Securities and Exchange Commission v. Invest Better 2001, et al
| Securities and Exchange Commission |
| Cole A Bartiromo, Jane Does, Invest Better 2001 and John Does |
| Citibank N.A. and Robinhood Financial, LLC |
| 2:2018cv02829 |
| April 5, 2018 |
| US District Court for the Central District of California |
| Fernando M Olguin |
| Michael R Wilner |
| Securities/Commodities |
| 15 U.S.C. § 77 |
| None |
Docket Report
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Filing 133
ORDER #127 by Judge Fernando M. Olguin. *See Order for details.* (Made JS-6. Case Terminated.) (iv)
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| Filing 132 NOTICE OF NON-OPPOSITION for Order #125 filed by Plaintiff Securities and Exchange Commission. (Weinstock, Judith) |
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Filing 131
MINUTES (IN CHAMBERS) ORDER RE: BRIEFING SCHEDULE by Judge Fernando M. Olguin. Defendant may file an Opposition to plaintiff's Memorandum no later than June 20, 2018. Plaintiff may file a Reply Memorandum no later than June 27, 2018. (iv)
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Filing 130
NOTICE OF DISCREPANCY AND ORDER: by Judge Fernando M. Olguin, ORDERING Motion to Return Property or Reduce Civil Penalty; Letter submitted by Defendant Cole A Bartiromo received on 6/6/2018 is not to be filed but instead rejected. Denial based on: Local Rule 6-1, Local Rule 11-3.8, Local Rule 83-2.5, Fed R. Civ. P 5. (iv)
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| Filing 129 TEXT ONLY ENTRY by Chambers of Judge Fernando M. Olguin. On the court's own motion, the 6/7/2018 Status Conference is taken off calendar pending further order of the court. No appearances are required on 6/7/2018. THERE IS NO PDF DOCUMENT ASSOCIATED WITH THIS ENTRY. (vdr) TEXT ONLY ENTRY |
| Filing 128 SUPPLEMENT to Declaration, #126 filed by Plaintiff Securities and Exchange Commission. (Attachments: #1 Exhibit 21)(Goody, Elizabeth) |
| Filing 127 NOTICE OF LODGING filed by Plaintiff Securities and Exchange Commission re [PROPOSED] Order re Memorandum of Points and Authorities in Opposition, #125 , Declaration, #126 (Attachments: #1 [PROPOSED] Order)(Goody, Elizabeth) |
| Filing 126 DECLARATION of Elizabeth Reilly Goody re Memorandum of Points and Authorities in Opposition, #125 (1) Opposing Defendant Bartiromo's Request to Modify Debt (2) Opposing His Claims of Exemption and (3) Requesting disposition of Frozen Assets filed by Plaintiff Securities and Exchange Commission. (Attachments: #1 Exhibits 1 through 20)(Goody, Elizabeth) |
| Filing 125 MEMORANDUM of Points and Authorities in Opposition filed by Plaintiff Securities and Exchange Commission (1) Opposing Defendant Bartiromo's Request to Modify Debt (2) Opposing His Claims of Exemption and (3) Requesting Disposition of Frozen Assets (Goody, Elizabeth) Modified on 6/11/2018 (vdr). |
| Filing 124 PROOF OF SERVICE filed by Plaintiff Securities and Exchange Commission, re Status Report #120 served on May 10, 2018. (Goody, Elizabeth) |
| Filing 123 NOTICE OF ERRATA filed by Plaintiff Securities and Exchange Commission. correcting Status Report #120 (Attachments: #1 Exhibit)(Goody, Elizabeth) |
| Filing 122 TEXT ONLY ENTRY by Chambers of Judge Fernando M. Olguin. The Status Conference in this matter is reset to 6/7/2018 at 10:00 AM before Judge Fernando M. Olguin. THERE IS NO PDF DOCUMENT ASSOCIATED WITH THIS ENTRY. (vdr) TEXT ONLY ENTRY |
| Filing 121 DECLARATION of Elizabeth Reilly Goody re Status Report #120 and Request for Continuance filed by Plaintiff Securities and Exchange Commission. (Attachments: #1 Exhibit A)(Goody, Elizabeth) |
| Filing 120 STATUS REPORT and Request for Continuance filed by Plaintiff Securities and Exchange Commission. (Goody, Elizabeth) |
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Filing 119
ORDER ON APPLICATION OF NON-RESIDENT ATTORNEY TO APPEAR IN A SPECIFIC CASE PRO HAC VICE by Judge Fernando M. Olguin: GRANTING #118 Non-Resident Attorney Maureen P. King APPLICATION to Appear Pro Hac Vice on behalf of Plaintiff US Securities and Exchange Commission, designating Lynn M. Dean as local counsel. (lt)
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| Filing 118 APPLICATION of Non-Resident Attorney Maureen Peyton King to Appear Pro Hac Vice on behalf of Plaintiff Securities and Exchange Commission (Pro Hac Vice Fee - Not Required for US Government Attorney) filed by Plaintiff Securities and Exchange Commission. (Attachments: #1 Proposed Order) (Dean, Lynn) |
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Filing 117
ORDER ON APPLICATION OF NON-RESIDENT ATTORNEY TO APPEAR IN A SPECIFIC CASE PRO HAC VICE by Judge Fernando M. Olguin: granting #113 Non-Resident Attorney Judith A Weinstock APPLICATION to Appear Pro Hac Vice on behalf of Securities and Exchange Commission, designating Lynn M Dean as local counsel. (lom)
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| Filing 116 TEXT ONLY ENTRY by Chambers of Judge Fernando M. Olguin. Based on a review of this case, the court deems a Status Conference necessary and sets one for 5/17/2018 at 10:00 AM before Judge Fernando M. Olguin. All lead counsel must be present at the hearing.THERE IS NO PDF DOCUMENT ASSOCIATED WITH THIS ENTRY. (vdr) TEXT ONLY ENTRY |
| Filing 115 TEXT ONLY ENTRY by Chambers of Judge Fernando M. Olguin. This matter has been assigned to District Judge Fernando M. Olguin. The Court refers counsel to the Court's Initial Standing Order found on the Court's Website under Judge Olguin's Procedures and Schedules. Please read this Order carefully.THERE IS NO PDF DOCUMENT ASSOCIATED WITH THIS ENTRY. (vdr) TEXT ONLY ENTRY |
| Filing 113 APPLICATION of Non-Resident Attorney Judith A. Weinstock to Appear Pro Hac Vice on behalf of Plaintiff Securities and Exchange Commission (Pro Hac Vice Fee - Not Required for US Government Attorney) filed by Plaintiff Securities and Exchange Commission. (Attachments: #1 Proposed Order) (Dean, Lynn) |
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Filing 112
ORDER ON APPLICATION OF NON-RESIDENT ATTORNEY TO APPEAR IN A SPECIFIC CASE PRO HAC VICE by Judge Fernando M. Olguin: GRANTING #110 Non-Resident Attorney Elizabeth R. Goody APPLICATION to Appear Pro Hac Vice on behalf of Plaintiff SEC, designating Lynn M. Dean as local counsel. (lt)
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| Filing 111 RESPONSE filed by Pro Hac Vice attorney Judith A Weinstock on behalf of Plaintiff Securities and Exchange Commission. RE: Notice of Filing Fee Due. PHV fee N/A. Currently awaiting GSC and once received will immediately file PHV application. (lt) |
| Filing 110 APPLICATION of Non-Resident Attorney Elizabeth R. Goody to Appear Pro Hac Vice on behalf of Plaintiff Securities and Exchange Commission (Pro Hac Vice Fee - Not Required for US Government Attorney) filed by Plaintiff Securities and Exchange Commission. (Attachments: #1 Proposed Order) (Attorney Lynn M Dean added to party Securities and Exchange Commission(pty:pla)) (Dean, Lynn) |
