Commodity Futures Trading Commission et al v. Safeguard Metals LLC et al
| Commodity Futures Trading Commission, Alabama Securities Commission, Arizona Corporation Commission, Arkansas Securities Department, California Department of Financial Protection & Innovation, State of Connecticut Department of Banking, State of Florida, Office of Financial Regulation, State of Hawaii, Department of Commerce and Consumer Affairs, Idaho Department of Finance, Office of the Secretary of State, Illinois Securities Department, Indiana Securities Division, Kentucky Department of Financial Institutions, State of Maryland Ex Rel the Maryland Securities Commissioner, Attorney General Dana Nessel on Behalf of the People of the State of Michigan, Mississippi Secretary of State, Missouri Commissioner of Securities, Nebraska Department of Banking & Finance, New Mexico Securities Division, The People of the State of New York by Letitia James, Attorney General of the State of New York, North Carolina Department of the Secretary of State, Oklahoma Department of Securities, Oregon Department of Business and Consumer Services, South Carolina Attorney General, South Dakota Department of Labor & Regulation, Commissioner of the Tennessee Department of Commerce and Insurance, Vermont Department of Financial Regulation, Washington State Department of Financial Institutions, State of Wisconsin, California Department of Financial Protection and Innovation, Nebraska Department of Banking and Finance, South Dakota Department of Labor and Regulation, The State of Wisconsin, Iowa Insurance Commissioner, Douglas M. Ommen, Ohio Department of Commerce, Division of Securities and South Carolina Secretary of State Mark Hammond |
| Jeffrey Santulan, Safeguard Metals LLC and Jeffrey Hill |
| Utah Division of Securities |
| 2:2022cv00691 |
| February 1, 2022 |
| US District Court for the Central District of California |
| Steve Kim |
| John F Walter |
| Securities/Commodities |
| Plaintiff |
Docket Report
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This docket was last retrieved on October 20, 2023. A more recent docket listing may be available from PACER.
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Filing 202
MINUTE (IN CHAMBERS) ORDER APPROVING CONSENT ORDER OF PERMANENT INJUNCTION AND OTHER STATUTORY AND EQUITABLE RELIEF AGAINST DEFENDANTS [filed 10/19/23; Docket No. 200-1]; and ORDER ADMINISTRATIVELY CLOSING ACTION by Judge John F. Walter. On October 19, 2023, the parties filed a Joint Stipulation for Entry of Consent Order. Docket No. 200. The Court APPROVES and signs the Consent Order of Permanent Injunction and Other Statutory and Equitable Relief Against Defendants. Docket No. 200- 1. In light of the Consent Order, the Court VACATES all pending pretrial and trial dates and ADMINISTRATIVELY CLOSES this action. (Made JS-6. Case Terminated.) (iv)
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Filing 201
CONSENT ORDER OF PERMANENT INJUNCTION AND OTHER STATUTORY AND EQUITABLE RELIEF AGAINST DEFENDANTS filed by Judge John F. Walter. SEE ORDER FOR DETAILS. (iv)
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| Filing 200 Joint STIPULATION for Order ENTRY OF CONSENT ORDER filed by Plaintiff Commodity Futures Trading Commission. (Attachments: #1 Proposed Order Proposed Order, #2 Exhibit Attachment 1 to Proposed Order)(Flucke, Paul) |
| Filing 199 ANSWER to Amended Complaint/Petition #195 JURY DEMAND. (Second Amended Complaint) filed by Defendants Safeguard Metals LLC, Jeffrey Santulan.(Rigali, Paul) |
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Filing 198
ORDER GRANTING STIPULATION TO FILING SECOND AMENDED COMPLAINT IN LIGHT OF INDIVIDUAL DEFENDANT'S CHANGE OF NAME by Judge John F. Walter. Before the Court is Plaintiffs and Defendants' Stipulation to Filing Second Amended Complaint in Light of Individual Defendant's Change of Name. It is hereby ordered that leave to file the Second Amended Complaint is GRANTED based upon the written consent of the opposing parties. Following this Order, the Second Amended Complaint is deemed filed. (rolm)
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| Filing 197 Joint STIPULATION to Amend filed by plaintiff Commodity Futures Trading Commission. (Attachments: #1 Exhibit Second Amended Complaint, #2 Proposed Order Proposed Order)(Flucke, Paul) |
| Filing 196 NOTICE TO FILER OF DEFICIENCIES in Electronically Filed Document RE: Amended Complaint/Petition #195 , Stipulation for Leave #194 . The following error(s) was/were found: Proposed document was not submitted or was not submitted as a separate attachment. Pursuant to Local Rule 5-4.4.1- Proposed orders not lodged with a main document shall be electronically lodged as an attachment to a Notice of Lodging. Second Amended Complaint filed prematurely as no leave of court has been granted. In response to this notice, the Court may: (1) order an amended or correct document to be filed; (2) order the document stricken; or (3) take other action as the Court deems appropriate. (iv) |
| Filing 195 Second AMENDED COMPLAINT against Defendants All Defendants amending Amended Complaint/Petition, #104 , filed by Plaintiff Commodity Futures Trading Commission(Flucke, Paul) |
| Filing 194 Joint STIPULATION for Leave to To file Second Amended Complaint in Light of Individual Defendant's Change of Name filed by Plaintiff Commodity Futures Trading Commission.(Flucke, Paul) |
| Filing 193 Text Entry Order: In light of the Notice of Settlement and Stipulation to Continue Deadlines filed July 31, 2023, Docket No. #192 , the trial, currently set for November 28, 2023, and all pre-trial dates are vacated. THERE IS NO PDF DOCUMENT ASSOCIATED WITH THIS ENTRY. (sr) TEXT ONLY ENTRY |
| Filing 192 Joint STIPULATION to Continue Discovery cut-off, last day of hearings, deadline to file pre-trial documents, pre-trial conference, hearing on motions in limine and disputed jury instructions, trial from August 28, 2023, September 11, 2023, October 23, 2023, November 3, 2023, November 17, 2023 and November 28, 2023 to Stayed pending the Court ruling on the Proposed Consent Order filed by Plaintiff Commodity Futures Trading Commission. (Attachments: #1 Proposed Order Proposed Order)(Flucke, Paul) |
| Filing 191 STATUS REPORT (JOINT) re Mediation filed by Defendants Safeguard Metals LLC, Jeffrey Santulan. (Rigali, Paul) |
| Filing 190 Notice of Appearance or Withdrawal of Counsel: for attorney Danielle A. Stoumbos counsel for Plaintiff Indiana Securities Division. Jefferson S. Garn is no longer counsel of record for the aforementioned party in this case for the reason indicated in the G-123 Notice. Filed by Plaintiff Indiana Securities Division. (Stoumbos, Danielle) |
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Filing 189
ORDER by Judge John F. Walter: Granting APPLICATION of Non-Resident Attorney Jonathan D. Atwood to Appear Pro Hac Vice on behalf of Plaintiff Indiana Securities Division, designating Danielle Stoumbos as local counsel #187 . (iv)
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Filing 188
ORDER by Judge John F. Walter: Granting Application of Non-Resident Attorney Meredith B. McCutcheon to Appear Pro Hac Vice on behalf of Plaintiff Indiana Securities Division, designating Danielle Stoumbos as local counsel #186 . (iv)
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| Filing 187 APPLICATION to CORRECT First APPLICATION of Non-Resident Attorney Jonathan D. Atwood to Appear Pro Hac Vice on behalf of Plaintiff Indiana Securities Division (Pro Hac Vice Fee - $500 Fee Paid, Receipt No. ACACDC-35172220) #182 , APPLICATION of Non-Resident Attorney J. Derek Atwood to Appear Pro Hac Vice on behalf of Plaintiff Indiana Securities Division (Pro Hac Vice Fee - $500 Previously Paid on 4/20/2023, Receipt No. ACACDC-35172220) filed by Local Counsel and Plaintiff Indiana Securities Division. (Attachments: #1 Proposed Order) (Stoumbos, Danielle) |
| Filing 186 APPLICATION to CORRECT First APPLICATION of Non-Resident Attorney Meredith B. McCutcheon to Appear Pro Hac Vice on behalf of Plaintiff Indiana Securities Division (Pro Hac Vice Fee - $500 Fee Paid, Receipt No. ACACDC-35171825) #181 , APPLICATION of Non-Resident Attorney Meredith McCutcheon to Appear Pro Hac Vice on behalf of Plaintiff Indiana Securities Division (Pro Hac Vice Fee - $500 Previously Paid on 4/20/2023, Receipt No. ACACDC-35171825) filed by Local Counsel and Plaintiff Indiana Securities Division. (Attachments: #1 Proposed Order) (Attorney Danielle A Stoumbos added to party Indiana Securities Division(pty:pla)) (Stoumbos, Danielle) |
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Filing 185
ORDER by Judge John F. Walter: Denying Application of Non-Resident Attorney Jonathan Atwood to Appear Pro Hac Vice on behalf of Plaintiff Indiana Securities Division. IT IS HEREBY FURTHER ORDERED that the pro hac vice application fee, if paid, not be refunded #182 . (iv)
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Filing 184
ORDER by Judge John F. Walter: Denying Application of Non-Resident Attorney Meredith McCutcheon to Appear Pro Hac Vice on behalf of Plaintiff Indiana Securities Division. IT IS HEREBY FURTHER ORDERED that the pro hac vice application fee, if paid, not be refunded #181 . (iv)
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| Filing 183 NOTICE of Deficiency in Electronically Filed Pro Hac Vice Application RE: First APPLICATION of Non-Resident Attorney Meredith B. McCutcheon to Appear Pro Hac Vice on behalf of Plaintiff Indiana Securities Division (Pro Hac Vice Fee - $500 Fee Paid, Receipt No. ACACDC-35171825) #181 , First APPLICATION of Non-Resident Attorney Jonathan D. Atwood to Appear Pro Hac Vice on behalf of Plaintiff Indiana Securities Division (Pro Hac Vice Fee - $500 Fee Paid, Receipt No. ACACDC-35172220) #182 . The following error(s) was/were found: Local Rule 83-2.1.3.4 Local counsel does not maintain an office within the District. Case information is incomplete. DJ and MJ initials missing on application. Please note DJ and MJ Notice of Assignment, dated 2/2/22, Dkt. 6. Proposed Order has not been flattened and is causing a corruption with the filing. (lt) |
