Securities and Exchange Commission v. Heart Tronics Inc et al
| Securities and Exchange Commission |
| Five Investments Partnership, Mitchell Jay Stein, J. Rowland Perkins, II, Martin Bert Carter, Heart Tronics Inc, ARC Blind Trust, Ryan Allan Rauch, Catch 83 General Partnership, Willie James Gault, WBT Investments Blind Trust, Mark Crosby Nevdahl, ARC Finance Group LLC, THS Blind Trust, Oak Tree Investments Blind Trust, Jaymi Blind Trust and Tracey Hampton Stein |
| United States of America |
| Chicago Bears Football Club Inc |
| 8:2011cv01962 |
| December 20, 2011 |
| US District Court for the Central District of California |
| Karen E Scott |
| James V Selna |
| Securities/Commodities |
| None |
Docket Report
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This docket was last retrieved on January 8, 2019. A more recent docket listing may be available from PACER.
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Filing 468
ORDER from Ninth Circuit Court of Appeals filed re: Notice of Appeal to 9th Circuit Court of Appeals, #309 filed by Mitchell Jay Stein. CCA # 15-55506. Plaintiff-Appellee's unopposed Motion for a Stay of the Order Directing a Response to the Petition for Panel Rehearing or Rehearing En Banc is GRANTED. Plaintiff-Appellee shall file its response to the petition within 21 days after the necessary funds are appropriated. (es)
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Filing 467
ORDER from Ninth Circuit Court of Appeals filed re: Notice of Appeal to 9th Circuit Court of Appeals, #309 filed by Mitchell Jay Stein. CCA # 15-55506. Plaintiff-Appellee is directed to file a response to Defendant-Appellant's petition for panel rehearing or rehearing en banc. The response shall be filed within 21 days from the filing of this order and shall comply with Federal Rule of Appellate Procedure 32 and Ninth Circuit Rule 40-1. (mat)
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| Filing 466 MANDATE of Ninth Circuit Court of Appeals filed re: Notice of Appeal to 9th Circuit Court of Appeals #399 , CCA # 16-55780. The judgment of the 9th Circuit Court, entered September 24, 2018, takes effect this date. This constitutes the formal mandate of the 9th CCA issued pursuant to Rule 41(a) of the Federal Rules of Appellate Procedure. [See USCA Memorandum #463 AFFIRMED.] (mat) |
| Filing 465 Mail Returned addressed to Mitchell Jay Stein, 6700 Fallbrook Avenue Suite 100, West Hills, CA 91307 re USCA Memorandum/Opinion/Order #464 . Return to Sender. Not Deliverable as Addressed. Unable to Forward. (lwag) |
| Filing 464 OPINION from Ninth Circuit Court of Appeals filed re: Notice of Appeal to 9th Circuit Court of Appeals, #309 filed by Mitchell Jay Stein. CCA # 15-55506. (yl) |
| Filing 463 MEMORANDUM from Ninth Circuit Court of Appeals filed re: Notice of Appeal to 9th Circuit Court of Appeals #399 filed by Willie James Gault. CCA # 16-55780.The decision of the District Court is AFFIRMED. (shb) |
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Filing 462
MINUTES (IN CHAMBERS) ORDER Removing Action From Active Caseload by Judge James V. Selna. This Court hereby removes the above reference action from the active caseload pending the appeal of the Court Judgment as to Defendant Willie James Gault, to be reinstated upon application of the parties. (Made JS-6. Case Terminated.) (dro)
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| Filing 461 (IN CHAMBERS) The Court, having reviewed and considered the plaintiff's Response #460 , filed 12/13/2017, to the Order to Show Cause #459 issued on 11/21/2017, ORDERS the Order to Show Cause DISCHARGED. THERE IS NO PDF DOCUMENT ASSOCIATED WITH THIS ENTRY. (kt) TEXT ONLY ENTRY |
| Filing 460 RESPONSE filed by Plaintiff Securities and Exchange Commissionto Minutes of In Chambers Order/Directive - no proceeding held, Set/Reset Deadlines #459 (Bentsen, Derek) |
| Filing 459 MINUTE IN CHAMBERS by Judge James V. Selna: Order to Show Cause Re Dismissal for Lack of Prosecution. Plaintiff(s) to Show Cause (OSC) in writing no later than December 13, 2017. (mt) |
| Filing 458 NOTICE of Deliverance and Receipt re Willie James Gault's Super Bowl XX Championship Ring. (mba) |
| Filing 457 DECLARATION of George B. Newhouse in Compliance with Amended Order Re Return of Property to Defendant Willie Gault filed by Defendant Willie James Gault. (mba) |
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Filing 456
AMENDED ORDER REGARDING WRIT OF ATTACHMENT AND RELEASE TO DEFENDANT WILLIE GAULT OF SUPER BOWL CHAMPIONSHIP RING by Judge James V. Selna, re Order #453 . (twdb)
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| Filing 455 NOTICE OF LODGING filed Defendant Willie James Gault's Notice of Lodging [Proposed Amended] Order Regarding Writ of Attachment and Release to Defendant Willie Gault of Super Bowl Championship Ring re Stipulation for Order #452 (Attachments: #1 Proposed Order)(Newhouse, George) |
| Filing 452 STIPULATION for Order regarding the release of property and dissolution of Writs of Garnishment and Execution issued in this matter filed by PLAINTIFF Securities and Exchange Commission. (Attachments: #1 Proposed Order)(Roessner, Michael) |
| Filing 451 RESPONSE filed by Plaintiff Securities and Exchange Commissionto Minutes of In Chambers Order/Directive - no proceeding held, #450 (Bentsen, Derek) |
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Filing 453
ORDER ON PARTIES' STIPULATION REGARDING WRITS OF GARNISHMENT AND EXECUTION by Judge James V. Selna, re Stipulation #452 . See Order for more important information. (twdb)
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Filing 450
MINUTE ORDER (IN CHAMBERS) by Judge James V. Selna: ORDER TO SHOW CAUSE RE DISMISSAL FOR LACK OF PROSECUTION. The Court, on its own motion, hereby ORDERS plaintiff(s) to Show Cause (OSC) in writing no later than August 11, 2017, why this action should not be dismissed, as to defendant Catch 83General Partnership only, for lack of prosecution. (mba)
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| Filing 449 GARNISHEE'S ANSWER filed by Garnishee Chicago Bears Football Club Inc. (dro) |
| Filing 448 POST-JUDGMENT CONTINUING WRIT OF GARNISHMENT Pursuant to 28 U.S.C. 3205 issued as to Chicago Bears Football Club. (dro) |
| Filing 447 POST-JUDGMENT CONTINUING WRIT OF GARNISHMENT Pursuant to Rule 69 issued as to Chicago Bears Football Club. (dro) |
| Filing 446 APPLICATION for Writ of Garnishment Securities and Exchange Commission filed by Plaintiff Securities and Exchange Commission. (Attachments: #1 Exhibit, #2 Proposed Order, #3 Proposed Order) (Roessner, Michael) |
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Filing 445
ORDER Regarding Security in Lieu of Garnishment of Insurance Policy #442 by Judge James V. Selna: For GOOD CAUSE SHOWN and based on said Stipulation, the Court Orders as follows: The garnishment with respect to the Life Insurance Policy (referred to in Document No. 441) is and shall be stayed pending resolution of Gault's appeal of the underlying judgment to the Ninth Circuit (which is currently pending) and the mandate issues, or upon a joint request otherwise of the Parties approved by the Court. See document for further information. (lwag)
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| Filing 444 NOTICE OF FILING TRANSCRIPT filed for proceedings 8/10/2016 Hearing re Transcript #443 THERE IS NO PDF DOCUMENT ASSOCIATED WITH THIS ENTRY. (Gale, Debbie) TEXT ONLY ENTRY |
| Filing 443 TRANSCRIPT for proceedings held on 8/10/2016 Hearing. Court Reporter/Electronic Court Recorder: Debbie Gale - www.debbiegale.com - 714-558-8141 or email: DebbieGaleCSR@gmail.com, Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Electronic Court Recorder before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Notice of Intent to Redact due within 7 days of this date. Redaction Request due 9/29/2016. Redacted Transcript Deadline set for 10/11/2016. Release of Transcript Restriction set for 12/7/2016. (Gale, Debbie) |
