Securities and Exchange Commission v. Wealth Management LLC et al
| Securities and Exchange Commission |
| Wealth Management LLC, James Putman and Simone Fevola |
| 1:2009cv00506 |
| May 20, 2009 |
| US District Court for the Eastern District of Wisconsin |
| Green Bay Office |
| Outagamie |
| William C Griesbach |
| None |
| 15 U.S.C. ยง 78 m(a) Securities Exchange Act |
| None |
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Available Case Documents
The following documents for this case are available for you to view or download:
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Filing
527
ORDER Authorizing Allowance and Payment of Final Compensation and Final Reimbursement of Expenses to (I) Faye B. Feinstein, Receiver for Wealth Management, LLC and the Relief Defendants, and (II) Quarles & Brady, LLP as Counsel to the Receiver signed by Judge William C. Griesbach on 8/16/22. (cc:all counsel and mailed to pro se party)(Griesbach, William)
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Filing
521
ORDER granting 516 Ninth Interim and Final Application for Allowance and Payment of Compensation to, and for Reimbursement of Expenses of, Alan D. Lasko & Associates, PC, as Accountants to the Receiver signed by Judge William C. Griesbach on 6/1/22. (cc:all counsel and mailed to pro se party)(Griesbach, William) Modified text on 6/1/2022 (lh).
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Filing
505
ORDER AUTHORIZING ALLOWANCE AND PAYMENT of interim compensation and reimbursement of expense to (I) Faye. B. Feinstein, Receiver for Wealth Management, LLC and the Relief Defendants, and (II) Quarles & Brady, LLP, as counsel to the Receiver, for the period from June 1, 2020 through May 31, 2021 signed by Judge William C Griesbach on 8/19/2021. (cc:all counsel and mailed to pro se party)(Griesbach, William)
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Filing
499
ORDER AUTHORIZING Allowance and Payment of interim compensation and reimbursement of expenses to (I) Faye B. Feinstein, Receiver for Wealth Management LLC and the relief defendants, and (II) Quarles & Brady LLP, as counsel to the receiver, for the period from JUNE 1, 2019, through MAY 31, 2020 signed by Judge William C Griesbach on 8/7/2020. (cc: all counsel)(Griesbach, William)
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Filing
483
DECISION AND ORDER signed by Chief Judge William C Griesbach on 7/8/2019 Denying 470 Motion to Intervene and Denying as Moot 472 Motion to Disqualify Counsel. (cc: all counsel) (Griesbach, William)
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Filing
465
SCHEDULING ORDER re 464 Eleventh Interim Application (cc: all counsel)(Griesbach, William)
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Filing
408
ORDER denying 400 Motion for Reconsideration; denying 403 Motion to Vacate, signed by Judge William C Griesbach on 07/03/2012. See Order for full detail. (cc: all counsel by efile; Putman by U.S. Mail) (Griesbach, William)
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Filing
401
ORDER Setting Briefing Schedule on 400 Motion for Reconsideration; signed by Judge William C Griesbach on 05/23/2012. (cc: all counsel, via US mail to James Putman)(Griesbach, William)
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Filing
399
FINAL JUDGMENT entered in favor of United States Securities and Exchange Commission against Defendant James Putman. (cc: all counsel, via US mail to James Putman)(Griesbach, William)
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Filing
396
ORDER re 392 MOTION for Judgment Against Defendant James E. Putman. Counsel for the SEC shall advise the Court within the next 10 days why he failed to appear for the scheduled telephone hearing and to clarify the relief he is requesting. Signed by Judge William C Griesbach on 05/14/2012. (cc: all counsel, via US mail to James Putman)(Griesbach, William)
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Filing
391
ORDER granting 376 Motion for Summary Judgment, signed by Judge William C Griesbach on 04/24/2012. The SEC is entitled to judgment on all claims against Defendant Putman. Putman is further ENJOINED from committing future violations of the antifra ud provisions of the Advisers Act, Securities Act, and Exchange Act. Putman is further ordered to pay $1,530,129 to the SEC as disgorgement of ill-gotten gains and interest. He is further ordered to pay $130,000 as a civil penalty. See Decision and Order for full detail. (cc: all counsel) (Griesbach, William)
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Filing
388
ORDER denying 363 Motion for Summary Judgment; signed by Judge William C Griesbach on 03/14/2012. (cc: all counsel, via US mail to James Putman) (Griesbach, William)
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Filing
381
ORDER GRANTING 366 Application for Fees and Expenses Expenses of, Alan D. Lasko & Associates, P.C., Accountants to the Receiver for Wealth Management LLC and the WM Funds, for the Period from July 6, 2010 through June 30, 2011, filed by Faye Feinst ein, signed by Judge William C Griesbach on 09/26/2011. Interim compensation in the sum of $35,000.00; expenses in the sum of $61.10 Period; the Receiver is authorized to pay, on an interim basis, the Allowed Fees and Allowed Expenses to A DLPC from the assets of the Receiver Estate and to allocate the Allowed Fees and Allowed Expenses among Wealth Management, LLC, and the Relief Defendants as described in the Application; and entry of this Order is without prejudice to the right of ADLPC to seek additional compensation for any services rendered to, and reimbursement of any additional expenses incurred on behalf of, the Receiver Estate subsequent to the Subject Period. (cc: all counsel)(Griesbach, William)