| Filing 182 First APPLICATION of Non-Resident Attorney Jonathan D. Atwood to Appear Pro Hac Vice on behalf of Plaintiff Indiana Securities Division (Pro Hac Vice Fee - $500 Fee Paid, Receipt No. ACACDC-35172220) filed by Plaintiff Indiana Securities Division. (Attachments: #1 Proposed Order) (Smith, Denise) |
| Filing 181 First APPLICATION of Non-Resident Attorney Meredith B. McCutcheon to Appear Pro Hac Vice on behalf of Plaintiff Indiana Securities Division (Pro Hac Vice Fee - $500 Fee Paid, Receipt No. ACACDC-35171825) filed by Plaintiff Indiana Securities Division. (Attachments: #1 Proposed Order) (Attorney Denise R. Smith added to party Indiana Securities Division(pty:pla)) (Smith, Denise) |
| Filing 180 RESPONSE BY THE COURT TO NOTICE TO FILER OF DEFICIENCIES IN FILED DOCUMENT by Judge John F. Walter. The document is stricken. Answer to Second Amended Complaint filed prematurely. Second Amended Complaint filed 4/6/2023 has been stricken. (kmh) |
| Filing 179 NOTICE TO FILER OF DEFICIENCIES in Electronically Filed Document RE: Answer to Second Amended Complaint #178 . The following error(s) was/were found: Answer to Second Amended Complaint filed prematurely. Second Amended Complaint filed 4/6/2023 has been stricken. In response to this notice, the Court may: (1) order an amended or correct document to be filed; (2) order the document stricken; or (3) take other action as the Court deems appropriate. You need not take any action in response to this notice unless and until the Court directs you to do so. (iv) |
| Filing 178 ANSWER to Amended Complaint/Petition, #174 with JURY DEMAND filed by DEFENDANTS Safeguard Metals LLC, Jeffrey Santulan.(Rigali, Paul) |
| Filing 177 Notice filed by Plaintiff Commodity Futures Trading Commission. NOTICE OF FILING SECOND AMENDED COMPLAINT IN LIGHT OF INDIVIDUAL DEFENDANTS CHANGE OF NAME (Attachments: #1 Exhibit Second Amended Complaint, #2 Exhibit Redline version of Second Amended Complaint)(Flucke, Paul) |
| Filing 176 TEXT ENTRY ORDER STRIKING the SECOND AMENDED COMPLAINT filed on April 6, 2023 #174 for the reason(s) stated in the Clerk's Notice of Deficiency in Electronically Filed Documents #175 . THERE IS NO PDF DOCUMENT ASSOCIATED WITH THIS ENTRY. (sr) TEXT ONLY ENTRY |
| Filing 175 NOTICE TO FILER OF DEFICIENCIES in Electronically Filed Document RE: Amended Complaint/Petition #174 . The following error(s) was/were found: Pursuant to Fed.R. Civ P 15 The time to amend the Complaint as a matter of course has expired, no leave from the Court has been granted. In response to this notice, the Court may: (1) order an amended or correct document to be filed; (2) order the document stricken; or (3) take other action as the Court deems appropriate. You need not take any action in response to this notice unless and until the Court directs you to do so. (iv) |
| Filing 174 *Stricken* SECOND AMENDED COMPLAINT against DEFENDANT All Defendants amending Amended Complaint/Petition, #104 , filed by PLAINTIFF Commodity Futures Trading Commission (Attachments: #1 Exhibit Red-line version)(Flucke, Paul) Modified on 4/7/2023 (sr). |
| Filing 173 Notice OF FILING SECOND AMENDED COMPLAINT IN LIGHT OF INDIVIDUAL DEFENDANTS CHANGE OF NAME filed by Plaintiff Commodity Futures Trading Commission. (Flucke, Paul) |
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Filing 172
ORDER GRANTING JOINT STIPULATION SEEKING LEAVE TO MODIFY THE COURT'S SCHEDULING AND CASE MANAGEMENT ORDER #171 by Judge John F. Walter. It is hereby ORDERED that the last day to conduct a Settlement Conference/Mediation is extended from April 4, 2023 to June 30, 2023. It is further ORDERED that the last day to file the Joint Report regarding the Results of the Settlement Conference/Mediation is extended from April 7, 2023 to July 5, 2023. (iv)
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| Filing 171 Joint STIPULATION for Leave to MODIFY THE COURTS SCHEDULING AND CASE MANAGEMENT ORDER filed by DEFENDANTS Safeguard Metals LLC, Jeffrey Santulan. (Attachments: #1 Proposed Order)(Rigali, Paul) |
| Filing 170 Notice of Appearance or Withdrawal of Counsel: for attorney Denise R. Smith counsel for Plaintiff California Department of Financial Protection and Innovation. Filed by Plaintiff Denise Smith. (Attorney Denise R. Smith added to party California Department of Financial Protection and Innovation (pty:pla))(Smith, Denise) |
| Filing 169 Notice of Appearance or Withdrawal of Counsel: for attorney Clemon D. Ashley counsel for Plaintiff Commodity Futures Trading Commission. Clemon D. Ashley is no longer counsel of record for the aforementioned party in this case for the reason indicated in the G-123 Notice. Filed by Plaintiff Clemon D. Ashley. (Ashley, Clemon) |
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Filing 168
ORDER by Judge John F. Walter: granting #166 Non-Resident Attorney Bradley E. Davenport APPLICATION to Appear Pro Hac Vice on behalf of Oklahoma Department of Securities, designating Kelly Suk as local counsel. (lom)
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Filing 167
ORDER by Judge John F. Walter: granting #165 Non-Resident Attorney Melissa D. Buchanan APPLICATION to Appear Pro Hac Vice on behalf of Missouri Commissioner of Securities, designating Kelly Suk as local counsel. (lom)
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| Filing 166 First APPLICATION of Non-Resident Attorney Bradley E. Davenport to Appear Pro Hac Vice on behalf of Plaintiff Oklahoma Department of Securities (Pro Hac Vice Fee - $500 Fee Paid, Receipt No. ACACDC-34616139) filed by Local Counsel Oklahoma Department of Securities. (Attachments: #1 Proposed Order) (Suk, Kelly) |
| Filing 165 First APPLICATION of Non-Resident Attorney Melissa D. Buchanan to Appear Pro Hac Vice on behalf of Plaintiff Missouri Commissioner of Securities (Pro Hac Vice Fee - $500 Fee Paid, Receipt No. ACACDC-34615916) filed by Local Counsel Missouri Commissioner of Securities. (Attachments: #1 Proposed Order) (Suk, Kelly) |
| Filing 164 NOTICE of Appearance filed by attorney Paul Matthew Flucke on behalf of Plaintiff Commodity Futures Trading Commission (Attorney Paul Matthew Flucke added to party Commodity Futures Trading Commission(pty:pla))(Flucke, Paul) |
| Filing 163 CERTIFICATE OF SERVICE filed by Plaintiff Commodity Futures Trading Commission, served on January 5, 2023. (Ashley, Clemon) |
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Filing 162
PROTECTIVE ORDER by Magistrate Judge Steve Kim re Stipulation for Protective Order #161 . (see document for details) (hr)
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| Filing 161 NOTICE OF MOTION AND MOTION for Protective Order for information of a highly sensitive and confidential nature, including requests for business, commercial, financial, and trade secret information of the defendants and non-parties to this action filed by Plaintiff Commodity Futures Trading Commission. (Attachments: #1 Proposed Order)(Ashley, Clemon) |
| Filing 160 Notice of Electronic Filing re Order on Motion to Appear Pro Hac Vice, #154 , Order on Motion to Appear Pro Hac Vice, #153 , Notice of Appearance or Withdrawal of Counsel (G-123), #158 , Text Only Bounced Notice of Electronic Filing E-mail,,,,, 155 , Answer to Complaint (Attorney Civil Case Opening) #156 , Errata #159 , Notice of Appearance or Withdrawal of Counsel (G-123), #157 e-mailed to Anne Gunter bounced due to No longer with firm. The primary e-mail address associated with the attorney record has been deleted. Pursuant to Local Rules it is the attorneys obligation to maintain all personal contact information including e-mail address in the CM/ECF system. THERE IS NO PDF DOCUMENT ASSOCIATED WITH THIS ENTRY. (lmh) TEXT ONLY ENTRY |
| Filing 159 NOTICE OF ERRATA filed by Defendants Safeguard Metals LLC, Jeffrey Santulan. correcting Answer to Complaint (Attorney Civil Case Opening) #156 (Rigali, Paul) |
| Filing 158 Notice of Appearance or Withdrawal of Counsel: for attorney Kelly Suk counsel for Plaintiff Arizona Corporation Commission. Christopher A. Nichols is no longer counsel of record for the aforementioned party in this case for the reason indicated in the G-123 Notice. Filed by Plaintiff Arizona Corporation Commission. (Suk, Kelly) |
| Filing 157 Notice of Appearance or Withdrawal of Counsel: for attorney Andrew O. Schiff counsel for Plaintiff Alabama Securities Commission. Anne W. Gunter is no longer counsel of record for the aforementioned party in this case for the reason indicated in the G-123 Notice. Filed by Plaintiff Andrew Schiff. (Schiff, Andrew) |
| Filing 156 ANSWER to Amended Complaint/Petition, #104 with JURY DEMAND filed by DEFENDANTS Safeguard Metals LLC, Jeffrey Santulan.(Rigali, Paul) |
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Filing 155
Notice of Electronic Filing re Order on Motion to Appear Pro Hac Vice, #154 , Order on Motion to Appear Pro Hac Vice, #153 , Order on Motion to Dismiss #148 , Notice of Lodging, #152 , Minutes of In Chambers Order/Directive - no proceeding held,,, Terminate Deadlines and Hearings,, #145 , Deficiency in Electronically Filed Documents (G-112A) - optional html form, #144 , Notice of Lodging, #142 , APPLICATION of Non-Resident Attorney Elizabeth M Schmitt to Appear Pro Hac Vice on behalf of Plaintiff Arizona Corporation Commission (Pro Hac Vice Fee - Paid) #147 , Financial Entry, 150 , Notice of Lodging #143 , Reply (Motion related) #141 , APPLICATION of Non-Resident Attorney andrew O Schiff to Appear Pro Hac Vice on behalf of Plaintiff Alabama Securities Commission (Pro Hac Vice Fee - Paid) #146 , Notice of Deficiency in Electronically filed Pro Hac Vice Application (G-112C) - optional html form,, #149 , Financial Entry, 151 e-mailed to seth.shannon@ago.ms.gov bounced due to |
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Filing 154
ORDER ON APPLICATION OF NON-RESIDENT ATTORNEY TO APPEAR IN A SPECIFIC CASE PRO HAC VICE by Judge John F. Walter. APPLICATION to Appear Pro Hac Vice on behalf of Plaintiff Arizona Corporation Commission, designating Kelly Suk as local counsel. granting #147 Non-Resident Attorney Elizabeth M. Schmitt (rolm)
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Filing 153