| Filing 442 STIPULATION to Clarify Regarding Security In Lieu of Garnishment of Insurance Policy filed by Defendant Willie James Gault. (Attachments: #1 Proposed Order)(Newhouse, George) |
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Filing 440
MINUTES (IN CHAMBERS) ORDER Setting Briefing Schedule and Hearing Date for Defendant Gault's Claim of Exemption #439 in Response to Garnishee Lincoln Financial Group's Answer to Writ of Garnishment by Judge James V. Selna. The Court hereby sets a hearing on Defendant Gault's Claim of Exemption in Response to Garnishee Lincoln Financial Goup's Answer to Writ of Garnishment for Monday, October 3, 2016 at 1:30 p.m. Defendant Gault shall file a brief in support of his Claim of Exemption by September 7, 2016. Any response to the brief shall be filed not later than September 14, 2016 and any reply shall be filed by September 21, 2016. (dro)
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| Filing 439 Defendant Willie James Gault's Claim of Exempton and Request for Hearing in Response to Garnishee Lincoln Financial Group's Answer to Post-Judgment Continuing Writ of Garnishment re: Order on Motion for Garnishment #428 (Newhouse, George) |
| Filing 438 NOTICE filed by Defendants Willie James Gault. Notice of Lodging (Attachments: #1 Exhibit Exhibit 1)(Newhouse, George) |
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Filing 454
NOTICE OF DELIVERANCE AND RECEIPT OF COLLATERAL. On August 23, 2016, the collateral described in the Notice was surrendered to the custody of the Clerk of Court pursuant to Order of Court signed by Judge James V. Selna. [Docketed late due to clerical error.] (ts)
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| Filing 441 Garnishee's Answer. (lwag) |
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Filing 437
ORDER IN AID OF ISSUING A WRIT OF EXECUTION by Judge James V. Selna: Granting EX PARTE APPLICATION for Writ of Execution #406 (mt)
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| Filing 436 REPLY filed by Defendant Willie James Gault to Response in Support of Motion #435 Reply by Defendant Willie James Gault to SEC's Response to Defendant's Objection to Proposed Order; Request for Stay (Newhouse, George) |
| Filing 435 RESPONSE IN SUPPORT of EX PARTE APPLICATION for Writ of Execution #406 filed by Plaintiff Securities and Exchange Commission. (Attachments: #1 Proposed Order)(Roessner, Michael) |
| Filing 434 OBJECTIONS TO PROPOSED ORDER IN LIEU OF WRIT OF ATTACHMENT PROPOSED BY SEC (#433) filed by Defendant Willie James Gault. (Attachments: #1 Declaration Willie James Gault, #2 Proposed Order)(Newhouse, George) |
| Filing 433 MINUTES OF Plaintiff's Ex Parte Application for Writ of Execution held before Judge James V. Selna: Cause called and counsel make their appearances. The Court states its tentative ruling for the record. Counsel make their arguments. Counsel shall meet, confer and submit to the Court, within seven (7) days a schedule or plan and proposed order for turning over the property discussed on the record today. Court Reporter: Debbie Gale. (lwag) |
| Filing 432 **NOTE: CHANGES MADE BY THE COURT** Post-Judgment Continuing Writ of Garnishment Pursuant to 28 USC 3205 #426 by Magistrate Judge Karen E. Scott: See document for further information. (lwag) |
| Filing 431 **NOTE:CHANGES MADE BY THE COURT** Post-Judgment Continuing Writ of Garnishment Pursuant to Rule 69 #426 by Magistrate Judge Karen E. Scott: See document for further information. (lwag) |
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Filing 430
MINUTE ORDER IN CHAMBERS by Magistrate Judge Karen E. Scott: re: APPLICATION for Writ of Garnishment Securities and Exchange Commission #426 , Order on Motion for Garnishment #428 , #429 . Due to a clerical error, the orders entered today at docket entry nos. 428 and 429 are hereby VACATED. The Court will be issuing the corrected orders momentarily. (jdo)
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| Filing 429 POST-JUDGMENT Continuing Writ of Garnishment Pursuant to 28 U.S.C. 3205, by Magistrate Judge Karen E. Scott, Granting APPLICATION for Writ of Garnishment Securities and Exchange Commission #426 . (see document for details). (dro) Modified on 8/5/2016 (dro). |
| Filing 428 POST-JUDGMENT Continuing Writ of Garnishment Pursuant to Rule 69, by Magistrate Judge Karen E. Scott, granting #426 APPLICATION for Garnishment. (see document for details). (dro) Modified on 8/5/2016 (dro). |
| Filing 427 NOTICE OF REASSIGNMENT OF CASE due to Unavailability of Judicial Officer filed. The previously assigned Magistrate Judge is no longer available. Pursuant to directive of the Chief Magistrate Judge and in accordance with the rules of this Court, the case has been returned to the Clerk for reassignment. This case has been reassigned to Magistrate Judge Karen E. Scott for any discovery and/or post-judgment matters that may be referred. Case number will now read as 8:11-cv-01962 JVS(KESx). (rn) |
| Filing 426 APPLICATION for Writ of Garnishment Securities and Exchange Commission filed by Plaintiff Securities and Exchange Commission. (Attachments: #1 Proposed Order Proposed Rule 69 Writ, #2 Proposed Order Proposed FDCPA Writ, #3 Supplement Proposed Exhibits to FDCPA Writ) (Roessner, Michael) |
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Filing 425
ORDER by Judge James V. Selna: re Stipulation on Hearing Date Regarding SEC Ex Parte Application for Writ of Attachment #424 By stipulation between the parties and good cause appearing, the hearing date regarding the SEC's Ex Parte Application for a Writ of Attachment, as set forth in the Stipulation (August 10, 2016, 8:00 a.m.), is hereby entered. (mba)
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| Filing 424 STIPULATION for Hearing re EX PARTE APPLICATION for Writ of Execution #406 filed by Defendant Willie James Gault. (Attachments: #1 Proposed Order)(Newhouse, George) |
| Filing 423 Notice of Appearance or Withdrawal of Counsel: for attorney Kevin B Muhlendorf counsel for Intervenor Plaintiff United States of America. Kevin B. Muhlendorf is no longer counsel of record for the aforementioned party in this case for the reason indicated in the G-123 Notice. Filed by Intervenor United States of America. (Muhlendorf, Kevin) |
| Filing 422 NOTICE OF FILING TRANSCRIPT filed for proceedings 3-3-15, 3-4-15, 3-10-15, 3-11-15, 3-12-15, 3-13-15, 3-18-15 re Transcript #421 , #415 , #417 , #419 , #416 , #420 , #418 THERE IS NO PDF DOCUMENT ASSOCIATED WITH THIS ENTRY. (Seffens, Sharon) TEXT ONLY ENTRY |
| Filing 421 TRANSCRIPT for proceedings held on 3-18-15. Court Reporter/Electronic Court Recorder: Sharon Seffens, phone number sseffens@earthlink.net. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Electronic Court Recorder before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Notice of Intent to Redact due within 7 days of this date. Redaction Request due 8/1/2016. Redacted Transcript Deadline set for 8/11/2016. Release of Transcript Restriction set for 10/11/2016. (Seffens, Sharon) |
| Filing 420 TRANSCRIPT for proceedings held on 3-13-15. Court Reporter/Electronic Court Recorder: Sharon Seffens, phone number sseffens@earthlink.net. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Electronic Court Recorder before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Notice of Intent to Redact due within 7 days of this date. Redaction Request due 8/1/2016. Redacted Transcript Deadline set for 8/11/2016. Release of Transcript Restriction set for 10/11/2016. (Seffens, Sharon) |