| Filing 109 RESPONSE filed by Pro Hac Vice attorney Daniel Walter Levy on behalf of Defendant Cole A Bartiromo. RE: Notice of Filing Fee Due. PHV fee N/A. Attorney will not be appearing as attorney of record on this case and will be removed pursuant to G109 Notice. (lt) |
| Filing 108 NOTICE OF PRO HAC VICE APPLICATION DUE for Non-Resident Attorney Craig Laurence Dashiell. A document recently filed in this case lists you as an out-of-state attorney of record. However, the Court has not been able to locate any record that you are admitted to the Bar of this Court, and you have not filed an application to appear Pro Hac Vice in this case. Accordingly, within 5 business days of the date of this notice, you must either (1) have your local counsel file an application to appear Pro Hac Vice (Form G-64) and pay the applicable fee, or (2) complete the next section of this form and return it to the court at cacd_attyadm@cacd.uscourts.gov. (lh) |
| Filing 107 NOTICE OF PRO HAC VICE APPLICATION DUE for Non-Resident Attorney Gavin J. Rooney. A document recently filed in this case lists you as an out-of-state attorney of record. However, the Court has not been able to locate any record that you are admitted to the Bar of this Court, and you have not filed an application to appear Pro Hac Vice in this case. Accordingly, within 5 business days of the date of this notice, you must either (1) have your local counsel file an application to appear Pro Hac Vice (Form G-64) and pay the applicable fee, or (2) complete the next section of this form and return it to the court at cacd_attyadm@cacd.uscourts.gov. (lh) |
| Filing 106 NOTICE OF PRO HAC VICE APPLICATION DUE for Non-Resident Attorney Daniel Walter Levy. A document recently filed in this case lists you as an out-of-state attorney of record. However, the Court has not been able to locate any record that you are admitted to the Bar of this Court, and you have not filed an application to appear Pro Hac Vice in this case. Accordingly, within 5 business days of the date of this notice, you must either (1) have your local counsel file an application to appear Pro Hac Vice (Form G-64) and pay the applicable fee, or (2) complete the next section of this form and return it to the court at cacd_attyadm@cacd.uscourts.gov. (lh) |
| Filing 105 NOTICE OF PRO HAC VICE APPLICATION DUE for Non-Resident Attorney Adrian J. Sawyer. A document recently filed in this case lists you as an out-of-state attorney of record. However, the Court has not been able to locate any record that you are admitted to the Bar of this Court, and you have not filed an application to appear Pro Hac Vice in this case. Accordingly, within 5 business days of the date of this notice, you must either (1) have your local counsel file an application to appear Pro Hac Vice (Form G-64) and pay the applicable fee, or (2) complete the next section of this form and return it to the court at cacd_attyadm@cacd.uscourts.gov. (lh) |
| Filing 104 NOTICE OF PRO HAC VICE APPLICATION DUE for Non-Resident Attorney Judith Ann Weinstock. A document recently filed in this case lists you as an out-of-state attorney of record. However, the Court has not been able to locate any record that you are admitted to the Bar of this Court, and you have not filed an application to appear Pro Hac Vice in this case. Accordingly, within 5 business days of the date of this notice, you must either (1) have your local counsel file an application to appear Pro Hac Vice (Form G-64) and pay the applicable fee, or (2) complete the next section of this form and return it to the court at cacd_attyadm@cacd.uscourts.gov. (lh) |
| Filing 103 NOTICE OF PRO HAC VICE APPLICATION DUE for Non-Resident Attorney Elizabeth Reilly Goody. A document recently filed in this case lists you as an out-of-state attorney of record. However, the Court has not been able to locate any record that you are admitted to the Bar of this Court, and you have not filed an application to appear Pro Hac Vice in this case. Accordingly, within 5 business days of the date of this notice, you must either (1) have your local counsel file an application to appear Pro Hac Vice (Form G-64) and pay the applicable fee, or (2) complete the next section of this form and return it to the court at cacd_attyadm@cacd.uscourts.gov. (lh) |
| Filing 102 NOTICE OF PRO HAC VICE APPLICATION DUE for Non-Resident Attorney Alexander Mircea Vasilescu. A document recently filed in this case lists you as an out-of-state attorney of record. However, the Court has not been able to locate any record that you are admitted to the Bar of this Court, and you have not filed an application to appear Pro Hac Vice in this case. Accordingly, within 5 business days of the date of this notice, you must either (1) have your local counsel file an application to appear Pro Hac Vice (Form G-64) and pay the applicable fee, or (2) complete the next section of this form and return it to the court at cacd_attyadm@cacd.uscourts.gov. (lh) |
| Filing 99 ORIGINAL file, certified copy of transfer order and docket sheet received from New York Southern |
| Filing 101 NOTICE TO PARTIES OF COURT-DIRECTED ADR PROGRAM filed. (lh) |
| Filing 100 NOTICE OF ASSIGNMENT to District Judge Fernando M. Olguin and Magistrate Judge Michael R. Wilner. (lh) |
| CASE TRANSFERRED OUT ELECTRONICALLY from the U.S.D.C. Southern District of New York to the United States District Court - District of Central District of California, except for documents numbered 1-6, 8-47, 49-55, 57 which were sent via UPS Tracking Number 1Z E22 E53 22 1001 686 8 and 1Z E22 E53 22 1001 687 7 on 4/5/2018. (jwh) (jwh) [Transferred from New York Southern on 4/6/2018.] |
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Filing 98
ORDER re: #94 Memo Endorsement: Pursuant to the Court's Order dated March 8, 2018 [dkt. no 94] this action shall be transferred to the United States District Court Central District of California, which is the district where Defendant resides. (Signed by Judge Loretta A. Preska on 3/27/2018) (jwh) [Transferred from New York Southern on 4/6/2018.]
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| Transmission to Docket Assistant Clerk. Transmitted re: #98 Order to the Docket Assistant Clerk for case processing. (jwh) [Transferred from New York Southern on 4/6/2018.] |
| Filing 97 ANSWER to Writ of Garnishment . Document filed by Robinhood Financial, LLC. (Rooney, Gavin) [Transferred from New York Southern on 4/6/2018.] |
| Filing 96 ANSWER to Writ of Garnishment. Document filed by Citibank, N.A. (tn) [Transferred from New York Southern on 4/6/2018.] |
| Transmission to Docket Assistant Clerk. Transmitted re: #94 Memo Endorsement to the Docket Assistant Clerk for case processing. (jwh) [Transferred from New York Southern on 4/6/2018.] |
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Filing 94
MEMO ENDORSEMENT on re: #93 Letter filed by Cole A. Bartiromo. ENDORSEMENT: SO ORDERED. (Signed by Judge Loretta A. Preska on 3/8/2018) (jwh) Modified on 3/19/2018 (jwh). [Transferred from New York Southern on 4/6/2018.]