ORDER ON APPLICATION OF NON-RESIDENT ATTORNEY TO APPEAR IN A SPECIFIC CASE PRO HAC VICE by Judge John F. Walter. APPLICATION to Appear Pro Hac Vice on behalf of Plaintiff Alabama Securities Commission, designating Kelly Suk as local counsel. granting #146 Non-Resident Attorney Andrew O. Schiff (rolm)
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| Filing 152 NOTICE OF LODGING filed the California Department of Financial Protection and Innovation re APPLICATION of Non-Resident Attorney andrew O Schiff to Appear Pro Hac Vice on behalf of Plaintiff Alabama Securities Commission (Pro Hac Vice Fee - Paid) #146 (Attachments: #1 Unredacted Document Certificate of Good Standing)(Suk, Kelly) |
| Filing 149 NOTICE of Deficiency in Electronically Filed Pro Hac Vice Application RE: APPLICATION of Non-Resident Attorney andrew O Schiff to Appear Pro Hac Vice on behalf of Plaintiff Alabama Securities Commission (Pro Hac Vice Fee - Paid) #146 . The following error(s) was/were found: Local Rule 83-2.1.3.3(d) Certificate of Good Standing not attached for every state court listed to which the applicant has been admitted. Other error(s) with document(s): GSC from PA missing. Declaration required for unavailability of good standing certificates due to Covid or other delays. See Coronavirus (COVID-19) Guidance. (lt) |
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Filing 148
MINUTES (IN CHAMBERS) ORDER DENYING DEFENDANTS' MOTION TO DISMISS FIRST AMENDED COMPLAINT [filed 6/24/22; Docket No. #132 ] by Judge John F. Walter. Defendants' Motion is DENIED. (iv)
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| Filing 151 FINANCIAL ENTRY: Received $500.00 into the registry of the Court from State of Arizona. Re: APPLICATION of Non-Resident Attorney Elizabeth M Schmitt to Appear Pro Hac Vice on behalf of Plaintiff Arizona Corporation Commission (Pro Hac Vice Fee - Paid) #147 . Receipt number LA242850. (lp) |
| Filing 150 FINANCIAL ENTRY: Received $500.00 into the registry of the Court from State of Alabama Department. Re: APPLICATION of Non-Resident Attorney Andrew O Schiff to Appear Pro Hac Vice on behalf of Plaintiff Alabama Securities Commission (Pro Hac Vice Fee - Paid) #146 . Receipt number LA242849. (lp) |
| Filing 147 APPLICATION of Non-Resident Attorney Elizabeth M Schmitt to Appear Pro Hac Vice on behalf of Plaintiff Arizona Corporation Commission (Pro Hac Vice Fee - Paid) filed by Plaintiff Arizona Corporation Commission. (Attachments: #1 [Prop] Order) (lom) |
| Filing 146 APPLICATION of Non-Resident Attorney Andrew O Schiff to Appear Pro Hac Vice on behalf of Plaintiff Alabama Securities Commission (Pro Hac Vice Fee - Paid) filed by Plaintiff Alabama Securities Commission. (Attachments: #1 [Prop] Order) (lom) |
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Filing 145
MINUTE (IN CHAMBERS) ORDER TAKING UNDER SUBMISSION DEFENDANTS' MOTION TO DISMISS FIRST AMENDED COMPLAINT [filed 6/24/22; Docket No. #132 ] by Judge John F. Walter. The Court finds that this matter is appropriate for decision without oral argument. The hearing calendared for August 22, 2022 is hereby vacated and the matter is taken off calendar. The matter will be deemed submitted on the vacated hearing date and the clerk will notify the parties when the Court has reached a decision. (iv)
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| Filing 143 NOTICE OF LODGING filed re Notice of Lodging, #142 (Attachments: #1 Proposed Order Plaintiffs Proposed Statement of Decision)(Ashley, Clemon) |
| Filing 144 NOTICE TO FILER OF DEFICIENCIES in Electronically Filed Documents RE: Notice of Lodging, #142 . The following error(s) was/were found: Case number is incorrect or missing. In response to this notice, the Court may: (1) order an amended or correct document to be filed; (2) order the document stricken; or (3) take other action as the Court deems appropriate. You need not take any action in response to this notice unless and until the Court directs you to do so. (iv) |
| Filing 142 NOTICE OF LODGING filed re NOTICE OF MOTION AND MOTION to Dismiss FIRST AMENDED COMPLAINT #132 , Amended Complaint/Petition, #104 (Attachments: #1 Proposed Order [PROPOSED] STATEMENT OF DECISION GRANTING DEFENDANTS MOTION TO DISMISS PLAINTIFFS FIRST AMENDED COMPLAINT)(Rigali, Paul) |
| Filing 141 REPLY IN SUPPORT OF NOTICE OF MOTION AND MOTION to Dismiss FIRST AMENDED COMPLAINT #132 filed by Defendants Safeguard Metals LLC, Jeffrey Santulan. (Rigali, Paul) |
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Filing 140
ORDER GRANTING DEFENDANTS' UNOPPOSED APPLICATION FOR LEAVE TO FILE REPLY BRIEF IN EXCESS OF TWELVE PAGES IN SUPPORT OF DEFENDANTS' MOTION TO DISMISS PLAINTIFFS' FIRST AMENDED COMPLAINT #139 by Judge John F. Walter. Defendants may file a reply brief in support of Defendants Motion to Dismiss Plaintiffs' First Amended Complaint up to fifteen pages in length, excluding the caption, indices, and signature pages. (iv)
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| Filing 139 APPLICATION to Exceed Page Limitation Reply to Motion to Dismiss filed by DEFENDANTS Safeguard Metals LLC, Jeffrey Santulan. (Attachments: #1 Proposed Order) (Rigali, Paul) |
| Filing 138 OPPOSITION to NOTICE OF MOTION AND MOTION to Dismiss FIRST AMENDED COMPLAINT #132 filed by Plaintiff Commodity Futures Trading Commission. (Attachments: #1 Appendix A, Investment Adviser Definitions, #2 Appendix B, Investment Adviser Representative Definitions, #3 Appendix C, Investment Adviser Registration Statutes, #4 Appendix D, De Minimis Exception Provisions)(Ashley, Clemon) |
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Filing 137
ORDER GRANTING PLAINTIFFS' UNOPPOSED APPLICATION FOR LEAVE TO FILE BRIEF IN EXCESS OF TWENTY-FIVE PAGES IN OPPOSITION TO DEFENDANTS MOTION TO DISMISS #136 by Judge John F. Walter. Plaintiffs may file a brief in opposition to Defendants motion to dismiss up to thirty pages in length, excluding the caption, indices, exhibits, and signature pages. (iv)
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| Filing 136 APPLICATION to Exceed Page Limitation Opposition to Motion to Dismiss filed by Plaintiff Commodity Futures Trading Commission. (Attachments: #1 Proposed Order) (Ashley, Clemon) |
| Filing 135 Notice of Appearance or Withdrawal of Counsel: for attorney Paul Anthony Rigali counsel for Defendants Safeguard Metals LLC, Jeffrey Santulan. Adding JEREMY T. VARON as counsel of record for SAFEGUARD METALS LLC and JEFFREY S. SANTULAN for the reason indicated in the G-123 Notice. Filed by DEFENDANTS SAFEGUARD METALS LLC and JEFFREY S. SANTULAN. (Rigali, Paul) |
| Filing 134 Notice of Appearance or Withdrawal of Counsel: for attorney Kelly Suk counsel for Plaintiff Iowa Insurance Commissioner, Douglas M. Ommen. Adam J. Kenworthy is no longer counsel of record for the aforementioned party in this case for the reason indicated in the G-123 Notice. Filed by Plaintiff Iowa Insurance Division. (Suk, Kelly) |
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Filing 133
MINUTE (IN CHAMBERS) ORDER GRANTING IN PART AND DENYING IN PART EX PARTE APPLICATION TO EXCUSE STATE LEAD TRIAL COUNSEL FROM ATTENDING THE SCHEDULING CONFERENCE AND MOTION TO DISMISS HEARING, OR ALTERNATIVELY, TO ALLOW VIRTUAL APPEARANCES [filed 6/14/22; Docket No. #126 ] by Judge John F. Walter. Plaintiffs' Application is DENIED as moot as it relates to the Scheduling Conference. Plaintiffs' Application is GRANTED to the extent it seeks to excuse the States' lead trial counsel from in-person attendance at the hearing on Defendants Motion to Dismiss on August 22, 2022. (iv)
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| Filing 132 NOTICE OF MOTION AND MOTION to Dismiss FIRST AMENDED COMPLAINT filed by DEFENDANTS Safeguard Metals LLC, Jeffrey Santulan. Motion set for hearing on 8/22/2022 at 01:30 PM before Judge John F. Walter. (Attachments: #1 Proposed Order) (Rigali, Paul) |
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Filing 131
SCHEDULING AND CASE MANAGEMENT ORDER by Judge John F. Walter.The purpose of this Order is to notify the parties and their counsel of the deadlines and the schedule that will govern this action. Pretrial Conference set for 11/3/2023 at 8:00 AM. Hearing on Motions in Limine; Disputed Jury Instructions set for 11/17/2023 at 8:00 AM. Jury Trial set for 11/28/2023 at 8:30 AM. SEE ORDER FOR DETAILS. (iv)
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Filing 130
ORDER VACATING SCHEDULING CONFERENCE, REFERRAL TO PRIVATE MEDIATION, and DISMISSING ANY UNSERVED DOE DEFENDANTS by Judge John F. Walter. The Court has reviewed the parties' Joint Rule 26(f) Report and finds that a Scheduling Conference is not necessary. The hearing on June 27, 2022 is vacated and taken off calendar. A Scheduling and Case Management Order will issue. Any unserved DOE defendants are dismissed at this time.The Court, having considered the parties' Request: ADR Procedure Selection, the Notice toParties of Court-Directed ADR Program, or the report submitted by the parties pursuant to Fed.R. Civ. P. 26(f) and Civil L.R. 26-1, hereby:ORDERS this case referred to: ADR PROCEDURE NO. 3: (Private mediation). The ADR proceeding is to be completed no later than: April 3, 2023. The Joint Report re: Results of Settlement Conference due on: April 7, 2023. (iv)
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| Filing 129 Notice of Appearance or Withdrawal of Counsel: for attorney Paul Anthony Rigali counsel for Defendants Safeguard Metals LLC, Jeffrey Santulan. Adding MEHRUNISA RANJHA as counsel of record for SAFEGUARD METALS LLC and JEFFREY S. SANTULAN for the reason indicated in the G-123 Notice. Filed by DEFENDANTS SAFEGUARD METALS LLC and JEFFREY S. SANTULAN. (Rigali, Paul) |
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Filing 128
ORDER GRANTING STIPULATION TO CONTINUE HEARING DATE ON DEFENDANTS' MOTION TO DISMISS THE FIRST AMENDED COMPLAINT #125 by Judge John F. Walter. Plaintiffs' deadline to respond to Defendants' Motion to Dismiss the First Amended Complaint is extended to July 22, 2022; Defendants' deadline to file reply papers is extended to August 5, 2022. The hearing on Defendants' Motion to Dismiss the First Amended Complaint will be held on August 22, 2022 at 1:30 a.m. (iv) Modified on 6/22/2022 (sr).