| Filing 419 TRANSCRIPT for proceedings held on 3-12-15. Court Reporter/Electronic Court Recorder: Sharon Seffens, phone number sseffens@earthlink.net. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Electronic Court Recorder before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Notice of Intent to Redact due within 7 days of this date. Redaction Request due 8/1/2016. Redacted Transcript Deadline set for 8/11/2016. Release of Transcript Restriction set for 10/11/2016. (Seffens, Sharon) |
| Filing 418 TRANSCRIPT for proceedings held on 3-11-15. Court Reporter/Electronic Court Recorder: Sharon Seffens, phone number sseffens@earthlink.net. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Electronic Court Recorder before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Notice of Intent to Redact due within 7 days of this date. Redaction Request due 8/1/2016. Redacted Transcript Deadline set for 8/11/2016. Release of Transcript Restriction set for 10/11/2016. (Seffens, Sharon) |
| Filing 417 TRANSCRIPT for proceedings held on 3-10-15. Court Reporter/Electronic Court Recorder: Sharon Seffens, phone number sseffens@earthlink.net. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Electronic Court Recorder before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Notice of Intent to Redact due within 7 days of this date. Redaction Request due 8/1/2016. Redacted Transcript Deadline set for 8/11/2016. Release of Transcript Restriction set for 10/11/2016. (Seffens, Sharon) |
| Filing 416 TRANSCRIPT for proceedings held on 3-4-15. Court Reporter/Electronic Court Recorder: Sharon Seffens, phone number sseffens@earthlink.net. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Electronic Court Recorder before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Notice of Intent to Redact due within 7 days of this date. Redaction Request due 8/1/2016. Redacted Transcript Deadline set for 8/11/2016. Release of Transcript Restriction set for 10/11/2016. (Seffens, Sharon) |
| Filing 415 TRANSCRIPT for proceedings held on 3-3-15. Court Reporter/Electronic Court Recorder: Sharon Seffens, phone number sseffens@earthlink.net. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Electronic Court Recorder before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Notice of Intent to Redact due within 7 days of this date. Redaction Request due 8/1/2016. Redacted Transcript Deadline set for 8/11/2016. Release of Transcript Restriction set for 10/11/2016. (Seffens, Sharon) |
| Filing 414 (IN CHAMBERS) The Court, with the agreement of counsel, sets a hearing on Plaintiff's EX PARTE APPLICATION for Writ of Execution #406 for Friday, 7/22/2016 at 11:00 AM before Judge James V. Selna. THERE IS NO PDF DOCUMENT ASSOCIATED WITH THIS ENTRY. (kt) TEXT ONLY ENTRY |
| Filing 413 Affidavit and Request for Issuance of Writ of Execution filed by Plaintiff Securities and Exchange Commission. (Attachments: #1 Appendix proposed writ)(Roessner, Michael) |
| Filing 412 DESIGNATION of Record on Appeal by Defendant Willie James Gault re #399 (Ho, Chia Heng Gary) |
| Filing 411 TRANSCRIPT ORDER as to Defendant Willie James Gault for Court Reporter. Court will contact Gary Ho at ho@blumcollins.com with any questions regarding this order. Transcript preparation will not begin until payment has been satisfied with the court reporter. (Ho, Chia Heng Gary) |
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Filing 410
ORDER by Judge James V. Selna: Granting #409 Non-Resident Attorney Michael J. Roessner APPLICATION to Appear Pro Hac Vice on behalf of Plaintiff U.S. Securities and Exchange Commission, designating David J. Van Havermaat as local counsel. (lwag)
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| Filing 409 REQUEST of Non-Resident Attorney Michael J. Roessner to Appear Pro Hac Vice on behalf of Plaintiff Securities and Exchange Commission (Pro Hac Vice Fee - Not Required for US Government Attorney) filed by Plaintiff Securities and Exchange Commission. (Attachments: #1 Proposed Order) (Van Havermaat, David) |
| Filing 408 OPPOSITION TO WILLIE GAULTS OBJECTION TO APPLICATION FOR WRITS OF EXECUTION filed by Plaintiff Securities and Exchange Commission. (Roessner, Michael) |
| Filing 407 Opposition re: EX PARTE APPLICATION for Writ of Execution #406 filed by Defendant Willie James Gault. (Newhouse, George) |
| Filing 406 EX PARTE APPLICATION for Writ of Execution Securities and Exchange Commission. (Attachments: #1 Proposed Order Clerk's Notice, #2 Proposed Order Writ Pursuant to FDCPA 3203, #3 Proposed Order Writ Pursuant to Rule 69) (Attorney Michael Roessner added to party Securities and Exchange Commission(pty:pla)) (Roessner, Michael) |
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Filing 405
MINUTES (IN CHAMBERS) Order DENYING Gault's Ex Parte Application for Stay #401 by Judge James V. Selna: For the reasons stated above, the Court denies Gault's Ex Parte Application. See document for further information. (lwag)
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| Filing 404 NOTIFICATION by Circuit Court of Appellate Docket Number 16-55780, 9th Circuit regarding Notice of Appeal to 9th Circuit Court of Appeals #399 as to defendant Willie James Gault. (mat) |
| Filing 403 NOTICE OF FILING TRANSCRIPT filed for proceedings 3-28-16 1:33 p.m re Transcript #402 THERE IS NO PDF DOCUMENT ASSOCIATED WITH THIS ENTRY. (Seffens, Sharon) TEXT ONLY ENTRY |
| Filing 402 TRANSCRIPT for proceedings held on 3-28-16 1:33 p.m. Court Reporter/Electronic Court Recorder: Sharon Seffens, phone number sseffens@earthlink.net. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Electronic Court Recorder before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Notice of Intent to Redact due within 7 days of this date. Redaction Request due 6/21/2016. Redacted Transcript Deadline set for 7/1/2016. Release of Transcript Restriction set for 8/29/2016. (Seffens, Sharon) |
| Filing 401 EX PARTE APPLICATION to Stay Order on Motion for Stay of Execution Date, #398 filed by Defendant Willie James Gault. (Newhouse, George) |
| Filing 400 REPRESENTATION STATEMENT re Notice of Appeal to 9th Circuit Court of Appeals #399 . (Ho, Chia Heng Gary) |
| Filing 399 NOTICE OF APPEAL to the 9th Circuit Court of Appeals filed by Defendant Willie James Gault. Appeal of Judgment #387 . (Appeal Fee - $505 Fee Paid, Receipt No. 0973-17901827.) (Ho, Chia Heng Gary) |
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Filing 398
MINUTES (IN CHAMBERS) ORDER by Judge James V. Selna denying #389 MOTION for Stay. Gault may re-notice his motion on an ex parte basis after Gault files his notice of appeal. The Court will then stay enforcement of the judgment for ten days pending decision on Gault's ex parte application. The Court vacates the hearing scheduled for June 6, 2016 at 1:30pm. Fed. R. Civ. P. 78; L.R. 7-15. IT IS SO ORDERED. (see document for details). (dro)
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| Filing 397 REPLY NOTICE OF MOTION AND MOTION for Stay of Execution #389 filed by Defendant Willie James Gault. (Newhouse, George) |
| Filing 396 MEMORANDUM in Opposition to NOTICE OF MOTION AND MOTION for Stay of Execution #389 filed by Plaintiff Securities and Exchange Commission. (Attachments: #1 Exhibit 1 (with accompanying declaration))(Donnelly, Kenneth) |
| Filing 395 ABSTRACT of Judgment issued in favor of Defendant Securities and Exchange Commission and against Willie James Gault RE: Judgment #387 (nbo) |
| Filing 394 ABSTRACT of Judgment issued in favor of Defendant Securities and Exchange Commission and against Willie James Gault Re: Judgment #387 . (nbo) |
| Filing 393 SEALED DOCUMENT DECLARATION OF WILLIE JAMES GAULT IN SUPPORT OF HIS MOTION FOR PARTIAL STAY OF EXECUTION OF JUDGMENT PENDING APPEAL re Order on Motion for Leave to File Document Under Seal, #392 , NOTICE OF MOTION AND MOTION for Stay of Execution #389 filed by Defendant Willie James Gault.(Newhouse, George) |
