Securities And Exchange Commission v. Nall et al
| Securities And Exchange Commission |
| Walter Vice Tutt, James Wallace Nall, III, Michael Hale Smith, Robert Walter Smith and Michael Dwaine Smith |
| 2:2019cv00702 |
| September 23, 2019 |
| US District Court for the Southern District of Alabama |
| William E Cassady |
| Terry F Moorer |
| Securities/Commodities |
| Defendant |
Docket Report
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This docket was last retrieved on September 16, 2021. A more recent docket listing may be available from PACER.
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Filing 20
RESPONSE in Support re #16 MOTION to Transfer filed by James Wallace Nall, III. (McCormick, Gregg)
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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)
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REFERRAL OF #19 Response in Opposition to Motion to Transfer Venue to Judge Moorer. (tot)
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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)
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MOTIONS REFERRED: #16 MOTION to Transfer Venue to NDAL Referred to Judge Terry F. Moorer. (mab)
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Filing 17
Memorandum in Support re #16 MOTION to Transfer filed by James Wallace Nall, III. (McCormick, Gregg)
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Filing 16
MOTION to Transfer filed by James Wallace Nall, III. (McCormick, Gregg)
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Filing 15
NOTICE of Appearance by John M. White on behalf of James Wallace Nall, III (White, John)
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Filing 14
NOTICE of Appearance by Augusta Dowd on behalf of James Wallace Nall, III (Dowd, Augusta)
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Filing 13
ANSWER to #1 Complaint, with Jury Demand by James Wallace Nall, III. (McCormick, Gregg)
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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)
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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)
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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).
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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)
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Answer due from James Wallace Nall, III, pursuant to FRCP 12(a). (tot)
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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)
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Filing 7
STATUS REPORT SEC's First Status Report by Securities And Exchange Commission. (Sullivan, Edward)
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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)
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REFERRAL OF #7 Status Report to Judge Moorer. (tot)
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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)
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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)
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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)
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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)
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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)
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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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