Securities And Exchange Commission v. Nall et al
Plaintiff: Securities And Exchange Commission
Defendant: Walter Vice Tutt, James Wallace Nall, III, Michael Hale Smith, Robert Walter Smith and Michael Dwaine Smith
Case Number: 2:2019cv00702
Filed: September 23, 2019
Court: US District Court for the Southern District of Alabama
Nature of Suit: Securities/Commodities
Jury Demanded By: None
Docket Report

This docket was last retrieved on November 21, 2019. A more recent docket listing may be available from PACER.

Date Filed Document Text
November 21, 2019 Filing 20 RESPONSE in Support re #16 MOTION to Transfer filed by James Wallace Nall, III. (McCormick, Gregg)
November 14, 2019 REFERRAL OF #19 Response in Opposition to Motion to Transfer Venue to Judge Moorer. (tot)
November 14, 2019 Filing 19 RESPONSE in Opposition re #16 MOTION to Transfer SEC's Response in Opposition to Defendant Nall's Motion to Transfer Venue filed by Securities And Exchange Commission. (Attachments: #1 Declaration of Yolanda Jackson) (Sullivan, Edward)
October 28, 2019 Opinion or Order Filing 18 Order re: #16 MOTION to Transfer filed by James Wallace Nall, III Plaintiff's response to motion due by 11/14/2019. Defendant's reply due by 11/21/2019. Motion to be taken under submission on 11/22/2019. Signed by District Judge Terry F. Moorer on 10/28/2019. (srd)
October 28, 2019 MOTIONS REFERRED: #16 MOTION to Transfer Venue to NDAL Referred to Judge Terry F. Moorer. (mab)
October 24, 2019 Filing 17 Memorandum in Support re #16 MOTION to Transfer filed by James Wallace Nall, III. (McCormick, Gregg)
October 24, 2019 Filing 16 MOTION to Transfer filed by James Wallace Nall, III. (McCormick, Gregg)
October 24, 2019 Filing 15 NOTICE of Appearance by John M. White on behalf of James Wallace Nall, III (White, John)
October 24, 2019 Filing 14 NOTICE of Appearance by Augusta Dowd on behalf of James Wallace Nall, III (Dowd, Augusta)
October 23, 2019 Filing 13 ANSWER to #1 Complaint, with Jury Demand by James Wallace Nall, III. (McCormick, Gregg)
October 3, 2019 Filing 12 FINAL JUDGMENT as to Michael Dwaine Smith, Dft Smith is restrained & enjoined from violating, directly or indirectly, Section 10(b) of the Securities Exchange Act of 1934 as set out. Dft Smith is liable for disgorgement of $139,774.17, together w/prejudgment interest in the amount of $19,920.55, & a civil penalty in the amount of $139,774.17 as set out. Dft shall satisfy this obligation by paying $299,468.55 to the SEC within 30 days after entry of this Final Judgment as set out. Signed by District Judge Terry F. Moorer on 10/3/19. (tot)
October 3, 2019 Filing 11 FINAL JUDGMENT as to Michael Hale Smith, Dft Smith is restrained & enjoined from violating, directly or indirectly, Section 10(b) of the Securities Exchange Act of 1934 as set out. Dft Smith is liable for disgorgement of $220,625.84, together w/prejudgment interest in the amount of $31,443.51, & a civil penalty in the amount of $220,625.84 as set out. Dft shall satisfy this obligation by paying $472,695.19 to the SEC within 30 days after entry of this Final Judgment as set out. Signed by District Judge Terry F. Moorer on 10/3/19. (tot)
October 3, 2019 Filing 10 FINAL JUDGMENT as to Robert Walter Smith, Dft Smith is restrained & enjoined from violating, directly or indirectly, Section 10(b) of the Securities Exchange Act of 1934 as set out. Dft Smith is liable for disgorgement of $32,733.98, together w/prejudgment interest in the amount of $4,665.25, & a civil penalty in the amount of $32,733.98 as set out. Dft shall satisfy this obligation by paying $70,133.21 to the SEC within 30 days after entry of this Final Judgment as set out. Signed by District Judge Terry F. Moorer on 10/3/19. (tot) Modified on 10/3/2019 (tot).
