Stipulated MOTION AND PROPOSED ORDER dissolving asset freeze by Defendant Richard A. Finger, Jr. Noting Date 6/22/2012, (Bukey, David) Modified text on 6/11/2012 (CL). |
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Filing 20
STIPULATED MOTION AND INTERIM ORDER DISSOLVING ASSET FREEZE AS TO CERTAIN BANK ACCOUNTS by Judge Richard A Jones.(TF)
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| Filing 19 Agreed MOTION and Proposed order re: Partial Dissolution of Asset Freeze by Defendant Richard A. Finger, Jr. Noting Date 6/1/2012, (Bukey, David) Modified text on 5/25/2012 (MD). |
| Filing 18 CORPORATE DISCLOSURE STATEMENT Filed pursuant to Fed.R.Civ.P 7.1.. (Bukey, David) |
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Filing 17
MINUTE ORDER SETTING TRIAL DATE AND RELATED DATES. Length of Trial: 5 days. BENCH TRIAL is set for 10/29/2012 at 9:00 AM in Courtroom 13106 before Judge Richard A. Jones. Joinder of Parties due by 12/16/2011, Amended Pleadings due by 5/2/2012, Expert Witness Disclosure/Reports under FRCP 26(a)(2) due by 5/2/2012, Discovery completed by 7/2/2012, Dispositive motions due by 7/31/2012, Settlement conference to be held by 8/30/2012, 39.1 mediation to be completed by 10/1/2012, Motions in Limine due by 10/1/2012, Pretrial Order due by 10/15/2012, Trial briefs, proposed Findings of Fact and Conclusions of Law and trial exhibits to be submitted by 10/22/2012, by Judge Richard A. Jones. (VE)
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| NOTICE -- Pursuant to Fed.R.Civ.P 7.1, Defendant Black Diamond Securities LLC must file a Corporate Disclosure Statement by 12/7/2011. (VE) |
| Filing 16 JOINT STATUS REPORT signed by all parties estimated Trial Days: 8.. (Mitchell, Robert) |
| Filing 15 REQUEST for Notice as Interested Party by Interested Party John J Tollefsen for Notice. (Tollefsen, John) |
| Filing 14 STIPULATION AND PROPOSED ORDER Authorizing Attorneys' Fees by parties. (Mitchell, Robert) |
| Filing 13 NOTICE of Unavailability of counsel David B Bukey for Defendants Black Diamond Securities, LLC, Richard A. Finger, Jr from 11/7/11 to 11/11/11. (Bukey, David) |
| Filing 12 WAIVER OF SERVICE of summons upon defendant Black Diamond Securities, LLC mailed on 9/19/2011 (Mitchell, Robert) |
| Filing 11 WAIVER OF SERVICE of summons upon defendant Richard A. Finger, Jr mailed on 9/19/2011 (Mitchell, Robert) |
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Filing 10
ORDER REGARDING INITIAL DISCLOSURES, JOINT STATUS REPORT AND EARLY SETTLEMENT. FRCP 26f Conference Deadline is 11/7/2011, Initial Disclosure Deadline is 11/14/2011, Joint Status Report due by 11/21/2011, by Judge Richard A. Jones. (VE)
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| Filing 9 NOTICE of Appearance by attorney David B Bukey on behalf of Defendants Black Diamond Securities, LLC, Richard A. Finger, Jr. (Bukey, David) |
| Filing 8 CERTIFICATE OF SERVICE by Plaintiff Securities and Exchange Commission re #7 Notice of Appearance. (Eme, Thomas) |
| Filing 7 NOTICE of Appearance by attorney Thomas Joseph Eme on behalf of Plaintiff Securities and Exchange Commission. (Eme, Thomas) |
| Filing 6 Letter from Key Bank re: asset freeze for Defendant Richard Finger. (CL) |
| Filing 5 CERTIFICATE OF SERVICE by Plaintiff Securities and Exchange Commission. (Mitchell, Robert) |
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Filing 4
PRELIMINARY INJUNCTION AND ASSET FREEZE ORDER, by Judge Richard A Jones.The court GRANTS #2 the parties' Stipulated Motion for Entry of Preliminary Injunction and Asset Freeze. (CL)
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| Filing 3 CERTIFICATE OF SERVICE by Plaintiff Securities and Exchange Commission re #1 Complaint, #2 Stipulated MOTION for Entry of Preliminary Injunction and Asset Freeze. (Mitchell, Robert) |
| Filing 2 Stipulated MOTION for Entry of Preliminary Injunction and Asset Freeze by Plaintiff Securities and Exchange Commission. (Attachments: #1 Exhibit Consent of Defendants to Entry of Preliminary Injunction and Asset Freeze, #2 Exhibit [Proposed] Preliminary Injunction and Asset Freeze) Noting Date 9/8/2011, (Mitchell, Robert) |
| Filing 1 COMPLAINT against defendant(s) All Defendants, filed by Securities and Exchange Commission. (Attachments: #1 Civil Cover Sheet, #2 Summons, #3 Summons)(Mitchell, Robert) (Fee Waived) |
| Summons(es) issued via U.S. Postal Service as to defendant(s) Black Diamond Securities, LLC, Richard A. Finger, Jr. (DJ) |
| Judge Richard A. Jones added. (DJ) |
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