United States Securities and Exchange Commission v. Western International Securities, Inc. et al
| United States Securities and Exchange Commission |
| Western International Securities, Inc., Nancy Cole, Patrick Egan, Andy Gitipityapon, Steven Graham and Thomas Swan |
| 2:2022cv04119 |
| June 15, 2022 |
| US District Court for the Central District of California |
| Alexander F MacKinnon |
| Otis D Wright |
| Securities/Commodities |
| Plaintiff |
Docket Report
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This docket was last retrieved on September 29, 2023. A more recent docket listing may be available from PACER.
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Filing 38
STIPULATION Extending Time to Answer the complaint as to Western International Securities, Inc. answer now due 9/14/2022; Nancy Cole answer now due 9/14/2022; Patrick Egan answer now due 9/14/2022; Andy Gitipityapon answer now due 9/14/2022; Steven Graham answer now due 9/14/2022; Thomas Swan answer now due 9/14/2022, re Complaint (Attorney Civil Case Opening) #1 filed by defendant Western International Securities, Inc..(Floren, Joseph)
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Filing 37
ORDER GRANTING APPLICATION of Non-Resident Attorney Jason S. Pinney to Appear Pro Hac Vice on behalf of Defendant Western International Securities, Inc. and designating Evan A. Ormond as local counsel #33 by Judge Otis D. Wright, II. (lc)
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Filing 36
ORDER GRANTING APPLICATION of Non-Resident Attorney G. Jeffrey Boujoukos to Appear Pro Hac Vice on behalf of Defendant Western International Securities, Inc. and designating Evan A. Ormond as local counsel #30 by Judge Otis D. Wright, II. (lc)
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Filing 35
ORDER GRANTING APPLICATION of Non-Resident Attorney Andrew M. Buttaro to Appear Pro Hac Vice on behalf of Defendant Western International Securities, Inc.and designating Evan A. Ormond as local counsel #29 by Judge Otis D. Wright, II. (lc)
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Filing 34
Notice of Appearance or Withdrawal of Counsel: for attorney Jeffrey K Compton counsel for Defendants Nancy Cole, Patrick Egan, Andy Gitipityapon, Steven Graham, Thomas Swan. Adding Jeffrey K. Compton as counsel of record for Individual Defendants Nancy Cole, Patrick Egan, Andy Gitipityapon, Steven Graham and Thomas Swan for the reason indicated in the G-123 Notice. Filed by Defendants Nancy Cole, Patrick Egan, Andy Gitipityapon, Steven Graham and Thomas Swan. (Attorney Jeffrey K Compton added to party Nancy Cole(pty:dft), Attorney Jeffrey K Compton added to party Patrick Egan(pty:dft), Attorney Jeffrey K Compton added to party Andy Gitipityapon(pty:dft), Attorney Jeffrey K Compton added to party Steven Graham(pty:dft), Attorney Jeffrey K Compton added to party Thomas Swan(pty:dft))(Compton, Jeffrey)
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Filing 33
APPLICATION of Non-Resident Attorney Jason S. Pinney to Appear Pro Hac Vice on behalf of Defendant Western International Securities, Inc. (Pro Hac Vice Fee - $500 Fee Paid, Receipt No. ACACDC-33753700) filed by Defendant Western International Securities, Inc.. (Attachments: #1 Proposed Order) (Ormond, Evan)
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Filing 32
NOTICE of Deficiency in Electronically Filed Pro Hac Vice Application RE: APPLICATION of Non-Resident Attorney G. Jeffrey Boujoukos to Appear Pro Hac Vice on behalf of Defendant Western International Securities, Inc. (Pro Hac Vice Fee - $500 Fee Paid, Receipt No. ACACDC-33744509) #30 . The following error(s) was/were found: Case information is incomplete. DJ and MJ initials missing on application and proposed order. Please note DJ and MJ Notice of Assignment, dated 6/15/22, Dkt. #4 . (lt)
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Filing 31
NOTICE of Deficiency in Electronically Filed Pro Hac Vice Application RE: APPLICATION of Non-Resident Attorney Andrew M. Buttaro to Appear Pro Hac Vice on behalf of Defendant Western International Securities, Inc. (Pro Hac Vice Fee - $500 Fee Paid, Receipt No. ACACDC-33739054) #29 . The following error(s) was/were found: Case information is incomplete. DJ and MJ initials missing on application and proposed order. Please note DJ and MJ Notice of Assignment, dated 6/15/22, Dkt. #4 . (lt)
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Filing 30
APPLICATION of Non-Resident Attorney G. Jeffrey Boujoukos to Appear Pro Hac Vice on behalf of Defendant Western International Securities, Inc. (Pro Hac Vice Fee - $500 Fee Paid, Receipt No. ACACDC-33744509) filed by Defendant Western International Securities, Inc.. (Attachments: #1 Proposed Order) (Ormond, Evan)
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Filing 29