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| Filing 127 NOTICE OF NON-OPPOSITION to First EX PARTE APPLICATION for Order for to Excuse State Lead Trial Counsel from Attending Scheduling Conference and Hearing on MTD, or in the alternative, to Allow Virtual Appearance #126 filed by Defendants Safeguard Metals LLC, Jeffrey Santulan. (Rigali, Paul) |
| Filing 126 First EX PARTE APPLICATION for Order for to Excuse State Lead Trial Counsel from Attending Scheduling Conference and Hearing on MTD, or in the alternative, to Allow Virtual Appearance filed by Plaintiff California Department of Financial Protection and Innovation. (Attachments: #1 Memorandum, #2 Declaration, #3 Proposed Order) (Suk, Kelly) |
| Filing 125 Joint STIPULATION to Continue the Hearing Date on Defendant's Motion to Dismiss the First Amended Complaint to August 22, 2022 filed by Plaintiff Commodity Futures Trading Commission. (Attachments: #1 Proposed Order Granting the Stipulation to Continue Hearing Date on Defendant's Motion to Dismiss the First Amended Complaint)(Ashley, Clemon) |
| Filing 124 RULE 26(f) JOINT REPORT filed by Plaintiff Commodity Futures Trading Commission. (Ashley, Clemon) |
| Filing 123 STATEMENT OF COMPLIANCE WITH LOCAL RULE 7-3 RE DEFENDANTS MOTION TO DISMISS FIRST AMENDED COMPLAINT filed by Defendants Safeguard Metals LLC, Jeffrey Santulan (Rigali, Paul) |
| Filing 122 DECLARATION of Paula K. Bouldon; Amanda K. Robinson; James M. Rankin; Chad M. Kohler; Jennifer Korb Second Omnibus Declarations of Lead Trial Counsel filed by Plaintiff California Department of Financial Protection and Innovation. (Suk, Kelly) |
| Filing 121 NOTICE of Appearance filed by attorney James Anthony Penry on behalf of Plaintiff North Carolina Department of the Secretary of State (Attorney James Anthony Penry added to party North Carolina Department of the Secretary of State(pty:pla))(Penry, James) |
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Filing 120
ORDER GRANTING DEFENDANTS APPLICATION FOR EXTENSION OF TIME TO RESPOND TO FIRST AMENDED COMPLAINT by Judge John F. Walter. Before the Court is Defendants SAFEGUARD METALS LLC and JEFFREY S. SANTULANs Application For Extension of Time to Respond to First Amended Complaint (Application). Plaintiffs filed a First Amended Complaint asserting 55 additional causes of action, four new parties, and new factual allegations. The current deadline to respond to the First Amended Complaint is June 8, 2022. Defendants filed an Application seeking a brief extension of time to respond to the new allegations and claims raised in the First Amended Complaint. The Court, having considered the Application, and for GOOD CAUSE shown, hereby GRANTS the Application. It is hereby ORDERED that Defendants deadline to respond to the First Amended Complaint is extended to June 24, 2022. IT IS SO ORDERED. (rolm)
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Filing 119
ORDER ON APPLICATION OF NON-RESIDENT ATTORNEY TO APPEAR IN A SPECIFIC CASE PRO HAC VICE by Judge John F. Walter. APPLICATION to Appear Pro Hac Vice on behalf of Plaintiff South Carolina Secretary of State Mark Hammond, designating Kelly Suk as local counsel. granting #111 Non-Resident Attorney Shannon A. Wiley (rolm)
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Filing 118
ORDER ON APPLICATION OF NON-RESIDENT ATTORNEY TO APPEAR IN A SPECIFIC CASE PRO HAC VICE by Judge John F. Walter. APPLICATION to Appear Pro Hac Vice on behalf of Movant Utah Division of Securities, designating Kelly Suk as local counsel. granting #110 Non-Resident Attorney Jennifer R Korb (rolm)
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Filing 117
ORDER ON APPLICATION OF NON-RESIDENT ATTORNEY TO APPEAR IN A SPECIFIC CASE PRO HAC VICE by Judge John F. Walter. APPLICATION to Appear Pro Hac Vice on behalf of Plaintiff Ohio Department of Commerce, Division of Securities, designating Kelly Suk as local counsel. granting #109 Non-Resident Attorney Chad M. Kohler (rolm)
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| Filing 116 APPLICATION to Extend Time to File Answer to 6/24/2022 re Amended Complaint/Petition, #104 filed by DEFENDANTS Safeguard Metals LLC, Jeffrey Santulan. (Attachments: #1 Proposed Order) (Rigali, Paul) |
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Filing 115
ORDER ON APPLICATION OF NON-RESIDENT ATTORNEY TO APPEAR IN A SPECIFIC CASE PRO HAC VICE #108 by Judge John F. Walter. APPLICATION to Appear Pro Hac Vice on behalf of Plaintiff Attorney General Alan Wilson, South Carolina Attorney General, designating Kelly Suk as local counsel. granting #108 Non-Resident Attorney Andrew N. Cole (rolm)
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Filing 114
ORDER ON APPLICATION OF NON-RESIDENT ATTORNEY TO APPEAR IN A SPECIFIC CASE PRO HAC VICE #107 by Judge John F. Walter. APPLICATION to Appear Pro Hac Vice on behalf of Plaintiff Iowa Insurance Commissioner, Douglas M. Ommen, designating Kelly Suk as local counsel. granting #107 Non-Resident Attorney Amanda K. Robinson (rolm)
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Filing 113
ORDER ON APPLICATION OF NON-RESIDENT ATTORNEY TO APPEAR IN A SPECIFIC CASE PRO HAC VICE by Judge John F. Walter. APPLICATION to Appear Pro Hac Vice on behalf of Plaintiff Iowa Insurance Commissioner, Douglas M. Ommen, designating Kelly Suk as local counsel. granting #106 Non-Resident Attorney Adam J Kenworthy (rolm)
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Filing 112
ORDER DENYING AS MOOT DEFENDANTS MOTION TO DISMISS COMPLAINT [filed 5/4/22; Docket No. 101] by Judge John F. Walter. On May 25, 2022, Plaintiffs filed a First Amended Complaint for Injunctive Relief, Civil Monetary Penalties, and Other Equitable Relief (FAC). In light of Plaintiffs filing a FAC, Defendants Motion is DENIED as moot. IT IS SO ORDERED. denying #101 MOTION to Dismiss Case (rolm)
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| Filing 111 First APPLICATION of Non-Resident Attorney Shannon A. Wiley to Appear Pro Hac Vice on behalf of Plaintiff South Carolina Secretary of State Mark Hammond (Pro Hac Vice Fee - $500 Fee Paid, Receipt No. ACACDC-33363284) filed by Local Counsel South Carolina Secretary of State Mark Hammond. (Attachments: #1 Proposed Order) (Attorney Kelly Suk added to party South Carolina Secretary of State Mark Hammond(pty:pla)) (Suk, Kelly) |
| Filing 110 First APPLICATION of Non-Resident Attorney Jennifer R. Korb to Appear Pro Hac Vice on behalf of Movant Utah Division of Securities (Pro Hac Vice Fee - $500 Fee Paid, Receipt No. ACACDC-33363224) filed by Local Counsel Utah Division of Securities. (Attachments: #1 Proposed Order) (Attorney Kelly Suk added to party Utah Division of Securities(pty:bkmov)) (Suk, Kelly) |
| Filing 109 First APPLICATION of Non-Resident Attorney Chad M. Kohler to Appear Pro Hac Vice on behalf of Plaintiff Ohio Department of Commerce, Division of Securities (Pro Hac Vice Fee - $500 Fee Paid, Receipt No. ACACDC-33363004) filed by Local Counsel Ohio Department of Commerce, Division of Securities. (Attachments: #1 Proposed Order) (Attorney Kelly Suk added to party Ohio Department of Commerce, Division of Securities (pty:pla)) (Suk, Kelly) |
| Filing 108 First APPLICATION of Non-Resident Attorney Andrew N. Cole to Appear Pro Hac Vice on behalf of Plaintiff South Carolina Attorney General (Pro Hac Vice Fee - $500 Fee Paid, Receipt No. ACACDC-33362914) filed by Local Counsel South Carolina Attorney General. (Attachments: #1 Proposed Order) (Suk, Kelly) |
| Filing 107 First APPLICATION of Non-Resident Attorney Amanda K. Robinson to Appear Pro Hac Vice on behalf of Plaintiff Iowa Insurance Commissioner, Douglas M. Ommen (Pro Hac Vice Fee - $500 Fee Paid, Receipt No. ACACDC-33362794) filed by Local Counsel Iowa Insurance Commissioner, Douglas M. Ommen. (Attachments: #1 Proposed Order) (Suk, Kelly) |
| Filing 106 First APPLICATION of Non-Resident Attorney Adam J. Kenworthy to Appear Pro Hac Vice on behalf of Plaintiff Iowa Insurance Commissioner, Douglas M. Ommen (Pro Hac Vice Fee - $500 Fee Paid, Receipt No. ACACDC-33362649) filed by Local Counsel Iowa Insurance Commissioner, Douglas M. Ommen. (Attachments: #1 Proposed Order) (Attorney Kelly Suk added to party Iowa Insurance Commissioner, Douglas M. Ommen(pty:pla)) (Suk, Kelly) |
| Filing 105 NOTICE of Errata to Plaintiffs' First Amended Complaint filed by Plaintiff Commodity Futures Trading Commission. (Ashley, Clemon) |
| Filing 104 First AMENDED COMPLAINT against Defendants Safeguard Metals LLC, Jeffrey Santulan amending Complaint (Attorney Civil Case Opening) #1 , filed by Plaintiff Commodity Futures Trading Commission (Attachments: #1 Redline Version of the First Amended Complaint)(Ashley, Clemon) |
| Filing 103 NOTICE OF NON-OPPOSITION to NOTICE OF MOTION AND MOTION to Dismiss Case #101 filed by Plaintiff Commodity Futures Trading Commission. (Ashley, Clemon) |
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Filing 102