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Filing
353
DECISION AND ORDER denying 315 Motion to Compel because this Court lacks personal jurisdiction over WHS and Aaron, signed by Judge William C. Griesbach on 02/15/2011. See Decision and Order for full detail. (cc: all counsel) (Griesbach, William)
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Filing
309
ORDER APPROVING SETTLEMENT BETWEEN RECEIVER AND HOUSTON CASUALTY INSURANCE COMPANY AND BARRING CERTAIN CLAIMS signed by Judge William C Griesbach on 9/15/2010. The Settlement Motion 283 is granted, the Fuss Objection is overruled, and the court's order 307 remains in effect. (cc: all counsel)(Griesbach, William)
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Filing
303
SCHEDULING ORDER REGARDING (I) THIRD INTERIM APPLICATION FOR ALLOWANCE AND PAYMENT OF FEES AND EXPENSES OF RECEIVER AND HER COUNSEL AND (II) FIRST INTERIM APPLICATION OF ALAN D. LASKO & ASSOCIATES, P.C., signed by Judge William C Griesbach on August 24, 2010. (cc: all counsel)(Griesbach, William)
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Filing
272
ORDER DENYING 258 Receiver's Motion for Reconsideration and DENYING 258 Motion for Emergency Stay of the Court's April 30, 2010 Order, signed by Judge William C. Griesbach on 05/13/2010. See Order for full detail. (cc: all counsel) (Griesbach, William)
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Filing
167
ORDER APPROVING 163 Proposed Second Amended Plan filed by Faye Feinstein, signed by Judge William C. Griesbach on 11-30-2009. See Order for full detail. (cc: all counsel)(Griesbach, William)
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Filing
162
ORDER LIFTING STAY OF ANCILLARY LITIGATION AGAINST DEFENDANT PUTMAN re 55 MOTION to Lift Stay filed by Community First Credit Union, signed by Judge William C. Griesbach on 11-20-2009. The Court previously addressed 55 on 9-09-09 and 10-08-09 but indicated that the stay ordered by the Court was not indefinite. The Court now orders the stay of ancillary litigation is lifted as to CFCU's claim against Putman based upon his personal guarantee of WM's indebtedness. See Order for full detail. (cc: all counsel)(Griesbach, William)
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Filing
150
ORDER GRANTING 108 Plaintiff's Motion to Dismiss Defendant Putman's Counterclaims; DENYING 120 Defendant Putman's Motion for Consideration, signed by Judge William C Griesbach on November 9, 2009. (cc: all counsel) (Griesbach, William)
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Filing
112
ORDER denying 55 Motion to Lift Stay, signed by Judge William C Griesbach on 10-07-2009. The stay ordered by the Court, however, is not indefinite. The Receiver should be prepared to advise the Court as to whether she intends to pursue claims agai nst Putman at the next hearing currently set for November 4, 2009. See Order for full detail. (Note: The Court previously entered an oral order on 9-09-09 granting 55 Motion to Intervene and 55 is terminated in its entirety.) (cc: all counsel) (Griesbach, William)
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Filing
42
ORDER EXTENDING STAY OF ANCILLARY LITIGATION. IT IS HEREBY ORDERED that the Temporary Order Granting Receiver's Motion to Stay Ancillary Litigation entered on June 16, 2009, is hereby extended, even as to the individually named defendants, pendi ng a hearing on September 9, 2009, at 1:30 p.m., at which time interested investors, creditors and other third parties will have further opportunity to oppose the Receiver's Motion to Stay, signed by Judge William C Griesbach on June 30, 2009. (cc: all counsel)(Griesbach, William)
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Filing
35
TEMPORARY ORDER GRANTING RECEIVER'S MOTION TO STAY ANCILLARY LITIGATION signed by Judge William C Griesbach on June 16, 2009. NOW,THEREFORE, IT IS HEREBY ORDERED, that the Receiver's motion for a stay is temporarily granted, and any and al l ancillary claims against the named Defendants, Relief Defendants, and/or WML Funds' insurer, Houston Casualty Company, or claims that are so related to the above captioned action that they form part of the same case or controversy under Articl e III of the United States Constitution, are hereby STAYED pending a hearing on June 26, 2009, at 10:30 a.m. IT IS FURTHER ORDERED that no later than June 22, 2009, any and all interested investors, creditors and other third parties wishing to be he ard at on June 26, 2009, will file with this Court and properly serve upon the parties a brief in opposition and supporting documentation. IT IS FURTHER ORDERED that the 32 Motion to Intervene by Respondent Tony P. Trimble Revocable Trust is granted, but only as to the Receiver's motion to stay ancillary litigation. (cc: all counsel) (Griesbach, William)
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Filing
17
PRELIMINARY INJUNCTION signed by Judge William C. Griesbach on 05-26-2009. See Preliminary Injunction for full detail. (cc: all counsel)(Griesbach, William)
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Filing
9
ORDER FREEZING ASSETS, signed by Judge William C Griesbach on 05-20-2009. See Order for full detail. (cc: all counsel)(Griesbach, William)
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