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Filing 392
ORDER by Judge James V. Selna: Granting #388 Defendant Willie Gault's Application to File Under Seal the Unredacted Declaration of Willie Gault and Exhibits in Support of Mr. Gault's Motion for Partial Stay of Execution of Judgment Pending Appeal. (mba)
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| Filing 391 CERTIFICATE OF SERVICE Willie James Gault, re Sealed Declaration in SupportDeclaration, #390 , APPLICATION to file document Declaration of Willie James Gault in Support of His Motion for Partial Stay of Execution of Judgment Pending Appeal under seal #388 (Newhouse, George) |
| Filing 390 SEALED DECLARATION IN SUPPORT OF APPLICATION to file document Declaration of Willie James Gault in Support of His Motion for Partial Stay of Execution of Judgment Pending Appeal under seal #388 filed by Defendant Willie James Gault.(Newhouse, George) |
| Filing 389 NOTICE OF MOTION AND MOTION for Stay of Execution filed by defendant Willie James Gault. Motion set for hearing on 6/6/2016 at 01:30 PM before Judge James V. Selna. (Attachments: #1 Proposed Order) (Newhouse, George) |
| Filing 388 APPLICATION to file document Declaration of Willie James Gault in Support of His Motion for Partial Stay of Execution of Judgment Pending Appeal under seal filed by Defendant Willie James Gault. (Attachments: #1 Declaration George B. Newhouse, Jr., #2 Proposed Order, #3 Redacted Document Declaration of Willie James Gault in Support of His Motion for Partial Stay of Execution of Judgment Pending Appeal)(Newhouse, George) |
| Filing 387 FINAL JUDGMENT by Judge James V. Selna: Against Defendant Willie J Gault Imposing Permanent Injunction and Other Equitable Relief, Disgorgement with Prejudgment Interest, and A Civil Penalty (mt) |
| Filing 386 TRANSCRIPT ORDER Willie James Gault for Court Reporter. Court will contact Audrey Rosenbaum at audrey.rosenbaum@dentons.com with any questions regarding this order. Transcript preparation will not begin until payment has been satisfied with the court reporter. (Whitehead, Henry) |
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Filing 385
MINUTES (IN CHAMBERS) ORDER Granting Plaintiff's Motion for Order on Remedies and Final Judgment as to Defendant Gault #376 by Judge James V. Selna: For the reasons stated above, the Court orders the following relief: Payment of disgorgement in the amount of $101,000.00 plus prejudgment interest in the amount of $27,570.78; Payment of civil penalties equal to $78,000.00; Permanent injunction enjoining Gault from future knowing or negligent violation of Section 17(a)(3), knowing violation of Section 13(b)(5), and violation of Rule 13a-14; and Permanent injunction enjoining Gault from serving as an officer or director for a publicly-traded company until Gault affirmatively demonstrates that he is fit to serve as such. The SEC shall lodge a proposed final judgment in conformance with this Order within 10 days. See document for further information. (lwag)
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| Filing 384 REPLY - DEFENDANT WILLIE JAMES GAULT'S SUPPLEMENTAL CHART REGARDING APPROPRIATE REMEDIES FOLLOWING TRIAL - filed by Defendant Willie James Gault. (Attachments: #1 Exhibit A, #2 Exhibit B, #3 Exhibit C, #4 Exhibit D, #5 Exhibit E, #6 Exhibit F, #7 Exhibit G)(Newhouse, George) |
| Filing 383 MINUTES OF Hearing on Plaintiff's Motion for Order on Remedies and Final Judgment as to Defendant Gault held before Judge James V. Selna. The Court takes the motion under submission. Court Reporter: Sharon Seffens. (kt) |
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Filing 382
ORDER by Judge James V. Selna: Granting Plaintiff Securities and Exchange Commission's Application for Leave to File Under Seal an Unredacted version of its Reply Brief in Support of Remedies as to Defendant Willie J. Gault and Exhibits G-Q Thereto re 380 . (mba)
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| Filing 381 RESPONSE IN SUPPORT of NOTICE OF MOTION AND MOTION for Order on Remedies and Final Judgment as to Defendant Gault #376 filed by Plaintiff Securities and Exchange Commission. (Attachments: #1 Declaration, #2 Exhibit A, #3 Exhibit B, #4 Exhibit C, #5 Exhibit D, #6 Exhibit E, #7 Exhibit F, #8 Exhibit G, #9 Exhibit H, #10 Exhibit I, #11 Exhibit J, #12 Exhibit K, #13 Exhibit L, #14 Exhibit M, #15 Exhibit N, #16 Exhibit O, #17 Exhibit P, #18 Exhibit Q)(Donnelly, Kenneth) |
| Filing 379 REPLY NOTICE OF MOTION AND MOTION for Order on Remedies and Final Judgment as to Defendant Gault #376 filed by Defendant Willie James Gault. (Attachments: #1 Declaration Henry Whitehead)(Newhouse, George) |
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Filing 378
ORDER RE: Stipulation Remedies Briefing and Hearing Date #377 by Judge James V. Selna: By stipulation between the parties and good cause appearing, the schedule regarding submission of reply briefs and the hearing date, as set forth in the Stipualtion is hereby entered. The Court CONTINUES the hearing on Plaintiff's Motion for Order on Remedies and Final Judgment as to Defendant Gault (Dkt. No. 376) to March 28, 2016 at 1:30 p.m. (lwag)
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| Filing 377 STIPULATION for Hearing re Motion Hearing,, #369 filed by Defendant Willie James Gault. (Attachments: #1 Proposed Order)(Newhouse, George) |
| Filing 376 NOTICE OF MOTION AND MOTION for Order on Remedies and Final Judgment as to Defendant Gault filed by Plaintiff Securities and Exchange Commission. Motion set for hearing on 3/21/2016 at 01:30 PM before Judge James V. Selna. (Attachments: #1 Memorandum, #2 Declaration, #3 Exhibit A, #4 Exhibit B, #5 Exhibit C, #6 Exhibit D, #7 Exhibit E, #8 Exhibit F, #9 Exhibit G, #10 Exhibit H, #11 Exhibit I, #12 Exhibit J, #13 Exhibit K, #14 Exhibit L, #15 Exhibit M, #16 Exhibit N, #17 Exhibit O, #18 Exhibit P, #19 Proposed Order) (Donnelly, Kenneth) |
| Filing 375 BRIEF Regarding Appropriate Remedies Following Trial (Attachments: #1 Declaration of Willie James Gault)(Newhouse, George) |
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Filing 374
ORDER Re: Stipulation on Remedies Briefing #373 by Judge James V. Selna: By Stipulation between the parties and good cause appearing, the schedule for remedies briefing in this matter, as set forth in the Stipulation, is hereby entered. (lwag)
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| Filing 373 STIPULATION for Hearing re Motion Hearing,, #369 filed by Defendant Willie James Gault. (Attachments: #1 Proposed Order)(Newhouse, George) |
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Filing 372
ORDER from Ninth Circuit Court of Appeals filed re: Notice of Appeal to 9th Circuit Court of Appeals, #309 filed by Mitchell Jay Stein. CCA # 15-55506. Appellee's opposed motion to stay appellate proceedings is granted. The proceedings are stayed until on or before March 1, 2016. (mat)
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| Filing 371 Notice of Change of Attorney Business or Contact Information filed by Defendant Mitchell J. Stein. (lwag) |
| Filing 370 MEMORANDUM in Support of MOTION for Order for Financial Discovery and to Amend the Briefing Schedule on Remedies #329 (Public Version, filed by leave of the Court dated August 3, 2015 (Docket No. 369)) filed by Plaintiff Securities and Exchange Commission. (Donnelly, Kenneth) |
| Filing 369 MINUTES RE: Defendant Gault's Ex Parte Application to File a Sur-Reply #361 ; Plaintiff's Motion for Leave to File #342 and Plaintiff's Motion to Conduct #329 held before Judge James V. Selna: Cause called and counsel make their appearances. The Court's tentative ruling is issued. Counsel make their arguments. The Court GRANTS the motions referenced above and rules in accordance with the tentative ruling as follows. See document for further information. Court Reporter: Sharon Seffens. (lwag) |