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| Filing 95 LETTER from Cole Bartiromo, dated 2/27/18 re: REQUEST FOR HEARING TO RETURN PROPERTY/ OBJECTION TO WRIT OF GARNISHMENT(SECOND REQUEST). Document filed by Cole A. Bartiromo.(sc) [Transferred from New York Southern on 4/6/2018.] |
| Filing 93 LETTER from Cole Bartiromo dated 1/24/18 re: REQUEST FOR HEARING TO RETURN PROPERTY/ OBJECTION TO WRIT OF GARNISHMENT. Document filed by Cole A. Bartiromo.(sc) [Transferred from New York Southern on 4/6/2018.] |
| Filing 92 ANSWER to Writ of Garnishment. Document filed by Citibank, N.A.. (ad) [Transferred from New York Southern on 4/6/2018.] |
| Filing 91 ANSWER to Writ of Garnishment by Radius Bank. Document filed by Securities and Exchange Commission. (Goody, Elizabeth) [Transferred from New York Southern on 4/6/2018.] |
| Filing 90 ANSWER to Writ of Garnishment by Compass Bank. Document filed by Securities and Exchange Commission. (Goody, Elizabeth) [Transferred from New York Southern on 4/6/2018.] |
| Filing 89 ANSWER to Writ of Garnishment by Citibank, N.A.. Document filed by Securities and Exchange Commission. (Goody, Elizabeth) [Transferred from New York Southern on 4/6/2018.] |
| Filing 88 REDACTION to Exhibit 1, Answer to Writ of Garnishment by Robinhood Financial, LLC(Rooney, Gavin) [Transferred from New York Southern on 4/6/2018.] |
| Filing 87 NOTICE OF APPEARANCE by Craig Laurence Dashiell on behalf of Robinhood Financial, LLC. (Dashiell, Craig) [Transferred from New York Southern on 4/6/2018.] |
| Filing 86 ANSWER to Writ of Garnishment . Document filed by Robinhood Financial, LLC. (Attachments: #1 Exhibit Defendant's Exemption Claim Form)(Rooney, Gavin) [Transferred from New York Southern on 4/6/2018.] |
| Filing 85 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent Robinhood Markets, Inc. for Robinhood Financial, LLC. Document filed by Robinhood Financial, LLC.(Rooney, Gavin) [Transferred from New York Southern on 4/6/2018.] |
| Filing 84 NOTICE OF APPEARANCE by Gavin J. Rooney on behalf of Robinhood Financial, LLC. (Rooney, Gavin) [Transferred from New York Southern on 4/6/2018.] |
| Filing 83 CERTIFICATE OF SERVICE of Application for Post-Judgment Continuing Writ of Garnishment, the executed Post-Judgment Continuing Writ of Garnishment, with attachments, and the Clerks Notice of Post-Judgment Continuing Writ of Garnishment served on Cole A. Bartiromo, BBVA Compass, Citibank, N.A., Radius Bank, and Robinhood Financial LLC on January 9, 2018. Service was made by Mail. Document filed by Securities and Exchange Commission. (Goody, Elizabeth) [Transferred from New York Southern on 4/6/2018.] |
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Filing 82
POST-JUDGMENT CONTINUING WRIT OF GARNISHMENT: Writ of Garnishment Issued against Cole A. Bartiromo on 12/15/2017. Pending further order of this Court, the Garnishees are hereby directed to withhold and retain any property in its possession, custody or control in which Defendant has an interest at the time this Writ is served or in which the Defendant may obtain an interest in the future, including Defendant's nonexempt disposable earnings. If a Garnishee fails to withhold property in accordance with this Writ, the Garnishee may be held in contempt by the Court or the Court may enter judgment against the Garnishee for the value of Defendant's nonexempt interest in such property, plus a reasonable attorney's fee to the Commission. See 28 U.S.C. 3003(c)(8) and 3205(c)(6). Within 10 days of receiving a copy of this Writ, the Garnishee shall file with the Court Clerk a written answer as required by 28 U.S.C. 3205(c)(4), and the Garnishee will forward payments to the Office of Financial Management, U.S. Securities and Exchange Commission, Enterprise Services Center, Accounts Receivable Branch, 6500 South MacArthur Boulevard, Oklahoma City, OK 73169, with the notation that the payment is on behalf of Cole A. Bartiromo, SEC Case No. NY-06955-B, until Defendant's debt is paid in full or the Garnishee no longer has custody or control of any property belonging to Defendant. The following exhibits are attached to this Writ: Exhibit A: notices and instructions to Garnishee; Exhibit B: a sample answer to be used by Garnishee; Exhibit C: notices and instructions to Defendant; and Exhibit D: a sample claim for exemption and request for hearing to be used by Defendant. Civil Money Penalty Total $1,194,373.15. Residual Disgorgement Total $63,603.25, and as further set forth in this order. (Signed by Judge Loretta A. Preska on 12/15/2017) (ap) Modified on 1/8/2018 (ap). [Transferred from New York Southern on 4/6/2018.]
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Filing 81
ENDORSED LETTER addressed to Judge Loretta A. Preska from Elizabeth Reilly Goody dated 12/21/2017 re: I respectfully request that the Court seal the documents filed under docket entries 69-71, and as further set forth in this letter. ENDORSEMENT: So ordered. (Signed by Judge Loretta A. Preska on 12/21/2017) (rjm) [Transferred from New York Southern on 4/6/2018.]