COURT ORDER by Judge John F. Walter. Counsel are hereby notified that a Scheduling Conference has been set for June 27, 2022 at 1:15 p.m. before Judge John F. Walter in Courtroom 7A, 350 W. 1st St, Los Angeles, CA 90012. Lead Trial Counsel shall attend all proceedings before this Court, including the Scheduling Conference. Counsel are directed to comply with Rule 26 of the Federal Rules of Civil Procedure and Local Rule 26-1 in a timely fashion and to file a Joint Report, on or before June 13, 2022. The title page of the Joint Report must state the date and time of the Scheduling Conference. (SEE DOCUMENT FOR FURTHER DETAILS.) (rolm)
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| Filing 101 NOTICE OF MOTION AND MOTION to Dismiss Case filed by Defendants Safeguard Metals LLC, Jeffrey Santulan. Motion set for hearing on 6/6/2022 at 01:30 PM before Judge John F. Walter. (Attachments: #1 Proposed Order) (Rigali, Paul) |
| Filing 100 Notice of Appearance or Withdrawal of Counsel: for attorney Chloe N. Coleman counsel for Defendants Safeguard Metals LLC, Jeffrey Santulan. Adding Chlo N. Coleman as counsel of record for SAFEGUARD METALS LLC and JEFFREY S. SANTULAN for the reason indicated in the G-123 Notice. Filed by Defendants SAFEGUARD METALS LLC and JEFFREY S. SANTULAN. (Attorney Chloe N. Coleman added to party Safeguard Metals LLC(pty:dft), Attorney Chloe N. Coleman added to party Jeffrey Santulan(pty:dft))(Coleman, Chloe) |
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Filing 99
ORDER DENYING STIPULATION FOR EXTENSION OF TIME TO FILE RESPONSIVE PLEADINGS #94 by Judge John F. Walter. DENIED BY ORDER OF THE COURT. (iv)
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| Filing 98 Notice of Appearance or Withdrawal of Counsel: for attorney Catherine Sima Owens counsel for Defendants Safeguard Metals LLC, Jeffrey Santulan. Adding Catherine S. Owens as counsel of record for SAFEGUARD METALS LLC AND JEFFREY S. SANTULAN for the reason indicated in the G-123 Notice. Filed by Defendants SAFEGUARD METALS LLC AND JEFFREY S. SANTULAN. (Attorney Catherine Sima Owens added to party Safeguard Metals LLC(pty:dft), Attorney Catherine Sima Owens added to party Jeffrey Santulan(pty:dft))(Owens, Catherine) |
| Filing 97 CERTIFICATE of Interested Parties filed by Defendants Safeguard Metals LLC, Jeffrey Santulan, identifying Jeffrey S. Santulan, Safeguard Metals LLC, Commodity Futures Trading Commission, Alabama Securities Commission, Arizona Corporation Commission, Arkansas Securities Department, California Department of Financial Protection and Innovation, State of Connecticut Department of Banking, State of Florida, Office of Financial Regulation, State of Hawaii, Department of Commerce and Consumer Affairs, State of Idaho, Department of Finance, Office of The Secretary of State, Illinois Securities Department, Indiana Securities Division, Kentucky Department of Financial Institutions, State of Maryland Ex Rel Maryland Securities Commissioner, Attorney General Dana Nessel on behalf of the People of the State of Michigan, Mississippi Secretary of State, Missouri Commissioner of Securities, Nebraska Department of Banking & Finance, New Mexico Securities Division, Attorney General of the State of New York, North Carolina Department of The Secretary of State, Oklahoma Department of Securities, Oregon Department of Consumer and Business Services, State of South Carolina Office of Attorney General, State of South Dakota Department of Labor & Regulation, Commissioner of The Tennessee Department of Commerce and Insurance, Vermont Department of Financial Regulation, Washington State Department of Financial Institutions, Securities Division, and the State of Wisconsin. (Rigali, Paul) |
| Filing 96 STATEMENT OF COMPLIANCE WITH LOCAL RULE 7-3 RE DEFENDANTS MOTION TO DISMISS filed by Defendants Safeguard Metals LLC, Jeffrey Santulan (Rigali, Paul) |
| Filing 95 DECLARATION of PAUL A. RIGALI LEAD TRIAL COUNSEL filed by Defendants Safeguard Metals LLC, Jeffrey Santulan. (Rigali, Paul) |
| Filing 94 APPLICATION to Continue briefing schedule from 05/04/2022 to 06/15/2022 filed by plaintiff Commodity Futures Trading Commission. Application set for hearing on 8/8/2022 at 01:30 PM before Magistrate Judge Paul L. Abrams. (Attachments: #1 Proposed Order) (Ashley, Clemon) |
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Filing 93
ORDER by Judge John F. Walter: Granting Application of Non-Resident Attorney David Buysse to Appear Pro Hac Vice on behalf of Defendant The State of Illinois Office of the Secretary of State, Illinois Securities Department, designating Kelly Suk as local counsel #92 . (iv)
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| Filing 92 Second APPLICATION of Non-Resident Attorney David F. Buysse to Appear Pro Hac Vice on behalf of Plaintiff Office of the Secretary of State, Illinois Securities Department (Pro Hac Vice Fee - $500 Previously Paid on 3/28/2022, Receipt No. 33018603) filed by Local Counsel Office of the Secretary of State, Illinois Securities Department. (Attachments: #1 Proposed Order) (Suk, Kelly) |
| Filing 91 STIPULATION Extending Time to Answer the complaint as to Jeffrey Santulan answer now due 5/4/2022; Safeguard Metals LLC answer now due 5/4/2022, re Complaint (Attorney Civil Case Opening) #1 filed by Defendants Jeffrey Santulan; Safeguard Metals LLC.(Attorney Paul Anthony Rigali added to party Safeguard Metals LLC(pty:dft), Attorney Paul Anthony Rigali added to party Jeffrey Santulan(pty:dft))(Rigali, Paul) |
| Filing 90 NOTICE of Deficiency in Electronically Filed Pro Hac Vice Application RE: First APPLICATION of Non-Resident Attorney David F. Buysse to Appear Pro Hac Vice on behalf of Plaintiff Office of the Secretary of State, Illinois Securities Department (Pro Hac Vice Fee - $500 Fee Paid, Receipt No. ACACDC-33018603) #88 . The following error(s) was/were found: Local Rule 5-4.3.4 Application not hand-signed. Local Rule 83-2.1.3.3(d) Attached Certificate of Good Standing not issued within 30 days prior to filing of the application. Other error(s) with document(s): Please note that electronic, image or stamp signatures are not allowed Case information is incomplete. DJ and MJ initials missing on application and proposed order. (lt) |
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Filing 89
ORDER by Judge John F. Walter: Granting Application of Non-Resident Attorney David Buysse to Appear Pro Hac Vice on behalf of Plaintiff The State of Illinois, designating Kelly Suk as local counsel #88 . (iv)
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| Filing 88 First APPLICATION of Non-Resident Attorney David F. Buysse to Appear Pro Hac Vice on behalf of Plaintiff Office of the Secretary of State, Illinois Securities Department (Pro Hac Vice Fee - $500 Fee Paid, Receipt No. ACACDC-33018603) filed by Local Counsel Office of the Secretary of State, Illinois Securities Department. (Attachments: #1 Proposed Order) (Suk, Kelly) |
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Filing 87
ORDER by Judge John F. Walter: Granting Application of Non-Resident Attorney James Rankin to Appear Pro Hac Vice on behalf of Lynn Fitch, the Attorney General for the State of Mississippi, designating Kelly Suk as local counsel #86 . (iv)
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| Filing 86 First APPLICATION of Non-Resident Attorney James M. Rankin to Appear Pro Hac Vice on behalf of Plaintiff Mississippi Secretary of State (Pro Hac Vice Fee - $500 Fee Paid, Receipt No. ACACDC-32937819) filed by Local Counsel Mississippi Secretary of State. (Attachments: #1 Proposed Order) (Suk, Kelly) |
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Filing 85
Text Entry Order vacating docket entry 84 and reinstating Seth Shannon as Pro Hac Vice counsel in this matter. The Court has now been advised by the Fiscal Department of the following: The $500.00 check that was processed on February 14, 2022 was a duplicate payment. The State of Mississippi inadvertently issued two (2) checks and they placed a stop payment on one of the checks without informing the Court. The original payment was processed on February 4, 2022 #62 . The application granting Seth Shannon to appear Pro Hac Vice was granted by Judge Walter on February 7, 2022 #75 . THERE IS NO PDF DOCUMENT ASSOCIATED WITH THIS ENTRY. (sr) TEXT ONLY ENTRY
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| Filing 84 Text Entry Order VACATING docket entry #75 Granting Application Non-Resident Attorney Seth Shannon to Appear Pro Hac Vice on behalf of Plaintiff Mississippi Secretary of State, designating Kelly Suk as local counsel #62 . The Court has been advised that the check in payment of Pro Hac Vice, received from The State of Mississippi-Department of Finance and Administration under case# 2:22-cv-00691-JFW-SK Commodity Futures Trading Commission et al v. Safeguard Metals LLC et al was returned to us by the bank. Accordingly, Seth W. Shannon will be terminated as Pro Hac Vice Counsel in this matter.Transaction Date: 2-14-2022Applicant's Name: Seth W. ShannonDate of Notification of Returned Check: 2-22-2022Returned Reason: Stop Payment THERE IS NO PDF DOCUMENT ASSOCIATED WITH THIS ENTRY. (sr) TEXT ONLY ENTRY |