| Filing 367 SEALED DOCUMENT RE: RESPONSE to Defendant Willie James Gault's Ex Parte Application for Leave to File a Sur Reply in Opposition to the SEC's Motion for Financial Discovery. (Attachments: #1 Part 2)(lwag) |
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Filing 366
ORDER by Judge James V. Selna: Granting Plaintiff Securities and Exchange Commission's APPLICATION to File Under Seal Its Response to Defendant Willie James Gault's Ex Parte Application for Leave to File a Sur Reply in Opposition to the SEC's Motion for Financial Discovery #363 (mt)
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| Filing 365 MEMORANDUM in Opposition to MOTION for Order for Financial Discovery and to Amend the Briefing Schedule on Remedies #329 Authorized Sur-Reply filed by Defendant Willie James Gault. (Attachments: #1 Declaration Willie James Gault, #2 Declaration Greg Johnson, #3 Declaration Whitehead)(Newhouse, George) |
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Filing 364
ORDER Granting Ex Parte Application for Leave #361 by Judge James V. Selna: Having received and reviewed Defendant Willie James Gault's Ex Parte Application for Leave to File a Sur-Reply In Opposition to the SEC's Motion for Financial Discovery and good cause appearing therefore. IT IS HEREBY ORDERED that the Ex Parte Application is GRANTED. Mr. Gault may file a Sur-Reply attached as Exhibit A to Mr. Gault's Ex Parte Application and serve the Plaintiff SEC. (lwag)
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| Filing 363 APPLICATION for Order for filing under seal the SEC's Response to Defendant Willie James Gault's Ex Parte Application for Leave to File a Sur Reply in Opposition to the SEC's Motion for Financial Discovery and the Declaration of Derek Bentsen and Exhibits thereto filed by Plaintiff Securities and Exchange Commission. (Attachments: #1 Proposed Order) (Bentsen, Derek) |
| Filing 362 NOTICE of Manual Filing filed by Plaintiff Securities and Exchange Commission of SEC's Response to Defendant Willie James Gault's Ex Parte Application for Leave to File a Sur Reply in Opposition to the SEC's Motion for Financial Discovery and the Declaration of Derek Bentsen and Exhibits thereto. (Bentsen, Derek) |
| Filing 361 EX PARTE APPLICATION for Leave to file A Sur-Reply In Opposition to the SEC's Motion for Financial Discovery filed by Defendant Willie James Gault. (Attachments: #1 Proposed Order, #2 Declaration) (Newhouse, George) |
| Filing 360 *SEALED DOCUMENT: REPLY In Support of Plaintiff's Motion for Financial Discovery (jtil) |
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Filing 359
ORDER by Judge James V. Selna: Granting Plaintiff Securities and Exchange Commission's APPLICATION to File Under Seal It's Reply in Support of Plaintiff's Motion for Financial Discovery #357 (mt)
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| Filing 358 REPLY Brief in Further Support of SEC's NOTICE OF MOTION AND MOTION to Unseal Document Memorandum in Support of Motion #334 And For Leave to File a Redacted, Public Version of Sealed Docket 334 #342 filed by Plaintiff Securities and Exchange Commission. (Attachments: #1 Declaration of Kenneth Donnelly, #2 Proposed Order)(Donnelly, Kenneth) |
| Filing 357 APPLICATION for Order for filing under seal the SEC's Reply in Support of its Motion for Financial Discovery, the Declaration of Derek S. Bentsen and the exhibits thereto filed by Plaintiff Securities and Exchange Commission. (Attachments: #1 Proposed Order) (Bentsen, Derek) |
| Filing 356 NOTICE of Manual Filing filed by Plaintiff Securities and Exchange Commission of SECs Reply in Support of Plaintiff's Motion for Financial Discovery, Declaration of Derek S. Bentsen and Exhibits thereto. (Bentsen, Derek) |
| Filing 355 Proof OF SERVICE filed by Defendant Willie James Gault, re Declaration, #354 served on 7/16/2015. (Newhouse, George) |
| Filing 354 SEALED DOCUMENT RE: DECLARATION of George B. Newhouse, Jr. in Support of Defendant Willie James Gault's Opposition to the SEC's Motion for Leave to File a Redacted, Public Version of Sealed Docket No. 334 (SEC's Memorandum and Exhibits in Support of its Motion for Financial Discovery). (lwag) |
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Filing 353
ORDER Granting Application to File Under Seal #352 by Judge James V. Selna: Pursuant to Local Rule 79-5.1, and for good cause shown, the Court hereby issues the following Order on the Application of Defendant Willie J. Gault's to File Under Seal the Newhouse Declaration and Supporting Exhibits submitted in Opposition to the Plaintiff SEC's Motion to File a Redacted, Public Version of Sealed Docket No. 334 due to the inclusion of personal financial information concerning the Defendant. Based on the foregoing and for good cause shown, THE COURT HEREBY ORDERS that Defendant's Motion to File under Seal the Newhouse Declaration and Supporting Exhibits is GRANTED. (lwag)
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| Filing 352 NOTICE of Under Seal Filing filed Willie James Gault (Attachments: #1 Proposed Order)(Newhouse, George) |
| Filing 351 to Defendant SEC's Motion for Leave to File a Redacted Public Version of Sealed Docket No. 334 Opposition re: NOTICE OF MOTION AND MOTION to Unseal Document Memorandum in Support of Motion #334 And For Leave to File a Redacted, Public Version of Sealed Docket 334 #342 filed by Defendant Willie James Gault. (Newhouse, George) |
| Filing 350 DECLARATION of Derek Bentsen and Exhibits in support of MOTION for Order for Financial Discovery and to Amend the Briefing Schedule on Remedies #329 (Party-Agreed Public Version) filed by Plaintiff Securities and Exchange Commission. (Donnelly, Kenneth) |
| Filing 349 SEALED DOCUMENT RE: EXHIBIT A to Plaintiff Securities and Exchange Commission's Motion and Memorandum of Law for Leave to File a Redacted, Public Version of Sealed Docket No. 334. (lwag) |
| Filing 348 SEALED DOCUMENT** DECLARATION of GEORGE B. NEWHOUSE JR. IN SUPPORT OF Defendant Willie James Gault'S OPPOSITION TO THE SEC'S MOTION for Financial Discovery #329 (twdb) |
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Filing 347
ORDER Granting Application to File Under Seal Exhibit A #345 by Judge James V. Selna: The Court has received and reviewed Plaintiff Securities and Exchange Commission's Application to File Under Seal Exhibit A to the SEC's Motion and Memorandum of Law for Leave to File a Redacted, Public Version of Sealed Docket No. 334. Based on the foregoing and for good cause shown, THE COURT HEREBY ORDERS that Plaintiff's Application for File Under Seal Exhibit A to the SEC's Motion and Memorandum of Law for Leave to File a Redacted, Public Version of Sealed Docket No. 334 is GRANTED. (lwag)
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Filing 346
ORDER Granting Unopposed Ex Parte Application for Relief #344 by Judge James V. Selna: Having received and reviewed Defendant Willie James Gault's Ex Parte Application for relief from the Service Requirements for Under Seal Filings and good cause appearing therefore, IT IS HEREBY ORDERED that the Ex Parte Application is GRANTED. Plaintiff SEC and Defendant Gault need only serve the respective parties in interest (the SEC and Mr. Gault), with all under-seal filings that contain, disclose, or discuss Mr. Gault's personal finances. Mr. Gault need serve only the Plaintiff SEC, and not other parties, with the Declaration of George B. Newhouse, Jr. and exhibits in support of Mr. Gault's Opposition to the SEC's Motion for Financial Discovery, which was placed under seal by this Court on July 2, 2015. (lwag)