APPLICATION of Non-Resident Attorney Andrew M. Buttaro to Appear Pro Hac Vice on behalf of Defendant Western International Securities, Inc. (Pro Hac Vice Fee - $500 Fee Paid, Receipt No. ACACDC-33739054) filed by Defendant Western International Securities, Inc.. (Attachments: #1 Proposed Order) (Ormond, Evan)
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Filing 28
NOTICE of Appearance filed by attorney Evan Ormond on behalf of Defendant Western International Securities, Inc. (Attorney Evan Ormond added to party Western International Securities, Inc.(pty:dft))(Ormond, Evan)
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Filing 27
NOTICE of Appearance filed by attorney Joseph E Floren on behalf of Defendant Western International Securities, Inc. (Attorney Joseph E Floren added to party Western International Securities, Inc.(pty:dft))(Floren, Joseph)
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Filing 26
ORDER by Judge Otis D. Wright, II: granting #25 Non-Resident Attorney Charles J. Kerstetter APPLICATION to Appear Pro Hac Vice on behalf of United States Securities and Exchange Commission, designating Donald W. Searles as local counsel. (lom)
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Filing 25
APPLICATION of Non-Resident Attorney Charles J. Kerstetter to Appear Pro Hac Vice on behalf of Plaintiff United States Securities and Exchange Commission (Pro Hac Vice Fee - Not Required for US Government Attorney) filed by Plaintiff United States Securities and Exchange Commission. (Attachments: #1 Proposed Order) (Searles, Donald)
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Filing 24
WAIVER OF SERVICE Returned Executed filed by Plaintiff United States Securities and Exchange Commission. upon Andy Gitipityapon waiver sent by Plaintiff on 6/16/2022, answer due 8/15/2022. Waiver of Service signed by Jeffrey K. Compton, Esq.. (Guardi, Ariella)
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Filing 23
WAIVER OF SERVICE Returned Executed filed by Plaintiff United States Securities and Exchange Commission. upon Thomas Swan waiver sent by Plaintiff on 6/16/2022, answer due 8/15/2022. Waiver of Service signed by Jeffrey K. Compton, Esq.. (Guardi, Ariella)
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Filing 22
WAIVER OF SERVICE Returned Executed filed by Plaintiff United States Securities and Exchange Commission. upon Steven Graham waiver sent by Plaintiff on 6/16/2022, answer due 8/15/2022. Waiver of Service signed by Jeffrey K. Compton, Esq.. (Guardi, Ariella)
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Filing 21
WAIVER OF SERVICE Returned Executed filed by Plaintiff United States Securities and Exchange Commission. upon Patrick Egan waiver sent by Plaintiff on 6/16/2022, answer due 8/15/2022. Waiver of Service signed by Jeffrey K. Compton, Esq.. (Guardi, Ariella)
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Filing 20
WAIVER OF SERVICE Returned Executed filed by Plaintiff United States Securities and Exchange Commission. upon Nancy Cole waiver sent by Plaintiff on 6/16/2022, answer due 8/15/2022. Waiver of Service signed by Jeffrey K. Compton, Esq.. (Guardi, Ariella)
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Filing 19
WAIVER OF SERVICE Returned Executed filed by Plaintiff United States Securities and Exchange Commission. upon Western International Securities, Inc. waiver sent by Plaintiff on 6/16/2022, answer due 8/15/2022. Waiver of Service signed by G. Jeffrey Boujoukos. (Guardi, Ariella)
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Filing 18
ORDER GRANTING APPLICATION of Non-Resident Attorney Jonathan A. Epstein to Appear Pro Hac Vice on behalf of Plaintiff United States Securities and Exchange Commission and designating Donald W. Searles as local counsel #17 by Judge Otis D. Wright, II. (lc)
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Filing 17
APPLICATION of Non-Resident Attorney Jonathan A. Epstein to Appear Pro Hac Vice on behalf of Plaintiff United States Securities and Exchange Commission (Pro Hac Vice Fee - Not Required for US Government Attorney) filed by Plaintiff United States Securities and Exchange Commission. (Attachments: #1 Proposed Order) (Searles, Donald)
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Filing 16
MINUTES (IN CHAMBERS) by Judge Otis D. Wright, II: The Court received and reviewed the pro hac vice application of Attorney Jonathan A. Epstein to appear on behalf of Plaintiff #12 . The application is incomplete in that Attorney Epstein failed to provide, at the bottom of the first page of the Application, acomplete list of the state and federal jurisdictions where he is admitted to practice. Counsel should also ensure that the Proposed Order is "flattened" that is, saved in a way that prevents additional changes from being made to entries in the text fields of the PDF file. For these reasons, the Application is DENIED without prejudice to re-filing denying #12 Non-Resident Attorney Jonathan A. Epstein APPLICATION to Appear Pro Hac Vice on behalf of Plaintiff. (lc)