| Filing 83 Notice of Appearance or Withdrawal of Counsel: for attorney Danielle A Stoumbos counsel for Plaintiff California Department of Financial Protection and Innovation. Adding Danielle A. Stoumbos as counsel of record for California Department of Financial Protection and Innovation for the reason indicated in the G-123 Notice. Filed by plaintiff Danielle A. Stoumbos. (Attorney Danielle A Stoumbos added to party California Department of Financial Protection and Innovation (pty:pla))(Stoumbos, Danielle) |
| Filing 82 Notice of Appearance or Withdrawal of Counsel: for attorney Kevin M Kreutz counsel for Plaintiff Commissioner of the Tennessee Department of Commerce and Insurance. Adding Kevin M Kreutz as counsel of record for Commissioner of the Tennessee Department of Commerce and Insurance for the reason indicated in the G-123 Notice. Filed by Plaintiff Commissioner of the Tennessee Department of Commerce and Insurance. (Attorney Kevin M Kreutz added to party Commissioner of the Tennessee Department of Commerce and Insurance(pty:pla))(Kreutz, Kevin) |
| Filing 81 DECLARATION of Stephen P. Feaga; Christopher Nichols; Joseph Joslin; Kelly Suk; James W. Caley; George C. Bedell III; Rayni M. Nakamura-Watanabe; Loren Messerly; Jefferson S. Garn; Gary A. Stephens; Max F. Brauer; Michael S. Hill; Seth Shannon; Steven M. Kretzer; Joshua Shasserre; Alissa N. Berger; Tayana Trakht; Sherrell Forbes; Robert Fagnant; Daniel J. Rice; Jonathan Williams; Clayton Greub; Kevin M. Kreutz; Jennifer Rood; Stephen S. Manning; Laura E. McFarlane filed by Plaintiff California Department of Financial Protection and Innovation. (Suk, Kelly) |
| Filing 80 FINANCIAL ENTRY: Received $500.00 from Mississippi State. Re: Order on Motion to Appear Pro Hac Vice #75 . Receipt number LA234565. (jo) |
| Filing 79 DECLARATION of Jeff Le Riche re Initial Order upon Filing of Complaint - form only #13 Declaration of Lead Trial Counsel filed by Plaintiff Commodity Futures Trading Commission. (Ashley, Clemon) |
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Filing 78
ORDER by Judge John F. Walter: Granting Application of Non-Resident Attorney Stephen Manning to Appear Pro Hac Vice on behalf of Plaintiff Washington State Department of Financial Institutions, designating Kelly Suk as local counsel #67 . (iv)
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Filing 77
ORDER by Judge John F. Walter: Granting Application of Non-Resident Attorney Clayton Grueb to Appear Pro Hac Vice on behalf of Plaintiff South Dakota Department of Labor, designating Kelly Suk as local counsel. #64 (iv)
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Filing 76
ORDER by Judge John F. Walter: Granting Appliction Non-Resident Attorney Alissa Berger to Appear Pro Hac Vice on behalf of Plaintiff New Mexico Securities Division, designating Kelly Suk as local counsel #63 . (iv)
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Filing 75
ORDER by Judge John F. Walter: Granting Application Non-Resident Attorney Seth Shannon to Appear Pro Hac Vice on behalf of Plaintiff Mississippi Secretary of State, designating Kelly Suk as local counsel #62 . (iv)
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Filing 74
ORDER by Judge John F. Walter: Granting Application Non-Resident Attorney Michael Hill to Appear Pro Hac Vice on behalf of Attorney General Dana Nessel, designating Kelly Suk as local counsel #61 . (iv)
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Filing 73
ORDER by Judge John F. Walter: Granting Application of Non-Resident Attorney Max Brauer to Appear Pro Hac Vice on behalf of Plaintiff State of Maryland, designating Kelly Suk as local counsel #59 . (iv)
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Filing 72
ORDER by Judge John F. Walter: Granting Application of Non-Resident Attorney Gary Stephens to Appear Pro Hac Vice on behalf of Plaintiff Commonwealth of Kentucky, Department of Financial Institutions, designating Kelly Suk as local counsel #58 . (iv)
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Filing 71
ORDER by Judge John F. Walter: Granting Application of Non-Resident Attorney Anne Gunter to Appear Pro Hac Vice on behalf of Plaintiff Alabama Securities Commission, designating Kelly Suk as local counsel #57 . (iv)
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Filing 70
ORDER by Judge John F. Walter: Granting Application of Non-Resident Attorney Clemon Ashley to Appear Pro Hac Vice on behalf of Plaintiff Commodity Futures Trading Commission, designating Kelly Suk as local counsel #56 . (iv)
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Filing 69
ORDER by Judge John F. Walter: Granting Application of Non-Resident Attorney Stephen Feaga to Appear Pro Hac Vice on behalf of Defendant Alabama Securities Commission, designating Kelly Suk as local counsel #55 . (iv)
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Filing 68
ORDER by Judge John F. Walter: Granting Application of Non-Resident Attorney Christopher Nichols to Appear Pro Hac Vice on behalf of Defendant Arizona Corporation Commission, designating Kelly Suk as local counsel #50 . (iv)
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| Filing 67 Second APPLICATION of Non-Resident Attorney Stephen Manning to Appear Pro Hac Vice on behalf of Plaintiff Washington State Department of Financial Institutions (Pro Hac Vice Fee - $500 Previously Paid on 2/4/2022, Receipt No. LA234080) filed by Plaintiff Washington State Department of Financial Institutions. (Attachments: #1 Proposed Order) (Suk, Kelly) |
| Filing 66 NOTICE of Deficiency in Electronically Filed Pro Hac Vice Application RE: APPLICATION of Non-Resident Attorney Stephen Manning to Appear Pro Hac Vice on behalf of Plaintiff Washington State Department of Financial Institutions (Pro Hac Vice Fee - Paid) #65 . The following error(s) was/were found: Local Rule 83-2.1.3.3(a) Application not complete: state courts to which the applicant has been admitted are not listed. Other error(s) with document(s): Failed to list Washington bar membership. (lt) |
| Filing 65 APPLICATION of Non-Resident Attorney Stephen Manning to Appear Pro Hac Vice on behalf of Plaintiff Washington State Department of Financial Institutions (Pro Hac Vice Fee - Paid) filed by Plaintiff Washington State Department of Financial Institutions. (Attachments: #1 Proposed Order) (Attorney Stephen S. Manning added to party Washington State Department of Financial Institutions(pty:pla)) (lt) |
| Filing 64 APPLICATION of Non-Resident Attorney Clayton E. Grueb to Appear Pro Hac Vice on behalf of Plaintiff South Dakota Department of Labor and Regulation (Pro Hac Vice Fee - Paid) filed by Plaintiff South Dakota Department of Labor and Regulation. (Attachments: #1 Proposed Order) (Attorney Clayton E. Grueb added to party South Dakota Department of Labor and Regulation (pty:pla)) (lt) |
| Filing 63 APPLICATION of Non-Resident Attorney Alissa N. Berger to Appear Pro Hac Vice on behalf of Plaintiff New Mexico Securities Division (Pro Hac Vice Fee - Paid) filed by Plaintiff New Mexico Securities Division. (Attachments: #1 Proposed Order) (Attorney Alissa N. Berger added to party New Mexico Securities Division(pty:pla)) (lt) |
| Filing 62 APPLICATION of Non-Resident Attorney Seth W. Shannon to Appear Pro Hac Vice on behalf of Plaintiff Mississippi Secretary of State (Pro Hac Vice Fee - Paid) filed by Plaintiff Mississippi Secretary of State. (Attachments: #1 Proposed Order) (Attorney Seth W. Shannon added to party Mississippi Secretary of State(pty:pla)) (lt) |
| Filing 61 APPLICATION of Non-Resident Attorney Michael S. Hill to Appear Pro Hac Vice on behalf of Plaintiff Attorney General Dana Nessel on Behalf of the People of the State of Michigan (Pro Hac Vice Fee - Paid) filed by Plaintiff Attorney General Dana Nessel on Behalf of the People of the State of Michigan. (Attachments: #1 Proposed Order) (Attorney Michael S. Hill added to party Attorney General Dana Nessel on Behalf of the People of the State of Michigan(pty:pla)) (lt) |
| Filing 60 NOTICE of Deficiency in Electronically Filed Pro Hac Vice Application RE: APPLICATION of Non-Resident Attorney Max F. Brauer to Appear Pro Hac Vice on behalf of Plaintiff State of Maryland Ex Rel the Maryland Securities Commissioner (Pro Hac Vice Fee - Paid) #59 . The following error(s) was/were found: Local Rule 83-2.1.3.3(d) Certificate of Good Standing not attached for every state court listed to which the applicant has been admitted. Other error(s) with document(s): NY missing. (lt) |
| Filing 59 APPLICATION of Non-Resident Attorney Max F. Brauer to Appear Pro Hac Vice on behalf of Plaintiff State of Maryland Ex Rel the Maryland Securities Commissioner (Pro Hac Vice Fee - Paid) filed by Plaintiff State of Maryland Ex Rel the Maryland Securities Commissioner. (Attachments: #1 Proposed Order) (Attorney Max F. Brauer added to party State of Maryland Ex Rel the Maryland Securities Commissioner(pty:pla)) (lt) |
| Filing 58 APPLICATION of Non-Resident Attorney Gary A. Stephens to Appear Pro Hac Vice on behalf of Plaintiff Kentucky Department of Financial Institutions (Pro Hac Vice Fee - Paid) filed by Plaintiff Kentucky Department of Financial Institutions. (Attachments: #1 Proposed Order) (Attorney Gary A. Stephens added to party Kentucky Department of Financial Institutions(pty:pla)) (lt) |