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| Filing 345 APPLICATION for Order for to File Under Seal Exhibit A to Its Motion and Memorandum of Law for Leave to File a Redacted, Public Version of Sealed Docket No. 334 filed by Plaintiff Securities and Exchange Commission. (Attachments: #1 Proposed Order) (Donnelly, Kenneth) |
| Filing 344 EX PARTE APPLICATION for Order for Granting Defendant Willie James Gault's Unopposed Ex Parte Application for Relief from the Service Requirements of Rule 5 for Under Seal Filing filed by Defendant Willie James Gault. (Attachments: #1 Declaration, #2 Proposed Order) (Newhouse, George) |
| Filing 343 NOTICE of Manual Filing filed by Plaintiff Securities and Exchange Commission of Exhibit A to Docket No. 342, the SECs Motion and Memorandum of Law in Support of Its Motion for Leave to File a Redacted, Public Version of Sealed Docket No. 334. (Donnelly, Kenneth) |
| Filing 342 NOTICE OF MOTION AND MOTION to Unseal Document Memorandum in Support of Motion #334 And For Leave to File a Redacted, Public Version of Sealed Docket 334 filed by Plaintiff Securities and Exchange Commission. Motion set for hearing on 8/3/2015 at 01:30 PM before Judge James V. Selna. (Attachments: #1 Exhibit A Placeholder (Exhibit A Will Be Filed Under Seal With Leave of Court), #2 Exhibit B (Correspondence of Counsel)) (Donnelly, Kenneth) |
| Filing 341 SEALED DOCUMENT RE: DECLARATION of George B. Newhouse Jr. in Support of Defendant Willie James Gault's Opposition to the SEC's Motion for Financial Discovery. (lwag) |
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Filing 340
ORDER Granting Application to File Under Seal #339 by Judge James V. Selna: Pursuant to Local Rule 79-5.1, and for good cause shown, the Court hereby issues the following Order on the Application of Defendant Willie J. Gault's ("Defendant") to File Under Seal the Newhouse Declaration and Supporting Exhibits due to the inclusion of personal financial information concerning the Defendant. Based on the foregoing and for good cause shown, THE COURT HEREBY ORDERS that Defendant's Motion to File Under Seal the Newhouse Declaration and Supporting Exhibits is GRANTED. (lwag)
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| Filing 339 NOTICE of Under Seal Filing filed Willie James Gault (Attachments: #1 Proposed Order Application of Defendant to File Under Seal the Dec of George B. Newhouse, Jr. and Supporting Exhibits Submitted In Opposition to the SEC's Motion for Financial Discovery)(Newhouse, George) |
| Filing 338 NOTICE of Manual Filing filed by Defendant Willie James Gault of Declaration of George B. Newhouse, Jr. In Support of Gault's Opposition to the SEC's Motion for Financial Discovery. (Newhouse, George) |
| Filing 337 OPPOSITION to MOTION for Order for Financial Discovery and to Amend the Briefing Schedule on Remedies #329 filed by Defendant Willie James Gault. (Newhouse, George) |
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Filing 336
ORDER by Judge James V. Selna: Continuing Briefing Schedule and Hearing on Plaintiff Securities and Exchange Commission's Motion for Financial Discovery. Gault's opposition/response to the SEC Motion will be due on or before July 6, 2015. The SEC's reply, if any, shall be due on or before July 20, 2015. The Hearing on the SEC Motion shall be continued from July 13, 2015 to August 3, 2015 (mt)
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| Filing 335 JOINT STIPULATION to MOTION for Order for Financial Discovery and to Amend the Briefing Schedule on Remedies #329 filed by Defendant Willie James Gault. (Attachments: #1 Proposed Order Continuing Briefing Schedule and Hearing on Plaintiff SEC's Motion for Financial Discovery)(Newhouse, George) |
| Filing 334 SEALED DOCUMENT RE: MEMORANDUM of Law in Support of Its Motion for Financial Discovery and to Amend the Briefing Schedule on Remedies. (lwag) |
| Filing 333 MINUTES (IN CHAMBERS) by Judge James V. Selna: Order Denying Defendant Gault's Motion for Judgment as a Matter of Law and Denying Motion for a New Trial #318 . (mt) |
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Filing 332
ORDER by Judge James V. Selna: Granting Plaintiff Securities and Exchange Commission's Motion to Seal Its Memorandum in Support of Its Motion for Financial Discovery and to Amend the Briefing Schedule on Remedies #330 (mt)
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| Filing 331 MINUTES OF HEARING on Defendant Gault's Motion for Judgment as a Matter of Law, or alternatively, for New Trial. The Court takes the defendant's Motion #318 for Judgment as a Matter of Law, or alternatively for New Trial Under SubmissionCourt Reporter: Sharon Seffens. (kt) |
| Filing 330 NOTICE OF MOTION AND MOTION for Order for Filing Under Seal the SEC's Memorandum in Support of Its Motion for Financial Discovery and to Amend the Briefing Schedule on Remedies and supporting documents filed by Plaintiff Securities and Exchange Commission. (Attachments: #1 Proposed Order)(Bentsen, Derek) |
| Filing 329 NOTICE OF MOTION AND MOTION for Order for Financial Discovery and to Amend the Briefing Schedule on Remedies filed by Plaintiff Securities and Exchange Commission. Motion set for hearing on 7/13/2015 at 01:30 PM before Judge James V. Selna. (Attachments: #1 Proposed Order)(Bentsen, Derek) |
| Filing 328 NOTICE of Manual Filing filed by Plaintiff Securities and Exchange Commission (Bentsen, Derek) |
| Filing 327 NOTICE OF FILING TRANSCRIPT filed for proceedings 2-17-15 10:35 a.m. re Transcript #326 THERE IS NO PDF DOCUMENT ASSOCIATED WITH THIS ENTRY. (Seffens, Sharon) TEXT ONLY ENTRY |
| Filing 326 TRANSCRIPT for proceedings held on 2-17-15 10:35 a.m.. Court Reporter/Electronic Court Recorder: Sharon Seffens, phone number (714) 543-0870. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Electronic Court Recorder before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Notice of Intent to Redact due within 7 days of this date. Redaction Request due 6/24/2015. Redacted Transcript Deadline set for 7/4/2015. Release of Transcript Restriction set for 9/1/2015. (Seffens, Sharon) |
| Filing 325 RESPONSE IN SUPPORT of MOTION for Judgment as a Matter of Law #318 filed by Defendant Willie James Gault. (Attachments: #1 Proposed Order)(Whitehead, Henry) |
| Filing 324 OPPOSITION re: MOTION for Judgment as a Matter of Law #318 filed by Plaintiff Securities and Exchange Commission. (Attachments: #1 Declaration, #2 Exhibit A, #3 Exhibit B, #4 Exhibit C, #5 Exhibit D, #6 Exhibit E, #7 Exhibit F, #8 Exhibit G, #9 Exhibit H, #10 Exhibit I, #11 Exhibit J, #12 Exhibit K, #13 Exhibit L, #14 Exhibit M, #15 Exhibit N, #16 Exhibit O, #17 Exhibit P, #18 Exhibit Q, #19 Exhibit R, #20 Exhibit S, #21 Exhibit T, #22 Exhibit U, #23 Exhibit V, #24 Exhibit W, #25 Exhibit X, #26 Exhibit Y)(Bentsen, Derek) |
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Filing 322
ORDER by Judge James V. Selna: Granting #321 Motion for Leave to Appeal In Forma Pauperis. The Court has considered the motion and the motion is Granted. A transcript is needed to decide the issue presented by the proposed appeal, all within the meaning of 28 U.S.C. 753. The Court Reporter is directed to prepare and file with the Clerk of this Court an original and one copy of a transcript of all proceedings had in this Court in this cause. [See document for further details]. (car)
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| Filing 323 TRANSCRIPT ORDER Court Reporter. Transcript portion requested Hearing Date: 2/17/15. Transcript preparation will not begin until payment has been satisfied with the court reporter/recorder. (ha) |
| Filing 321 MOTION and Affidavit for Leave to Appeal In Forma Pauperis filed by Defendant Mitchell Jay Stein. (car) |
| Filing 320 Proof OF SERVICE filed by defendant Willie James Gault, re Notice of Motion #319 served on 4-23-15. (Newhouse, George) |