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| Filing 80 NOTICE OF APPEARANCE by Judith Ann Weinstock on behalf of Securities and Exchange Commission. (Weinstock, Judith) [Transferred from New York Southern on 4/6/2018.] |
| Transmission to Sealed Records Clerk. Transmitted re: #81 Endorsed Letter to the Sealed Records Clerk for the sealing or unsealing of document or case. (rjm) [Transferred from New York Southern on 4/6/2018.] |
| Filing 79 NOTICE of Restraining Notice, Exemption Notice, Exemption Claim Form, Certificate of Service as to Robinhood Financial LLC. Document filed by Securities and Exchange Commission. (Goody, Elizabeth) [Transferred from New York Southern on 4/6/2018.] |
| Filing 78 NOTICE of Restraining Notice, Exemption Notice, Exemption Claim Form, Certificate of Service as to Radius Bank. Document filed by Securities and Exchange Commission. (Goody, Elizabeth) [Transferred from New York Southern on 4/6/2018.] |
| Filing 77 NOTICE of Restraining Notice, Exemption Notice, Exemption Claim Form, Certificate of Service as to Robinhood Financial LLC. Document filed by Securities and Exchange Commission. (Goody, Elizabeth) [Transferred from New York Southern on 4/6/2018.] |
| Filing 76 NOTICE of Restraining Notice, Exemption Notice, Exemption Claim Form, Certificate of Service as to BBVA Compass. Document filed by Securities and Exchange Commission. (Goody, Elizabeth) [Transferred from New York Southern on 4/6/2018.] |
| Filing 75 NOTICE of Restraining Notice, Exemption Notice, Exemption Claim Form, Certificate of Service as to Citibank N.A.. Document filed by Securities and Exchange Commission. (Goody, Elizabeth) [Transferred from New York Southern on 4/6/2018.] |
| Filing 74 NOTICE OF APPEARANCE by Elizabeth Reilly Goody on behalf of Securities and Exchange Commission. (Goody, Elizabeth) [Transferred from New York Southern on 4/6/2018.] |
| Filing 73 CERTIFICATE OF SERVICE of Copies of Restraining Notices, Exemption Notices, Exemption Claim Forms served on Cole A. Bartiromo on December 18, 2017. Service was made by Mail. Document filed by Securities and Exchange Commission. (Goody, Elizabeth) [Transferred from New York Southern on 4/6/2018.] |
| Filing 72 CERTIFICATE OF SERVICE of Restraining Notice, Exemption Notice, Exemption Claim Form served on Robinhood Financial LLC on December 14, 2017. Service was made by Mail. Document filed by Securities and Exchange Commission. (Goody, Elizabeth) [Transferred from New York Southern on 4/6/2018.] |
| Filing 71 CERTIFICATE OF SERVICE of Restraining Notice, Exemption Notice, Exemption Claim Form served on Radius Bank on December 18, 2017. Service was made by Mail. Document filed by Securities and Exchange Commission. (Goody, Elizabeth) [Transferred from New York Southern on 4/6/2018.] |
| Filing 70 CERTIFICATE OF SERVICE of Restraining Notice, Exemption Notice, Exemption Claim Form served on BBVA Compass on December 18, 2017. Service was made by Mail. Document filed by Securities and Exchange Commission. (Goody, Elizabeth) [Transferred from New York Southern on 4/6/2018.] |
| Filing 69 CERTIFICATE OF SERVICE of Restraining Notice, Exemption Notice, Exemption Claim Form served on Citibank N.A. on December 18, 2017. Service was made by Mail. Document filed by Securities and Exchange Commission. (Goody, Elizabeth) [Transferred from New York Southern on 4/6/2018.] |
| Filing 68 LETTER addressed to Judge Loretta A. Preska from Elizabeth Goody dated April 1, 2015 re: SEC v. Invest Better 2001 et al., 01 Civ. 11427 (S.D.N.Y.)(LAP). Document filed by Securities and Exchange Commission.(Goody, Elizabeth) [Transferred from New York Southern on 4/6/2018.] |
| Filing 67 STATUS REPORT. Distribution Agent's Final Report and Notice of Compliance with February 7, 2013 Order Document filed by Securities and Exchange Commission.(Goody, Elizabeth) [Transferred from New York Southern on 4/6/2018.] |
| CASHIERS OFFICE REGISTRY DISBURSEMENT as per #66 Order on Motion for Disbursement of Funds, Order on Motion to Amend/Correct,, Order on Motion for Miscellaneous Relief,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,, dated 02/06/2013, from Judge Loretta A. Preska, on 02/15/2013 disbursed to pay MR. WEISER & CO., LLP $9,300.00 Check No. 00971140 dated 02/15/2013 FEDEX# 8003 1837 3841 (jd) [Transferred from New York Southern on 4/6/2018.] |
| CASHIERS OFFICE REGISTRY DISBURSEMENT as per #66 Order on Motion for Disbursement of Funds, Order on Motion to Amend/Correct,, Order on Motion for Miscellaneous Relief,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,, dated 02/06/2013, from Judge Loretta A. Preska, on 02/15/2013 disbursed to pay S.E.C. $772,009.21 Check No. 00971133 dated 02/15/2013 FEDEX# 8003 1837 3830 (jd) [Transferred from New York Southern on 4/6/2018.] |
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Filing 66
MEMORANDUM AND ORDER. For the reasons provided in this Memorandum and Order, this Court hereby grants the Commissioner's motion to transfer funds. Defendant's motion to transfer is hereby DENIED. Defendant's motion to amend is also hereby DENIED. According, this Court orders the following: 1) The Clerk of the Court is ordered to issue a check for payment of tax obligations and the distribution agents fees on CRIS account 1:01-cv-11427(BSJ) in the amount of $9,300.00 payable to "M.R. Weiser & Co. LLP" with the notation "SEC v. Invest Better 2001, et al., 01 Civ. 11427(BSJ), professional services and tax obligations" to be sent to M.R. Weiser & Co. LLP, c/o Peter Nussbaum, 135 West 50th Street, New York, New York 10020. 2) The Distribution Agent, Peter Nussbaum, is ordered to disburse any funds to the Commission for remittance to the Treasury after he completes tax and accounting services, payment of tax obligations, and collection of fees. At that time, he is ordered to file a report with this Court and serve a copy upon the Commission, and absent an objection to the Report within 14 days, he will be terminated and discharged as Distribution Agent without further order of this Court. 3) The Clerk of the Court is ordered to disburse any remaining amounts on deposit with CRIS after payment to the Distribution Agent to the Commission for remittance to the Treasury. The Clerk shall accompany such payment with a letter identifying the title and civil number of this action and the name of this Court, and specify that the funds are being paid pursuant to this Order for remittance to the Treasury. The check and letter shall be sent to Securities and Exchange Commission, Office of Financial Management, 100 F Street NE, Mail Stop 6042, Washington, DC 20549. 4) Upon receipt of the funds, the Commission's Office of Financial Management shall remit them to the Treasury. Any funds later collected from Defendants shall be paid to the Commission for remittance to the Treasury. Granting 51 Motion for Disbursement of Funds; Denying #56 Motion to Amend/Correct; Denying 57 Motion to Amend/Correct; Denying #58 Motion to Amend while opposing Plaintiff's request. (Signed by Judge Loretta A. Preska on 2/6/2013). Copy sent to Cashier's Office Rm. 120 via interoffice mail delivery. (rjm) [Transferred from New York Southern on 4/6/2018.]
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| Filing 65 NOTICE OF CASE REASSIGNMENT to Judge Loretta A. Preska. Judge Barbara S. Jones is no longer assigned to the case. (pgu) [Transferred from New York Southern on 4/6/2018.] |
| Mailed notice re: #65 Notice of Case Assignment/Reassignment to the attorney(s) of record. (pgu) [Transferred from New York Southern on 4/6/2018.] |
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Filing 64
ORDER GRANTING MOTION TO WITHDRAW AS COUNSEL OF RECORD: granting #62 Motion to Withdraw as Attorney. Attorney Carl Hanline Loewenson, Jr terminated. IT IS HEREBY ORDERED THAT: Morrison & Foerster's Motion to Withdraw as Counsel of Record for Defendant is GRANTED. (Signed by Judge Barbara S. Jones on 8/6/2012) (jfe) [Transferred from New York Southern on 4/6/2018.]