October 3, 2019 Filing 9 JUDGMENT as to Walter Vice Tutt, Dft Tutt is restrained & enjoined from violating, directly or indirectly, Section 10(b) of the Securities Exchange Act of 1934 as set out. Dft Tutt is liable for disgorgement of $43,955.32, together w/prejudgment interest in the amount of $6,264.50, & a civil penalty in the amount of $43,955.32 as set out. Dft shall satisfy this obligation by paying $94,175.14 to the SEC within 30 days after entry of this Final Judgment as set out. Signed by District Judge Terry F. Moorer on 10/3/19. (tot)
October 2, 2019 Answer due from James Wallace Nall, III, pursuant to FRCP 12(a). (tot)
October 2, 2019 Filing 8 AFFIDAVIT of Service for Summons and Complaint SEC's Notice of Filing of Affidavit of Service served on James Wallace Nall, III on 10/2/2019, filed by Securities And Exchange Commission. (Sullivan, Edward)
October 1, 2019 REFERRAL OF #7 Status Report to Judge Moorer. (tot)
October 1, 2019 REFERRAL OF #2 Notice of Consent of Dft Michael Hale Smith, #3 Notice of Consent of Michael Dwaine Smith, #4 Notice of Consent of Dft Robert Walter Smith, #5 Notice of Consent of Walter Vice Tutt to Judge Moorer. (tot)
October 1, 2019 Filing 7 STATUS REPORT SEC's First Status Report by Securities And Exchange Commission. (Sullivan, Edward)
September 24, 2019 Filing 6 Summons Issued as to James Wallace Nall, III, Michael Hale Smith, Michael Dwaine Smith, Robert Walter Smith, Walter Vice Tutt. (NOTE TO COUNSEL: The Summons have been issued. Please print copies necessary for service.) (tot)
September 23, 2019 Filing 5 NOTICE by Securities And Exchange Commission Consent of Defendant Walter Vice Tutt to Entry of Final Judgment (Attachments: #1 Final Judgment As to Defendant Walter Vice Tutt) (Sullivan, Edward)
September 23, 2019 Filing 4 NOTICE by Securities And Exchange Commission Consent of Robert Walter Smith to Entry of Final Judgment (Attachments: #1 Final Judgment As to Defendant Robert Walter Smith) (Sullivan, Edward)
September 23, 2019 Filing 3 NOTICE by Securities And Exchange Commission Consent of Defendant Michael Dwaine Smith to Entry of Final Judgment (Attachments: #1 Final Judgment As To Defendant Michael Dwaine Smith) (Sullivan, Edward)
September 23, 2019 Filing 2 NOTICE by Securities And Exchange Commission Consent of Defendant Michael Hale Smith to Entry of Final Judgment (Attachments: #1 Final Judgment As To Defendant Michael Hale Smith) (Sullivan, Edward)
September 23, 2019 Filing 1 COMPLAINT for Injunctive and Other Relief against All Defendants filed by Securities And Exchange Commission. (Attachments: #1 Civil Cover Sheet, #2 Summons to Defendant James Wallace Nall, III, #3 Summons to Defendant Michael Hale Smith, #4 Summons to Defendant Michael Dwaine Smith, #5 Summons to Defendant Robert Walter Smith, #6 Summons to Defendant Walter Vice Tutt) (Sullivan, Edward) (Additional attachment(s) added on 9/24/2019: #7 Civil Cover Sheet) (tot).

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Defendant: Walter Vice Tutt
Represented By: William Martin Espy
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Defendant: James Wallace Nall, III
Represented By: Gregg Mitchel McCormick
Represented By: A. Inge Seldon
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Defendant: Michael Hale Smith
Represented By: William Martin Espy
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Defendant: Robert Walter Smith
Represented By: William Martin Espy
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Defendant: Michael Dwaine Smith
Represented By: William Martin Espy
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Plaintiff: Securities And Exchange Commission
Represented By: John G. Westrick
Represented By: Robert K. Gordon
Represented By: Edward G. Sullivan
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