| Filing 319 NOTICE OF MOTION re MOTION for Judgment as a Matter of Law #318 (Amended Notice of Motion) filed by Defendant Willie James Gault. Motion set for hearing on 6/15/2015 at 01:30 PM before Judge James V. Selna. (Newhouse, George) |
| Filing 318 NOTICE OF MOTION AND MOTION for Judgment as a Matter of Law filed by defendant Willie James Gault. Motion set for hearing on 6/15/2015 at 08:30 AM before Judge James V. Selna. (Attachments: #1 Declaration George B. Newhouse, Jr., #2 Exhibit A)(Newhouse, George) |
| Filing 317 MINUTES OF Post Trial Status Conference held before Judge James V. Selna: Cause called and counsel make their appearances. The Court and counsel confer regarding financial discovery issues.Court Reporter: Sharon Seffens. (lwag) |
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Filing 316
ORDER Re: Stipulation Regarding Schedule for Post-Verdict Briefing #315 by Judge James V. Selna: Pursuant to the Stipulation between the parties and good cause appearing, the schedule regarding post-verdict briefing in the above-captioned matter is hereby entered by the Court as follows: Mr. Gault's Motion shall be filed on or before April 20, 2015; SEC's oppostion to Mr. Gault's Motion shall be filed on or before May 18, 2015; See document for further dates and information. (lwag)
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| Filing 315 STIPULATION for Hearing filed by Defendant Willie James Gault. (Attachments: #1 Proposed Order Re: Stipulation Regarding Schedule for Post-Verdict Briefing)(Whitehead, Henry) |
| Filing 314 AMENDED NOTICE OF APPEAL to 9th CIRCUIT filed by Appellant Mitchell Jay Stein. Amending Notice of Appeal to 9th Circuit Court of Appeals, #309 Filed On: 3/31/15; Entered On: 3/31/15; (mat) |
| Filing 313 (IN CHAMBERS) The Court, at the request of counsel, CONTINUES the TIME of the post trial Status Conference, previously scheduled for 4/16/15 at 9:30 AM, to THURSDAY, 4/16/2015 at 11:00 AM before Judge James V. Selna. THERE IS NO PDF DOCUMENT ASSOCIATED WITH THIS ENTRY. (kt) TEXT ONLY ENTRY |
| Filing 312 (IN CHAMBERS) The Court CONTINUES the TIME of the post trial Status Conference, previously scheduled for 4/16/15 at 8:00 AM, to Thursday, 4/16/2015 at 9:30 AM before Judge James V. Selna. THERE IS NO PDF DOCUMENT ASSOCIATED WITH THIS ENTRY. (kt) TEXT ONLY ENTRY |
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Filing 311
MINUTES (IN CHAMBERS): ORDER Denying Defendant Stein's Motion for Reconsideration #288 by Judge James V. Selna: Defendant Mitchell J. Stein moves the Court to reconsider its order granting summary judgment based on the collateral effect of Stein's criminal conviction. Stein also seeks reconsideration of this Court's order denying his request to stay the SEC's summary judgment motion until he had an opportunity to conduct more discovery. Stein's motion for reconsideration is groundless and amounts to a mere attempt to relitigate the SEC's motion for summary judgment and Stein's motion to stay. Accordingly, the Court denies Stein's motion. The Court further finds that oral argument would not be helpful on this matter, and vacates the April 13, 2015 hearing. Fed.R.Civ.P. 78; L.R. 7-15. (lwag)
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| Filing 310 NOTIFICATION by Circuit Court of Appellate Docket Number 15-55506, 9th CCA regarding Notice of Appeal to 9th Circuit Court of Appeals, #309 as to Defendant Mitchell Jay Stein. (car) |
| Filing 309 NOTICE OF APPEAL to the 9th CCA filed by Defendant Mitchell Jay Stein. Appeal of Judgment, #277 , Order on Motion for Summary Judgment, Order on Motion for Summary Adjudication, #255 Filing fee $505, receipt number SA011380. (Attachments: #1 Receipt for appeal payment) (car) |
| APPEAL FEE PAID: as to Defendant Mitchell Jay Stein; Receipt Number: SA011380 in the amount of $505. (dro) |
| Filing 308 AMENDED REPLY TO OPPOSITION TO MOTION FOR RECONSIDERATION OF SUMMARY JUDGMENT ORDER AGAINST DEFENDANT MITCHELL J STEIN #288 filed by Defendant Mitchell Jay Stein. (mt) |
| Filing 307 DEFENDANT MITCHELL J. STEIN'S REPLY to Opposition #306 filed by Defendant Mitchell Jay Stein. (dro) |
| Filing 306 OPPOSITION to MOTION for Reconsideration #288 filed by Plaintiff Securities and Exchange Commission. (Bentsen, Derek) |
| Filing 305 NOTICE of Change of Attorney Business or Contact Information: for attorney George B Newhouse, Jr counsel for Defendant Willie James Gault. Changing address and firm to Dentons US LLP 601 South Figueroa Street, Suite 2500, Los Angeles, CA 90017. Changing e-mail and fax to henry.whitehead@dentons.com (213) 623-9924. Filed by Defendant Willie James Gault. (Newhouse, George) |
| Filing 300 Notice of Appearance or Withdrawal of Counsel: for attorney George B Newhouse, Jr counsel for Defendant Willie James Gault. Filed by Defendant Willie James Gault. (Newhouse, George) |
| Filing 304 LIST OF EXHIBITS AND WITNESSES at trial. (twdb) |
| Filing 303 JURY INSTRUCTIONS (twdb) Modified on 3/19/2015 (twdb). |
| Filing 302 MINUTES OF Jury Trial - 8th Day held and completed before Judge James V. Selna: Verdict reached. Jury FINDS: in favor of plaintiff in part and defendant in part. Jury polled. The Court sets the post trial hearing on the issue of damages for 04/16/15 at 8:00 a.m. Court Reporter: Sharon Seffens. (nbo) |
| Filing 299 RECEIPT FOR RELEASE OF EXHIBITS to Counsel Upon Verdict/Judgment at Trial; Pursuant to stip of counsel and/or by Order of the Court, all exhibits listed on Joint exhibits list are returned to counsel for respective party(ies). (mt) |
| Filing 298 UNREDACTED JURY VERDICT FORM, RE REDACTED JURY VERDICT FORM #296 (mt) |
| Filing 297 UNREDACTED JURY NOTE NUMBER 1, Re REDACTED Jury Notes # 1 #295 (mt) |
| Filing 296 REDACTED JURY VERDICT FORM (mt) |
| Filing 295 REDACTED Jury Notes # 1 filed. (twdb) |
| Filing 301 MINUTES OF Jury Trial - 7th Day held before Judge James V. Selna: Jury resumes deliberations. Jury Trial continued to 3/18/2015 09:00 AM before Judge James V. Selna. Court Reporter: Not Present. (nbo) |
| Filing 294 NOTICE OF LODGING filed Transcripts of Deposition Testimony of Mitchell Stein, As Shown to Jury re Jury Trial - Held and Continued, #292 (Attachments: #1 Exhibit 1)(Donnelly, Kenneth) |
| Filing 291 NOTICE OF LODGING filed Transcripts of Deposition Testimony of Willie Gault, As Shown to Jury re Jury Trial - Held and Continued #287 (Attachments: #1 Exhibit 1)(Donnelly, Kenneth) |
| Filing 293 MINUTES OF Jury Trial - 6th Day held before Judge James V. Selna: Exhibits identified and admitted. Closing Arguments made. See minute order for more information. Jury Trial continued to 3/17/2015 09:00 AM before Judge James V. Selna.Court Reporter: Sharon Seffens. (twdb) |
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Filing 290
ORDER by Judge James V. Selna: denying #289 Ex Parte Application for Appointment of Appellate Counsel Pursuant to 28 USC 1915. (twdb)
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| Filing 289 EX PARTE APPLICATION for Appointment of Appellate Counsel to Indigent Defendant filed by defendant Mitchell Jay Stein. Lodged proposed order.(twdb) |
| Filing 292 MINUTES OF Jury Trial - 5th Day held before Judge James V. Selna: Witnesses called, sworn and testified. Exhibits identified and admitted. Jury Trial continued to 3/13/2015 09:00 AM before Judge James V. Selna. Court and counsel confer regarding Plaintiffs Motion to Dismiss #286 . Court grants in part and denies in part. Court and counsel confer regarding proposed jury instructions. Court Reporter: Sharon Seffens. (twdb) |
| Filing 288 NOTICE OF MOTION AND MOTION for Reconsideration of summary judgment order against Defendant Mitchell J. Stein filed by defendant Mitchell Jay Stein. Motion set for hearing on 4/13/2015 at 01:30 PM before Judge James V. Selna. (twdb) |