| Filing 57 APPLICATION of Non-Resident Attorney Anne W. Gunter to Appear Pro Hac Vice on behalf of Plaintiff Alabama Securities Commission (Pro Hac Vice Fee - Paid) filed by Plaintiff Alabama Securities Commission. (Attachments: #1 Proposed Order) (Attorney Anne W. Gunter added to party Alabama Securities Commission(pty:pla)) (lt) |
| Filing 56 Second APPLICATION of Non-Resident Attorney Clemon D. Ashley to Appear Pro Hac Vice on behalf of Plaintiff Commodity Futures Trading Commission (Pro Hac Vice Fee - Not Required for US Government Attorney) filed by Plaintiff Commodity Futures Trading Commission. (Attachments: #1 Proposed Order) (Suk, Kelly) |
| Filing 55 APPLICATION of Non-Resident Attorney Stephen P. Feaga to Appear Pro Hac Vice on behalf of Plaintiff Alabama Securities Commission (Pro Hac Vice Fee - Paid) filed by Plaintiff Alabama Securities Commission. (Attachments: #1 Proposed Order) (Attorney Stephen P. Feaga added to party Alabama Securities Commission(pty:pla)) (lt) |
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Filing 54
ORDER by Judge John F. Walter: Granting Application of Non-Resident Attorney Laura McFarlane to Appear Pro Hac Vice on behalf of Plaintiff The State of Wisconsin, designating Kelly Suk as local counsel #33 . (iv)
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Filing 53
ORDER by Judge John F. Walter: Granting Application of Non-Resident Attorney Jennifer Rood to Appear Pro Hac Vice on behalf of Plaintiff Vermont Department of Financial Regulation, designating Kelly Suk as local counsel #30 . (iv)
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Filing 52
ORDER by Judge John F. Walter: Granting Application of Non-Resident Attorney Jonathan Williams to Appear Pro Hac Vice on behalf of Plaintiff Attorney General Alan Wilson, designating Kelly Suk as local counsel #29 . (iv)
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Filing 51
ORDER by Judge John F. Walter: Granting Application of Non-Resident Attorney Daniel Rice to Appear Pro Hac Vice on behalf of Plaintiff Oregon Department of Consumer and Business Services, designating Kelly Suk as local counsel #28 . (iv)
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| Filing 50 APPLICATION of Non-Resident Attorney Christopher A. Nichols to Appear Pro Hac Vice on behalf of Plaintiff Arizona Corporation Commission (Pro Hac Vice Fee - Paid) filed by Plaintiff Arizona Corporation Commission. (Attachments: #1 Proposed Order) (Attorney Christopher A. Nichols added to party Arizona Corporation Commission(pty:pla)) (lt) |
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Filing 49
ORDER by Judge John F. Walter: Granting Application of Non-Resident Attorney Robert Fagnant to Appear Pro Hac Vice on behalf of Plaintiff Oklahoma Department of Securities, designating Kelly Suk as local counsel #27 . (iv)
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Filing 48
ORDER by Judge John F. Walter: Granting Application of Non-Resident Attorney Sherrell Forbes to Appear Pro Hac Vice on behalf of Plaintiff North Carolina Department of the Secretary of State, designating Kelly Suk as local counsel #26 . (iv)
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Filing 47
ORDER by Judge John F. Walter: Granting Application of Non-Resident Attorney Tatyana Trakht to Appear Pro Hac Vice on behalf of Plaintiff The People of the State of New York, designating Kelly Suk as local counsel #25 . (iv)
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Filing 46
ORDER by Judge John F. Walter: Granting Application of Non-Resident Attorney Joshua Shassere to Appear Pro Hac Vice on behalf of Plaintiff Nebraska Department of Banking and Finance, designating Kelly Suk as local counsel #24 . (iv)
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Filing 45
ORDER by Judge John F. Walter: Granting Application of Non-Resident Attorney Steven Kretzer to Appear Pro Hac Vice on behalf of Plaintiff Missouri Commissioner of Securities, designating Kelly Suk as local counsel #23 . (iv)
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Filing 44
ORDER by Judge John F. Walter: Granting Application of Non-Resident Attorney Jefferson Garn to Appear Pro Hac Vice on behalf of Plaintiff Indiana Secretary of State, designating Kelly Suk as local counsel #22 . (iv)
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Filing 43
ORDER by Judge John F. Walter: Granting Application of Non-Resident Attorney Paula Bouldon to Appear Pro Hac Vice on behalf of Plaintiff Office of Illinois Secretary of State, Securities Department, designating Kelly Suk as local counsel #21 . (iv)
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Filing 42
ORDER by Judge John F. Walter: Granting Application of Non-Resident Attorney George Bedell to Appear Pro Hac Vice on behalf of Plaintiff State of Florida, Office of Financial Regulation, designating Kelly Suk as local counsel #20 . (iv)
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Filing 41
ORDER by Judge John F. Walter: Granting Application of Non-Resident Attorney Loren Messerly to Appear Pro Hac Vice on behalf of Plaintiff State of Idaho, Department of Finance, designating Kelly Suk as local counsel #19 . (iv)
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Filing 40
ORDER by Judge John F. Walter: Granting Application of Non-Resident Attorney Rayni Nakamura-Watanabe to Appear Pro Hac Vice on behalf of Plaintiff State of Hawaii, Department of Commerce and Consumer Affairs, designating Kelly Suk as local counsel #18 . (iv)
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Filing 39
ORDER by Judge John F. Walter: Granting Application of Non-Resident Attorney James Caley to Appear Pro Hac Vice on behalf of Plaintiff State of Connecticut Department of Banking, designating Kelly Suk as local counsel #17 . (iv)
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Filing 38
ORDER by Judge John F. Walter: Granting Application of Non-Resident Attorney Joseph Joslin to Appear Pro Hac Vice on behalf of Plaintiff Arkansas Securities Department, designating Kelly Suk as local counsel #16 . (iv)
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Filing 37
ORDER by Judge John F. Walter: Granting Application of Non-Resident Attorney Jeffrey Le Riche to Appear Pro Hac Vice on behalf of Plaintiff United States Commodity Futures Trading Commission, designating Kelly Suk as local counsel #15 . (iv)
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| Filing 36 NOTICE of Deficiency in Electronically Filed Pro Hac Vice Application RE: First APPLICATION of Non-Resident Attorney Jefferson S. Garn to Appear Pro Hac Vice on behalf of Plaintiff Indiana Securities Division (Pro Hac Vice Fee - $500 Fee Paid, Receipt No. ACACDC-32734436) #22 . The following error(s) was/were found: Local Rule 83-2.1.3.3(a) Application not complete: state courts to which the applicant has been admitted are not listed. (lt) |
| Filing 35 NOTICE of Deficiency in Electronically Filed Pro Hac Vice Application RE: First APPLICATION of Non-Resident Attorney Clemon D. Ashley to Appear Pro Hac Vice on behalf of Plaintiff California Department of Financial Protection and Innovation (Pro Hac Vice Fee - Not Required for US Government Attorney) #14 . The following error(s) was/were found: Local Rule 83-2.1.3.3(a) Application not complete: state courts to which the applicant has been admitted are not listed. (lt) |
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Filing 34
ORDER by Judge John F. Walter: Granting Application of Non-Resident Attorney Clemon Ashley to Appear Pro Hac Vice on behalf of Plaintiff United States Commodity Futures Trading Commission, designating Kelly Suk as local counsel #14 . (iv)
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| Filing 33 First APPLICATION of Non-Resident Attorney Laura E. McFarlane to Appear Pro Hac Vice on behalf of Plaintiff The State of Wisconsin (Pro Hac Vice Fee - $500 Fee Paid, Receipt No. ACACDC-32737453) filed by Plaintiff The State of Wisconsin. (Attachments: #1 Proposed Order) (Attorney Kelly Suk added to party The State of Wisconsin(pty:pla)) (Suk, Kelly) |
| Filing 32 WAIVER OF SERVICE Returned Executed filed by plaintiff Commodity Futures Trading Commission. upon Jeffrey Santulan waiver sent by Plaintiff on 2/3/2022, answer due 4/4/2022. Waiver of Service signed by Paul A. Rigali. (Buffa, JonMarc) |
| Filing 31 WAIVER OF SERVICE Returned Executed filed by plaintiff Commodity Futures Trading Commission. upon Safeguard Metals LLC waiver sent by Plaintiff on 2/3/2022, answer due 4/4/2022. Waiver of Service signed by Paul A. Rigali. (Buffa, JonMarc) |
| Filing 30 First APPLICATION of Non-Resident Attorney Jennifer Rood to Appear Pro Hac Vice on behalf of Plaintiff Vermont Department of Financial Regulation (Pro Hac Vice Fee - $500 Fee Paid, Receipt No. ACACDC-32734877) filed by Plaintiff Vermont Department of Financial Regulation. (Attachments: #1 Proposed Order) (Attorney Kelly Suk added to party Vermont Department of Financial Regulation(pty:pla)) (Suk, Kelly) |
| Filing 29 First APPLICATION of Non-Resident Attorney Jonathan Williams to Appear Pro Hac Vice on behalf of Plaintiff South Carolina Attorney General (Pro Hac Vice Fee - $500 Fee Paid, Receipt No. ACACDC-32734836) filed by Plaintiff South Carolina Attorney General. (Attachments: #1 Proposed Order) (Attorney Kelly Suk added to party South Carolina Attorney General(pty:pla)) (Suk, Kelly) |