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Filing 15
ORDER GRANTING APPLICATION of Non-Resident Attorney Ariella O. Guardi to Appear Pro Hac Vice on behalf of Plaintiff United States Securities and Exchange Commission and designating Donald W. Searles as local counsel #11 by Judge Otis D. Wright, II. (lc)
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Filing 14
NOTICE of Deficiency in Electronically Filed Pro Hac Vice Application RE: APPLICATION of Non-Resident Attorney Jonathan A. Epstein to Appear Pro Hac Vice on behalf of Plaintiff United States Securities and Exchange Commission (Pro Hac Vice Fee - Not Required for US Government Attorney) #12 . The following error(s) was/were found: Local Rule 83-2.1.3.3(a) Application not complete: state and/or federal courts to which the applicant has been admitted are not listed. Proposed Order has not been flattened and is causing a corruption with the filing. Other error(s) with document(s): Please See MO re DJ and MJ Notice of Assignment, dated 6/16/22, Dkt. #13 . (lt)
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Filing 13
MINUTE ORDER IN CHAMBERS by Judge Otis D Wright, II: This action has been assigned to the calendar of Judge Otis D. Wright II. The Court's Electronic Document Submission System (EDSS) allows people without lawyers who havepending cases in the United States District Court for the Central District of California to submit documents electronically to the Clerk's Office The parties may consent to proceed before a Magistrate Judge appearing on the voluntary consent list. PLEASE refer to Local Rule 79-5 for the submission of CIVIL ONLY SEALED DOCUMENTS. CRIMINAL SEALED DOCUMENTS will remain the same. Please refer to Court's Website and Judge's procedures for information as applicable. (lc)
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Filing 12
APPLICATION of Non-Resident Attorney Jonathan A. Epstein to Appear Pro Hac Vice on behalf of Plaintiff United States Securities and Exchange Commission (Pro Hac Vice Fee - Not Required for US Government Attorney) filed by Plaintiff United States Securities and Exchange Commission. (Attachments: #1 Proposed Order) (Searles, Donald)
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Filing 11
APPLICATION of Non-Resident Attorney Ariella O. Guardi to Appear Pro Hac Vice on behalf of Plaintiff United States Securities and Exchange Commission (Pro Hac Vice Fee - Not Required for US Government Attorney) filed by Plaintiff United States Securities and Exchange Commission. (Attachments: #1 Proposed Order) (Searles, Donald)
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Filing 10
NOTICE OF PRO HAC VICE APPLICATION DUE for Non-Resident Attorney Jonathan A. Epstein. 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. (lh)
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Filing 9
NOTICE OF PRO HAC VICE APPLICATION DUE for Non-Resident Attorney Charles J. Kerstetter. 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. (lh)
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Filing 8
NOTICE OF PRO HAC VICE APPLICATION DUE for Non-Resident Attorney Ariella Omholt Guardi. 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. (lh)
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Filing 7
21 DAY Summons Issued re Complaint (Attorney Civil Case Opening) #1 as to Defendants Nancy Cole, Patrick Egan, Andy Gitipityapon, Steven Graham, Thomas Swan, Western International Securities, Inc. (Attachments: #1 Summons as to Defendant Nancy Cole, #2 Summons as to Defendant Patrick Egan, #3 Summons as to Defendant Andy Gitipityapon, #4 Summons as to Defendant Steven Graham, #5 Summons as to Defendant Thomas Swan) (lh)
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Filing 6
Notice to Counsel Re Consent to Proceed Before a United States Magistrate Judge. (lh)
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Filing 5
NOTICE TO PARTIES OF COURT-DIRECTED ADR PROGRAM filed. (lh)
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Filing 4
NOTICE OF ASSIGNMENT to District Judge Otis D. Wright, II and Magistrate Judge Alexander F. MacKinnon. (lh)
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Filing 3
Request for Clerk to Issue Summons on Complaint (Attorney Civil Case Opening) #1 filed by Plaintiff United States Securities and Exchange Commission. (Attachments: #1 Summons, #2 Summons, #3 Summons, #4 Summons, #5 Summons)(Searles, Donald)
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Filing 2
CIVIL COVER SHEET filed by Plaintiff United States Securities and Exchange Commission. (Searles, Donald)
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Filing 1
COMPLAINT No Fee Required - US Government, filed by Plaintiff United States Securities and Exchange Commission. (Attorney Donald W. Searles added to party United States Securities and Exchange Commission(pty:pla))(Searles, Donald)
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