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| Filing 63 RESPONSE to Motion re: #62 MOTION for Carl H. Loewenson to Withdraw as Attorney.. Document filed by Securities and Exchange Commission. (Vasilescu, Alexander) [Transferred from New York Southern on 4/6/2018.] |
| Filing 62 MOTION for Carl H. Loewenson to Withdraw as Attorney. Document filed by Cole A. Bartiromo. (Attachments: #1 Exhibit A, #2 Text of Proposed Order, #3 Affidavit of Service)(Loewenson, Carl) [Transferred from New York Southern on 4/6/2018.] |
| Filing 61 CERTIFICATE OF SERVICE of Memorandum, Declaration, and Exhibits served on Defendant Cole Bartiromo on August 1, 2012. Document filed by Securities and Exchange Commission. (Vasilescu, Alexander) [Transferred from New York Southern on 4/6/2018.] |
| Filing 60 DECLARATION of Alexander M. Vasilescu in Support re: 51 MOTION for Disbursement of Funds.. Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit)(Vasilescu, Alexander) [Transferred from New York Southern on 4/6/2018.] |
| Filing 59 REPLY MEMORANDUM OF LAW in Support re: 51 MOTION for Disbursement of Funds. and In Opposition to Defendant's Moton to Transfer Remaining Funds In CRIS Account to Defendant, Modify or Eliminate Previously Imposed Civil Penalty and Residual Disgorgement And other Relief (See Docket 58). Document filed by Securities and Exchange Commission. (Vasilescu, Alexander) [Transferred from New York Southern on 4/6/2018.] |
| Filing 58 NOTICE OF MOTION TO AMEND ORDER WHILE OPPOSING PLAINTIFF'S REQUESTS; DECLARATION OF COLE BARTIROMO AND SUPPORTING EXHIBITS. Document filed by Cole A. Bartiromo. (Attachments: #1 Exhibit)(mt) [Transferred from New York Southern on 4/6/2018.] |
| Filing 57 MOTION To Amend Order While Opposing Plaintiffs Requests: Declaration of Cole Bartiromo: and supporting Exhibits. Document filed by Cole A. Bartiromo.(pl) [Transferred from New York Southern on 4/6/2018.] |
| Filing 56 MOTION to Amend order while opposing plaintiff's requests, declaration of Cole Bartiromo and supporting exhibits. Document filed by Cole A. Bartiromo.(msa) [Transferred from New York Southern on 4/6/2018.] |
| Filing 55 DECLARATION of Peter Nussbaum in Support re: 51 MOTION for Disbursement of Funds. Document filed by Securities and Exchange Commission. (tro) [Transferred from New York Southern on 4/6/2018.] |
| Filing 54 CERTIFICATE OF SERVICE of Notice of Motion Transfer Funds on Deposit to the United States Treasury, Pay Tax Obligations and Pay Fees and Expenses of Distribution Agent; Memorandum of Law; Declarations of Alexander Vasilescu (with exhibits) and Peter Nussbaum; and the Proposed Order served on Carl Lowenson, Jr. and Cole A. Bartiromo on 5/10/2012. Service was made by United Parcel Service. Document filed by Securities and Exchange Commission. (lmb) [Transferred from New York Southern on 4/6/2018.] |
| Filing 53 DECLARATION of Alexander Vasilescu in Support re: 51 NOTICE OF MOTION to Transfer Funds on Deposit to the United States Treasury, Pay Tax Obligations and Pay Fees and Expenses of Distribution Agent. Document filed by Securities and Exchange Commission. (lmb) [Transferred from New York Southern on 4/6/2018.] |
| Filing 52 MEMORANDUM OF LAW in Support re: 51 NOTICE OF MOTION to Transfer Funds on Deposit to the United States Treasury, Pay Tax Obligations and Pay Fees and Expenses of Distribution Agent. Document filed by Securities and Exchange Commission. (lmb) [Transferred from New York Southern on 4/6/2018.] |
| Filing 51 NOTICE OF MOTION to Transfer Funds on Deposit to the United States Treasury, Pay Tax Obligations and Pay Fees and Expenses of Distribution Agent. Document filed by Securities and Exchange Commission.(lmb) [Transferred from New York Southern on 4/6/2018.] |
| Appeal Record Returned. Indexed record on Appeal Files for Appeal Record Sent to USCA - File, 49 USCA Mandate, Transmission of USCA Mandate/Order to District Judge USCA Case Number 05-3743-cv, returned from the U.S. Court of Appeals. (nd) [Transferred from New York Southern on 4/6/2018.] |
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Filing 50
ORDER denying Defendants' 48 Motion for Reconsideration . (Signed by Judge Barbara S. Jones on 9/14/2006) (jmi, ) [Transferred from New York Southern on 4/6/2018.]
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| Filing 49 MANDATE of USCA (Certified Copy) as to 45 Notice of Appeal filed by Cole A. Bartiromo, USCA Case Number 05-3743-cv. Ordered that the appeal is DISMISSED. Roseann B. MacKechnie, Clerk USCA. Certified: 8/9/2006. (nd, ) [Transferred from New York Southern on 4/6/2018.] |
| Transmission of USCA Mandate/Order to the District Judge re: 49 USCA Mandate. (nd, ) [Transferred from New York Southern on 4/6/2018.] |
| Appeal Remark as to 45 Notice of Appeal filed by Cole A. Bartiromo. IFP GRANTED on 10/31/05. (tp, ) [Transferred from New York Southern on 4/6/2018.] |
| MEMO ENDORSEMENT: Let the applicant proceed on appeal without prepayment of cost or fees or the necessity of giving security therefore. (Signed by Judge Barbara S. Jones on 10/31/2005) (jmi, ) [Transferred from New York Southern on 4/6/2018.] |
| Filing 48 REQUEST for Reconsideration on the District Court Order of April 29, 2005. Document filed by Cole A. Bartiromo. (rw, ) [Transferred from New York Southern on 4/6/2018.] |
| USCA Case Number 05-3743-cv from the U.S.C.A 2nd Cir. assigned to 45 Notice of Appeal filed by Cole A. Bartiromo,. (nd, ) [Transferred from New York Southern on 4/6/2018.] |
| Filing 47 DECLARATION IN SUPPORT OF REQUEST TO PROCEED IN FORMA PAUPERIS. Document filed by Cole A. Bartiromo.(sac, ) [Transferred from New York Southern on 4/6/2018.] |
| Filing 46 Appeal Record Sent to USCA (Index). Notice that the Original index to the record on Appeal for 45 Notice of Appeal filed by Cole A. Bartiromo, 3 Copies of the index, Certified Clerk Certificate and Certified Docket Sheet were transmitted to the U.S. Court of Appeals. (tp, ) [Transferred from New York Southern on 4/6/2018.] |
| Appeal Record Sent to USCA (File). Indexed record on Appeal Files for 45 Notice of Appeal filed by Cole A. Bartiromo, were transmitted to the U.S. Court of Appeals on 6/8/05. (tp, ) [Transferred from New York Southern on 4/6/2018.] |
| Transmission of Notice of Appeal and Certified Copy of Docket Sheet to US Court of Appeals re: 45 Notice of Appeal. (tp, ) [Transferred from New York Southern on 4/6/2018.] |
| Transmission of Notice of Appeal to the District Judge re: 45 Notice of Appeal. (tp, ) [Transferred from New York Southern on 4/6/2018.] |
| Filing 45 NOTICE OF APPEAL from #43 Order. Document filed by Cole A. Bartiromo. Copies of Notice of Appeal mailed to Attorney(s) of Record: Carl H. Loewenson and A.U.S.A. (tp, ) [Transferred from New York Southern on 4/6/2018.] |
| Appeal Remark as to 45 Notice of Appeal filed by Cole A. Bartiromo. $255.00 APPEAL FEE DUE. (tp, ) [Transferred from New York Southern on 4/6/2018.] |
| Filing 44 NOTICE of Change of Address by Alexander Mircea Vasilescu on behalf of Securities and Exchange Commission. New Address: 3 World Financial Center, Room 4300, New York, NY, 10281-1022, (212) 336-0178. (ae, ) [Transferred from New York Southern on 4/6/2018.] |
| ***NOTE TO ATTORNEY TO RE-FILE DOCUMENT - NON-ECF CASE ERROR. Note to Attorney Alexander Vasilescu to MANUALLY RE-FILE Document Notice of Change of Address, Document No. 42. This case is not ECF. (gf, ) [Transferred from New York Southern on 4/6/2018.] |
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Filing 43
ORDER; that the Court imposes a civil penalty of $1,273,731; the Clerk of the Court is directed to close the case. (Signed by Judge Barbara S. Jones on 4/29/05) (pl, ) [Transferred from New York Southern on 4/6/2018.]