| Filing 28 First APPLICATION of Non-Resident Attorney Daniel Rice to Appear Pro Hac Vice on behalf of Plaintiff Oregon Department of Business and Consumer Services (Pro Hac Vice Fee - $500 Fee Paid, Receipt No. ACACDC-32734802) filed by Plaintiff Oregon Department of Business and Consumer Services. (Attachments: #1 Proposed Order) (Attorney Kelly Suk added to party Oregon Department of Business and Consumer Services(pty:pla)) (Suk, Kelly) |
| Filing 27 First APPLICATION of Non-Resident Attorney Robert Fagnant to Appear Pro Hac Vice on behalf of Plaintiff Oklahoma Department of Securities (Pro Hac Vice Fee - $500 Fee Paid, Receipt No. ACACDC-32734766) filed by Plaintiff Oklahoma Department of Securities. (Attachments: #1 Proposed Order) (Attorney Kelly Suk added to party Oklahoma Department of Securities(pty:pla)) (Suk, Kelly) |
| Filing 26 First APPLICATION of Non-Resident Attorney Sherrell Forbes to Appear Pro Hac Vice on behalf of Plaintiff North Carolina Department of the Secretary of State (Pro Hac Vice Fee - $500 Fee Paid, Receipt No. ACACDC-32734694) filed by Plaintiff North Carolina Department of the Secretary of State. (Attachments: #1 Proposed Order) (Attorney Kelly Suk added to party North Carolina Department of the Secretary of State(pty:pla)) (Suk, Kelly) |
| Filing 25 First APPLICATION of Non-Resident Attorney Tatyana (Tanya) Trakht to Appear Pro Hac Vice on behalf of Plaintiff The People of the State of New York by Letitia James, Attorney General of the State of New York (Pro Hac Vice Fee - $500 Fee Paid, Receipt No. ACACDC-32734639) filed by Plaintiff The People of the State of New York by Letitia James, Attorney General of the State of New York. (Attachments: #1 Proposed Order) (Attorney Kelly Suk added to party The People of the State of New York by Letitia James, Attorney General of the State of New York(pty:pla)) (Suk, Kelly) |
| Filing 24 First APPLICATION of Non-Resident Attorney Joshua Shasserre to Appear Pro Hac Vice on behalf of Plaintiff Nebraska Department of Banking and Finance (Pro Hac Vice Fee - $500 Fee Paid, Receipt No. ACACDC-32734560) filed by Plaintiff Nebraska Department of Banking and Finance. (Attachments: #1 Proposed Order) (Attorney Kelly Suk added to party Nebraska Department of Banking and Finance(pty:pla)) (Suk, Kelly) |
| Filing 23 First APPLICATION of Non-Resident Attorney Steven Kretzer to Appear Pro Hac Vice on behalf of Plaintiff Missouri Commissioner of Securities (Pro Hac Vice Fee - $500 Fee Paid, Receipt No. ACACDC-32734517) filed by Plaintiff Missouri Commissioner of Securities. (Attachments: #1 Proposed Order) (Attorney Kelly Suk added to party Missouri Commissioner of Securities(pty:pla)) (Suk, Kelly) |
| Filing 22 First APPLICATION of Non-Resident Attorney Jefferson S. Garn to Appear Pro Hac Vice on behalf of Plaintiff Indiana Securities Division (Pro Hac Vice Fee - $500 Fee Paid, Receipt No. ACACDC-32734436) filed by Plaintiff Indiana Securities Division. (Attachments: #1 Proposed Order) (Attorney Kelly Suk added to party Indiana Securities Division(pty:pla)) (Suk, Kelly) |
| Filing 21 First APPLICATION of Non-Resident Attorney Paula Bouldon to Appear Pro Hac Vice on behalf of Plaintiff Office of the Secretary of State, Illinois Securities Department (Pro Hac Vice Fee - $500 Fee Paid, Receipt No. ACACDC-32734378) filed by Plaintiff Office of the Secretary of State, Illinois Securities Department. (Attachments: #1 Proposed Order) (Attorney Kelly Suk added to party Office of the Secretary of State, Illinois Securities Department(pty:pla)) (Suk, Kelly) |
| Filing 20 First APPLICATION of Non-Resident Attorney George Bedell to Appear Pro Hac Vice on behalf of Plaintiff State of Florida, Office of Financial Regulation (Pro Hac Vice Fee - $500 Fee Paid, Receipt No. BCACDC-32733674) filed by Plaintiff State of Florida, Office of Financial Regulation. (Attachments: #1 Proposed Order) (Attorney Kelly Suk added to party State of Florida, Office of Financial Regulation(pty:pla)) (Suk, Kelly) |
| Filing 19 First APPLICATION of Non-Resident Attorney Loren Messerly to Appear Pro Hac Vice on behalf of Plaintiff Idaho Department of Finance (Pro Hac Vice Fee - $500 Fee Paid, Receipt No. ACACDC-32733514) filed by Plaintiff Idaho Department of Finance. (Attachments: #1 Proposed Order) (Attorney Kelly Suk added to party Idaho Department of Finance(pty:pla)) (Suk, Kelly) |
| Filing 18 First APPLICATION of Non-Resident Attorney Rayni M. Nakamura-Watanabe to Appear Pro Hac Vice on behalf of Plaintiff State of Hawaii, Department of Commerce and Consumer Affairs (Pro Hac Vice Fee - $500 Fee Paid, Receipt No. ACACDC-32733380) filed by Plaintiff State of Hawaii, Department of Commerce and Consumer Affairs. (Attachments: #1 Proposed Order) (Attorney Kelly Suk added to party State of Hawaii, Department of Commerce and Consumer Affairs(pty:pla)) (Suk, Kelly) |
| Filing 17 First APPLICATION of Non-Resident Attorney James W. Caley to Appear Pro Hac Vice on behalf of Plaintiff State of Connecticut Department of Banking (Pro Hac Vice Fee - $500 Fee Paid, Receipt No. ACACDC-32732999) filed by Plaintiff State of Connecticut Department of Banking. (Attachments: #1 Proposed Order) (Attorney Kelly Suk added to party State of Connecticut Department of Banking(pty:pla)) (Suk, Kelly) |
| Filing 16 First APPLICATION of Non-Resident Attorney Joseph S. Joslin to Appear Pro Hac Vice on behalf of Plaintiff California Department of Financial Protection and Innovation (Pro Hac Vice Fee - $500 Fee Paid, Receipt No. ACACDC-32732814) filed by Plaintiff California Department of Financial Protection and Innovation. (Attachments: #1 Proposed Order) (Suk, Kelly) |
| Filing 15 First APPLICATION of Non-Resident Attorney Jeffery C. Le Riche to Appear Pro Hac Vice on behalf of Plaintiff California Department of Financial Protection and Innovation (Pro Hac Vice Fee - Not Required for US Government Attorney) filed by Plaintiff California Department of Financial Protection and Innovation. (Attachments: #1 Proposed Order) (Suk, Kelly) |
| Filing 14 First APPLICATION of Non-Resident Attorney Clemon D. Ashley to Appear Pro Hac Vice on behalf of Plaintiff California Department of Financial Protection and Innovation (Pro Hac Vice Fee - Not Required for US Government Attorney) filed by Plaintiff California Department of Financial Protection and Innovation. (Attachments: #1 Proposed Order) (Attorney Kelly Suk added to party California Department of Financial Protection and Innovation (pty:pla)) (Suk, Kelly) |
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Filing 13
STANDING ORDER by Judge John F. Walter. READ THIS ORDER CAREFULLY. IT CONTROLS THE CASE AND DIFFERS IN SOME RESPECTS FROM THE LOCAL RULES. This action has been assigned to the calendar of Judge John F. Walter. (iv)
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| Filing 12 NOTICE OF PRO HAC VICE APPLICATION DUE for Non-Resident Attorney Clemon D Ashley on behalf of Plaintiffs. 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. You have been removed as counsel of record from the docket in this case, and you will not be added back to the docket until your Pro Hac Vice status has been resolved. (et) |
| Filing 11 NOTICE OF PRO HAC VICE APPLICATION DUE for Non-Resident Attorney Jeff Le Riche on behalf of Plaintiffs. 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. You have been removed as counsel of record from the docket in this case, and you will not be added back to the docket until your Pro Hac Vice status has been resolved. (et) |
| Filing 10 21 DAY Summons Issued re Complaint (Attorney Civil Case Opening) #1 as to Defendant Jeffrey Santulan. (et) |
| Filing 9 21 DAY Summons Issued re Complaint (Attorney Civil Case Opening) #1 as to Defendant Safeguard Metals LLC. (et) |
| Filing 8 Notice to Counsel Re Consent to Proceed Before a United States Magistrate Judge. (et) |
| Filing 7 NOTICE TO PARTIES OF COURT-DIRECTED ADR PROGRAM filed. (et) |
| Filing 6 NOTICE OF ASSIGNMENT to District Judge John F. Walter and Magistrate Judge Steve Kim. (et) |
| Filing 5 REQUEST Notice of Related Case No Fee Required - US Government, filed by plaintiff Commodity Futures Trading Commission.(Buffa, JonMarc) |
| Filing 4 Request for Clerk to Issue Summons on Complaint (Attorney Civil Case Opening) #1 filed by Plaintiff Commodity Futures Trading Commission. (Attachments: #1 Caption Attachment, #2 Additional Defendants to be Served)(Buffa, JonMarc) |
| Filing 3 Request for Clerk to Issue Summons on Complaint (Attorney Civil Case Opening) #1 filed by Plaintiff Commodity Futures Trading Commission. (Attachments: #1 Caption Attachment)(Buffa, JonMarc) |
| Filing 2 CIVIL COVER SHEET filed by Plaintiff Commodity Futures Trading Commission. (Buffa, JonMarc) |
| Filing 1 COMPLAINT No Fee Required - US Government, filed by Plaintiff Commodity Futures Trading Commission. (Attorney JonMarc Philip Buffa added to party Commodity Futures Trading Commission(pty:pla))(Buffa, JonMarc) |
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