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| Filing 42 FILING ERROR - ELECTRONIC FILING ON A NON-ECF CASE - NOTICE of Change of Address by Alexander Mircea Vasilescu on behalf of Securities and Exchange Commission. New Address: Securities and Exchange Commission, Room 4300, 3 World Financial Center, New York, New York, USA 10281-1022, 212-336-0178. (Vasilescu, Alexander) Modified on 6/14/2005 (gf, ). [Transferred from New York Southern on 4/6/2018.] |
| CASHIERS OFFICE REGISTRY DISBURSEMENT dated 8/9/2004, from Judge Barbara S. Jones, on 8/20/04 disbursed to pay DAVID BOXER $117216.00 Check No. 679511 dated 8/20/04 (dig, ) [Transferred from New York Southern on 4/6/2018.] |
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Filing 41
ORDER OF SECOND INTERIM DISTRIBUTION on the application of plaintiff Securities Exchange Commission for a second order of interim distribution refunding to investors ill-gotten gains raised in connection eith the securities violations perpetrated by the defendants IB2001 and Cole A. Bartiromo. (Signed by Judge Barbara S. Jones on 8/9/2004) Copies faxed by Chambers.(jsa, ) Modified on 8/13/2004 (jsa, ). [Transferred from New York Southern on 4/6/2018.]
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| Filing 40 DECLARATION of Alexander Vasilescu in Support of Proposed Second Interim Distribution Plan. Document filed by Securities and Exchange Commission. (djc, ) [Transferred from New York Southern on 4/6/2018.] |
| Terminated documents 21-2, 24-1 pursuant to instructions of Judge Jones as indicated on the CJRA report. (rag) [Transferred from New York Southern on 4/6/2018.] |
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Filing 37
ORDER OF INTERIM DISTRIBUTION, David P. Boxer, and his firm, M.R. Weiser & Co. LLP, pending further order of this Court, is appointed to act as Custodian and Administrator for the funds in the Court's CRIS account that are to be paid to the IB2001 investors as part of an interim distribution. The Court directs Administrator Boxer to perform all duties necessary to prepare, issue and mail checks to IB2001 claimants, as further set forth on this order. Within 60 days of the date of the Court's issuance of a Final Judgment, the Commission staff shall submit a proposed plan or application for the disposition of the remaining funds in the CRIS account. ( signed by Judge Barbara S. Jones ); Copies faxed by Chambers. (sb) [Transferred from New York Southern on 4/6/2018.]
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| Filing 39 DECLARATION of Alexander Vasilescu by Securities in support of proposed interm distribution plan. (db) [Transferred from New York Southern on 4/6/2018.] |
| Filing 38 MEMORANDUM OF LAW by Securities in support of pltff's proposed interm distribution plan. (db) [Transferred from New York Southern on 4/6/2018.] |
| CASHIER'S OFFICE REMARK on [2-1] judgment order in the amount of $895.100.00 paid on 1/11/02. Placed into CRIS 1/10/02. (ae) Modified on 01/14/2003 [Transferred from New York Southern on 4/6/2018.] |
| CASHIER'S OFFICE REMARK on [2-1] judgment order in the amount of $25,000.00 paid on 1/15/02. Placed into CRIS 1/16/02. (ae) Modified on 01/14/2003 [Transferred from New York Southern on 4/6/2018.] |
| CASHIER'S OFFICE REMARK on [2-1] judgment order in the amount of $7,021.00 dated 2/13/02. Placed into CRIS 2/12/02. (ae) Modified on 01/14/2003 [Transferred from New York Southern on 4/6/2018.] |
| Filing 36 CERTIFICATE OF SERVICE of memorandum of law in support of plaintiff's motion for summary judgment and motin for an order of preclusion as to Invest Better 2001, Cole A. Bartiromo by overnight federal express on 8/12/02 . . (yv) [Transferred from New York Southern on 4/6/2018.] |
| Filing 35 MEMORANDUM OF LAW by Securities in support of [24-1] motion for an Order, precluding defendant Bartiromo and each of his parents from introducing in response to the Commission's motion for summary judgment or at trial any evidence relating to: (1) the Commission's allegations of fact against him; (2) his denials or defenses to those allegations; and (3) any affirmative defenses; and precluding Bartiromo or IB2001 from relying on the accounting that Bartiromo previously filed with the Court . (yv) [Transferred from New York Southern on 4/6/2018.] |
| Filing 34 MEMORANDUM OF LAW by Securities in support of [21-1] motion for an Order granting summary judgment on the remaining issues of residual disgorgement and civil penalties pursuant to Rule 56 of the FRCP, against defendant Bartiromo and his alter ego, IB2001, [21-2] motion the entry of a final judgment granting the full relief requested against Bartiromo and IB2001 in the Commission's Second Amended Complaint dated April 29, 2002 . (yv) [Transferred from New York Southern on 4/6/2018.] |
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Filing 33
ORDER granting [29-1] motion for an order granting admission pro hac vice of attorney Adrian J. Sawyer ( signed by Judge Barbara S. Jones ); Copies mailed; forwarded orig. doc. to the Attorney Admissions Clerk (cd) [Transferred from New York Southern on 4/6/2018.]
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| Filing 32 RESPONSE by Cole A. Bartiromo Re: plntfs Rule 56.1 statement (cd) [Transferred from New York Southern on 4/6/2018.] |
| Filing 31 MEMORANDUM OF LAW by Cole A. Bartiromo in opposition to [24-1] motion for an Order, precluding defendant Bartiromo and each of his parents from introducing in response to the Commission's motion for summary judgment or at trial any evidence relating to: (1) the Commission's allegations of fact against him; (2) his denials or defenses to those allegations; and (3) any affirmative defenses; and precluding Bartiromo or IB2001 from relying on the accounting that Bartiromo previously filed with the Court . (cd) [Transferred from New York Southern on 4/6/2018.] |
| Filing 30 MEMORANDUM OF LAW by Cole A. Bartiromo in opposition to [21-1] motion for an Order granting summary judgment on the remaining issues of residual disgorgement and civil penalties pursuant to Rule 56 of the FRCP, against defendant Bartiromo and his alter ego, IB2001 . (cd) [Transferred from New York Southern on 4/6/2018.] |
| Filing 29 NOTICE OF MOTION (filed on service date) by Cole A. Bartiromo for an order granting admission pro hac vice of attorney Adrian J. Sawyer . Return Date not indicated. (dle) [Transferred from New York Southern on 4/6/2018.] |
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Filing 27
Memo-Endorsement on letter addressed to Judge Jones from Daniel W. Levy, dated 06/26/02; Defendant's Response to motion reset to 7/26/02 for [21-1] motion for an Order granting summary judgment on the remaining issues of residual disgorgement and civil penalties pursuant to Rule 56 of the FRCP, against defendant Bartiromo and his alter ego, reset to 7/26/02 for [21-2] motion the entry of a final judgment granting the full relief requested against Bartiromo and IB2001 in the Commission's Second Amended Complaint dated April 29, 2002 reset Plaintiff's Reply to Response to Motion reset to 8/13/02 for [21-1] motion for an Order granting summary judgment on the remaining issues of residual disgorgement and civil penalties pursuant to Rule 56 of the FRCP, against defendant Bartiromo and his alter ego, IB2001, reset to 8/13/02 for [21-2] motion the entry a final judgment granting the full relief requested against Bartiromo and IB2001 in the Commission's Second Amended Complaint dated April 29, 2002 . ( signed by Judge Barbara S. Jones ); Copies mailed. (djc) [Transferred from New York Southern on 4/6/2018.]
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| Filing 26 DECLARATION of Craig S. Warkol by Securities in support Re: [21-1] motion for an Order granting summary judgment on the remaining issues of residual disgorgement and civil penalties pursuant to Rule 56 of the FRCP, against defendant Bartiromo and his alter ego, IB2001, [21-2] motion the entry of a final judgment granting the full relief requested against Bartiromo and IB2001 in the Commission's Second Amended Complaint dated April 29, 2002, [24-1] motion for an Order, precluding defendant Bartiromo and each of his parents from introducing in response to the Commission's motion for summary judgment or at trial any evidence relating to: (1) the Commission's allegations of fact against him; (2) his denials or defenses to those allegations; and (3) any affirmative defenses; and precluding Bartiromo or IB2001 from relying on the accounting that Bartiromo previously filed with the Court . (yv) [Transferred from New York Southern on 4/6/2018.] |
| Filing 23 RULE 56.1 STATEMENT filed by Securities (yv) [Transferred from New York Southern on 4/6/2018.] |
| Filing 22 MEMORANDUM OF LAW by Securities in support of [21-1] motion for an Order granting summary judgment on the remaining issues of residual disgorgement and civil penalties pursuant to Rule 56 of the FRCP, against defendant Bartiromo and his alter ego, IB2001, [21-2] motion the entry of a final judgment granting the full relief requested against Bartiromo and IB2001 in the Commission's Second Amended Complaint dated April 29, 2002 . (yv) [Transferred from New York Southern on 4/6/2018.] |
| Filing 25 MEMORANDUM OF LAW by Securities in support of [24-1] motion for an Order, precluding defendant Bartiromo and each of his parents from introducing in response to the Commission's motion for summary judgment or at trial any evidence relating to: (1) the Commission's allegations of fact against him; (2) his denials or defenses to those allegations; and (3) any affirmative defenses; and precluding Bartiromo or IB2001 from relying on the accounting that Bartiromo previously filed with the Court . (yv) [Transferred from New York Southern on 4/6/2018.] |
| Filing 24 NOTICE OF MOTION (filed on service date) by Securities for an Order, precluding defendant Bartiromo and each of his parents from introducing in response to the Commission's motion for summary judgment or at trial any evidence relating to: (1) the Commission's allegations of fact against him; (2) his denials or defenses to those allegations; and (3) any affirmative defenses; and precluding Bartiromo or IB2001 from relying on the accounting that Bartiromo previously filed with the Court . Return Date not indicated. (yv) [Transferred from New York Southern on 4/6/2018.] |
| Filing 21 NOTICE OF MOTION (filed on service date) by Securities for an Order granting summary judgment on the remaining issues of residual disgorgement and civil penalties pursuant to Rule 56 of the FRCP, against defendant Bartiromo and his alter ego, IB2001 and, the entry of a final judgment granting the full relief requested against Bartiromo and IB2001 in the Commission's Second Amended Complaint dated April 29, 2002 . Return Date not indicated. (yv) [Transferred from New York Southern on 4/6/2018.] |
| Filing 28 Memorandum to Docket Clerk: pretrial conference held and concluded on 5/31/02 before Judge Jones.. (gf) [Transferred from New York Southern on 4/6/2018.] |
| Filing 19 Memo-Endorsement on letter addressed to Judge Jones from Sandra M. Hanna, dated 5/29/02: Granting Ms. Hanna to participate via telephone to the conference scheduled for Friday 5/31/02 at 2:00 p.m . ( signed by Judge Barbara S. Jones ); Copies mailed. (tp) [Transferred from New York Southern on 4/6/2018.] |
| PRETRIAL CONFERENCE held and concluded on 5/31/02 before Judge Barbara S. Jones . (gf) [Transferred from New York Southern on 4/6/2018.] |
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Filing 20
AMENDED PARTIAL FINAL ORDER AND JUDGMENT ON CONSENT AGAINST DEFENDANTS INVEST BETTER 2001 AND COLE A. BARTIROMO # 02,1078 amends: [2-1] judgment order ( signed by Judge Barbara S. Jones ); Mailed copies and notice of right to appeal Entered On Docket: 6/11/02. (jco) [Transferred from New York Southern on 4/6/2018.]
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Filing 17
STIPULATION AND PROTECTIVE ORDER, regarding procedures to be followed that shall govern the handling of confidential materials . ( signed by Judge Barbara S. Jones ) (tp) [Transferred from New York Southern on 4/6/2018.]
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| Filing 18 ANSWER by Cole A. Bartiromo to [16-1] second amended complaint . (Attorney Carl H. Loewenson, Daniel Walter Levy from the Firm: Morrison & Foerster LLP). (yv) [Transferred from New York Southern on 4/6/2018.] |
| CASHIER'S OFFICE REMARK on [14-1] order in the amount of 25.00 paid on 5/2/02 Receipt # 437885. (moc) [Transferred from New York Southern on 4/6/2018.] |
| CASHIER'S OFFICE REMARK on [12-1] order granting David B. Bayless permission to appear pro hac vice for deft Cole A. Bartiromo in the amount of 25.00 paid on 5/2/02 Receipt # 437885. (moc) [Transferred from New York Southern on 4/6/2018.] |
| Filing 16 SECOND AMENDED COMPLAINT by Securities (Answer due 5/20/02 for Cole A. Bartiromo, for Jane Does, for John Does, for Invest Better 2001 ) amending [1-1] complaint . Summons issued. (bai) [Transferred from New York Southern on 4/6/2018.] |
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Filing 15
STIPULATION and ORDER; that the Commission, pursuant to Rule 15 of the F.R.C.P., and the Civil Case Mgmt. Plan submitted 4/5/02, may file a Second Amended Complaint on or before 4/30/02 . ( signed by Judge Barbara S. Jones ) (pl) [Transferred from New York Southern on 4/6/2018.]
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Filing 14
ORDER, that the Court is granting the [9-1] motion for an order pursuant to Rule 1.3(c) of the FRCP admitting Sandra M. Hanna to appear pro hac vice on behalf of defendant Bartiromo, and that Ms. Hanna pay the fee for admission pro hac vice required by the Clerk of the Court within 30 days of the entry of this Order. ( signed by Judge Barbara S. Jones ); Copies mailed. FORWARDED DOCUMENT TO ATTORNEY ADMISSIONS CLERK. (tp) Modified on 04/17/2002 [Transferred from New York Southern on 4/6/2018.]
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| Filing 13 Civil Case Management Plan: Joinder of additional parties must be accomplished by 04/30/02; amended pleadings may be filed until 04/30/02; First request for production of documents, if any, to be served by 04/30/02; Interrogatories purs to Rule 33.3(a) of the Local Rules of the SDNY to be served by 04/15/02; Depositions to be completed by 05/31/02; All discovery is to be completed by 05/31/02; Dispositive motions are to be served by 06/15/02; answering papers are to be served by 06/30/02; reply papers are to be served by 07/15/02; next case management conference set for 05/31/02 2:00 p.m. ( signed by Judge Barbara S. Jones ); Copies mailed. (djc) Modified on 04/15/2002 [Transferred from New York Southern on 4/6/2018.] |
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Filing 12
ORDER, granting David B. Bayless permission to appear pro hac vice for deft Cole A. Bartiromo ; granting [9-1] motion for an order pursuant to Rule 1.3(c) of the FRCP admitting Sandra M. Hanna to appear pro hac vice. ( signed by Judge Barbara S. Jones ); Copies mailed. (orig. forwarded to the Atty Admissions Clerk.) (sac) [Transferred from New York Southern on 4/6/2018.]
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| Filing 11 SUPPLEMENTAL DECLARATION of Daniel W. Levy by Cole A. Bartiromo in support Re: Motion for the admission pro hac vice of David B. Bayless to appear in this action on behalf of Mr. Bartiromo. (yv) [Transferred from New York Southern on 4/6/2018.] |
| Filing 10 DECLARATION of Daniel W. Levy by Cole A. Bartiromo in support Re: [9-1] motion for an order pursuant to Rule 1.3(c) of the FRCP admitting Sandra M. Hanna to appear pro hac vice . (db) [Transferred from New York Southern on 4/6/2018.] |
| Filing 9 NOTICE OF MOTION (FILED ON SERVICE DATE) by Cole A. Bartiromo for an order pursuant to Rule 1.3(c) of the FRCP admitting Sandra M. Hanna to appear pro hac vice . No Return date indicated. (db) [Transferred from New York Southern on 4/6/2018.] |
| Filing 8 ANSWER TO [3-1] amended complaint by Cole A. Bartiromo (Attorney Daniel Walter Levy from the Firm: Morrison & Foerster LLP). (bai) [Transferred from New York Southern on 4/6/2018.] |
| Filing 7 Verified Accounting and Asset List pursuant to partial judgement and order (1/7/02) by Cole A. Bartiromo. (db) [Transferred from New York Southern on 4/6/2018.] |
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Filing 6
STIPULATION and ORDER, that the time for Bartiromo to provide a verified accounting pursuant to the pretrial final judgment order on consent, dated 1/7/02, be, and hereby is, extended, nunc pro tunc, to and including 3/8/02, and there shall be no further extensions regarding the time to provide the accounting ; The 3/1/02 initial pretrial conference is adjourned until 4/5/02 at 2:00 p.m . ( signed by Judge Barbara S. Jones ) (tp) [Transferred from New York Southern on 4/6/2018.]
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| Remark by Cashier's Office on Partial Final Judgment and Order on Consent Against Defts Invest Better 2001 and Cole A. Bartiromo, Doc. #2; "Received $7,021.00 from Invest Better 2001 (wire transfer). Placed into CRIS 2/12/02. (DG)" (sn) [Transferred from New York Southern on 4/6/2018.] |
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Filing 5
STIPULATION and ORDER; reset answer to first amended complaint due for 2/21/02 for Cole A. Bartiromo ; the conference scheduled for 02/01/01 is adjourned to Friday, 03/01/02 at 2:00 p.m. ; ( signed by Judge Barbara S. Jones ) (djc) [Transferred from New York Southern on 4/6/2018.]
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| Filing 4 NOTICE of appearance by attorney Daniel W. Levy for defendant Cole A. Bartiromo, and requests that copies of all papers be served upon them at 1290 Avenue of the Americas New York, NY 10104-0012 phone # (212) 468-8000. (bai) [Transferred from New York Southern on 4/6/2018.] |
| Filing 3 AMENDED COMPLAINT by Securities (Answer due 1/22/02 for Cole A. Bartiromo, for Jane Does, for John Does, for Invest Better 2001 ) amending [1-1] complaint ; Summons issued. (yv) [Transferred from New York Southern on 4/6/2018.] |
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Filing 2
PARTIAL FINAL JUDGMENT AND ORDER ON CONSENT, against defts Invest Better 2001 and Cole A. Bartiromo: Defts IB2001 and Bartiromo be and hereby are permanently enjoined as set forth within this Judgment. Defts shall pay a civil penalty to be determined by the Court at a later date purs. to Section 20(d) of the Securities Act of 1933 (15 USC 77t(d), Section 21(d)(3) and 21A of the Securities Exchange Act of 1934 (15 USC 78u(d)(3) and 78u-1) and that pltff have execution therefore. The payment of a civil penalty shall be made as set forth within. The Clerk of the Court is hereby directed to enter the Partial Final Judgment forthwith purs. to Rule 54(b) of the FRCP. ( signed by Magistrate Judge Naomi R. Buchwald, Part I ) Entered On Docket: 1/08/02. (Returned orig. doc. to Cashiers Office) (kg) [Transferred from New York Southern on 4/6/2018.]
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| Filing 1 COMPLAINT filed. Summons issued and Notice pursuant to 28 U.S.C. 636(c). . (dle) [Transferred from New York Southern on 4/6/2018.] |
| Magistrate Judge Michael H. Dolinger is so designated. (dle) [Transferred from New York Southern on 4/6/2018.] |
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