| Filing 286 NOTICE OF MOTION AND MOTION to Dismiss The SEC's Exchange Act Rule 13A-14 Claim (Rule 12(B)(1) filed by Defendant Willie James Gault. Motion set for hearing on 3/12/2015 at 08:30 AM before Judge James V. Selna. (Newhouse, George) |
| Filing 287 MINUTES OF Jury Trial - 4th Day held before Judge James V. Selna: Witnesses called, sworn and testified. Exhibits identified and admitted. Jury Trial set for 3/12/2015 09:00 AM before Judge James V. Selna.Court Reporter: Sharon Seffens. (twdb) |
| Filing 285 MINUTES OF Jury Trial - 3rd Day held before Judge James V. Selna: Witnesses called, sworn and testified. Exhibits identified and admitted. Jury Trial continued to 3/11/2015 09:00 AM before Judge James V. Selna.Court Reporter: Sharon Seffens. (twdb) |
| Filing 284 NOTICE OF LODGING filed Transcripts of Deposition Testimony of Rowland Perkins, As Shown to Jury re Jury Trial - Held and Continued, #281 (Attachments: #1 Exhibit 1, #2 Exhibit 2)(Donnelly, Kenneth) |
| Filing 283 Rulings on Objections RE Gault Depositions filed by plaintiff, defendant Willie James Gault, Securities and Exchange Commission. (twdb) |
| Filing 282 SUPPLEMENT to Trial Brief, #271 filed by Plaintiff Securities and Exchange Commission. (Donnelly, Kenneth) |
| Filing 281 MINUTES OF Jury Trial - 2nd Day held before Judge James V. Selna: Witnesses called, sworn and testified. Exhibits identified and admitted. Jury Trial continued to 3/10/2015 at 08:30 AM before Judge James V. Selna. The Court conditionally grants Motion in Limine #272 to be revisited after further evidence. Court Reporter: Sharon Seffens. (nbo) |
| Filing 279 RULINGS on Objections to Perkins Deposition filed by - (twdb) |
| Filing 280 MINUTES OF Jury Trial - 1st Day held before Judge James V. Selna: Jury impaneled and sworn. Opening statements made. Witnesses called, sworn and testified. Exhibits identified and admitted. Jury Trial continued to 3/4/2015 at 08:30 AM before Judge James V. Selna. Court Reporter: Sharon Seffens. (nbo) |
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Filing 278
AMENDMENT TO FINAL PRETRIAL CONFERENCE ORDER by Judge James V. Selna, re Pretrial Conference Order - Final #262 (mt)
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| Filing 277 FINAL JUDGMENT by Judge James V. Selna, AGAINST DEFENDANT STEIN IMPOSING PERMANENT INJUNCTIONS, PERMANENT OFFICER AND DIRECTOR BAR, PERMANENT PENNY STOCK BAR, DISGORGEMENT WITH PREJUDGMENT INTEREST, AND A CIVIL PENALTY. See Judgment for more information. (twdb) |
| Filing 276 OBJECTIONS to Deposition and Investigative Testimony Designations (Joint) filed by Plaintiff Securities and Exchange Commission. (Donnelly, Kenneth) |
| Filing 275 PROPOSED JURY VERDICT filed by Plaintiff Securities and Exchange Commission. (Donnelly, Kenneth) |
| Filing 274 NOTICE OF LODGING Proposed Pretrial Conference Order Plaintiff Securities and Exchange Commission. Filed on behalf of both parties. (Attachments: #1 Proposed Amended Pretrial Conference Order)(Donnelly, Kenneth) |
| Filing 273 Amended Joint Exhibit List filed by Plaintiff Securities and Exchange Commission on behalf of both parties Securities and Exchange Commission.. (Donnelly, Kenneth) |
| Filing 272 NOTICE OF MOTION AND MOTION IN LIMINE to Exclude Adverse Inference Against Defendant Arising Out of Non-Party Mitchell Stein's Invocation of the 5th Amendment filed by Defendant Willie James Gault. Motion set for hearing on 3/3/2015 at 08:30 AM before Judge James V. Selna. (Attachments: #1 Declaration of George B. Newhouse, Jr., In Support of Defendant's Motiobn In Limine)(Newhouse, George) |
| Filing 271 TRIAL BRIEF Regarding the Admissibility of Deposition Testimony of Mitchell Stein filed by Plaintiff Securities and Exchange Commission.. (Attachments: #1 Declaration, #2 Exhibit 1, #3 Exhibit 2, #4 Exhibit 3, #5 Exhibit 4)(Donnelly, Kenneth) |
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Filing 270
ORDER Granting Access to Loading Dock to Bring Equipment Into Courtroom for Trial by Judge James V. Selna. The Court GRANTS the Parties' joint request #268 to access the loading dock of the Ronald Reagan Building and Courthouse to bring the following items into Courtroom 10C of the Santa Ana Division of the Central District of California, on the afternoon of March 2, 2015 at 3:00 p.m. The Parties shall coordinate with the Court Room Deputy concerning the precise time. (see document for details). (dro)
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| Filing 269 Proposed Voir Dire Questions filed by Plaintiff Securities and Exchange Commission.. (Donnelly, Kenneth) |
| Filing 268 Joint STIPULATION for Order filed by Plaintiff Securities and Exchange Commission. (Attachments: #1 Proposed Order)(Donnelly, Kenneth) |
| Filing 267 Proposed Voir Dire Questions filed by Defendant Willie James Gault.. (Newhouse, George) |
| Filing 266 PROPOSED JURY INSTRUCTIONS filed by Plaintiff Securities and Exchange Commission on behalf of both parties Securities and Exchange Commission.. (Donnelly, Kenneth) |
| Filing 264 NOTICE of Change of Attorney Business or Contact Information: for attorney George B Newhouse, Jr counsel for Defendant Willie James Gault. Changing FIRM NAME to DENTONS US LLP. Changing email to george.newhouse@dentons.com. Filed by Defendant Willie James Gault. (Newhouse, George) |
| Filing 263 Notice of Electronic Filing re Pretrial Conference Order - Final #262 e-mailed to Attorney George Newhouse at geoge.newhouse@dentons.com bounced due to typo in email address. Primary e-mail address corrected. Notice of Electronic Filing resent addressed to george.newhouse@dentons.com. 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. (ir) TEXT ONLY ENTRY |
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Filing 262
FINAL PRETRIAL CONFERENCE ORDER approved by Judge James V. Selna (twdb)
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| Filing 265 MINUTES OF Final Pretrial Conference held before Judge James V. Selna. Cause called and counsel make their appearances. The Court and counsel confer regarding trial procedures and scheduling. The Court will sign and file the revised pretrial conference order. Court Reporter: Sharon Seffens. (dro) |
| Filing 261 MINUTES OF Motion Hearing held before Judge James V. Selna: Plaintiffs' Motions in Limine (Fld 1-26-15) 1) to Preclude Evidence of Adverse Consequences #207 2) to Preclude the Use of Postal Inspector Interview Summaries #208 3) to Preclude Evidence and Arguments of Reliance on the Advice of Others #210 4) to Exclude the Expert Testimony of David C. Smith, PhD. #209 Defendant Gault's Motion in Limine (fld 1-26-15) 1) to Exclude Evidence of Events or Actions Occurring after 12/31/2008 #211 2) to Exclude Evidence of Kolinek Loan #212 3) to Exclude Evidence of Mr. Gault's Involvement in Market Manipulation of HeartTronics' Stock In and Around 2008 #213 . The Court rules in accordance with the tentative rulings as follows: (See document for details.) Court Reporter: Sharon Seffens. (mt) |
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Filing 260
MINUTES (IN CHAMBERS): ORDER by Magistrate Judge Robert N. Block: Defendant Stein's Two Discovery Motions;deferring ruling on #191 Motion to Compel Answers to Interrogatories; deferring ruling on #192 Motion to Compel (twdb)
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Filing 259
ORDER by Judge James V. Selna: granting #258 Application to Appear Pro Hac Vice by Attorney Melissa J. Armstrong on behalf of Plaintiff SEC, designating David J. Van Havermaat as local counsel. (lt)
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| Filing 258 APPLICATION for attorney Melissa J. Armstrong to Appear Pro Hac Vice (PHV FEE WAIVED.) filed by Plaintiff Securities and Exchange Commission. (Attachments: #1 Proposed Order)(Van Havermaat, David) |
| Filing 257 NOTICE OF LODGING filed re Order on Motion for Summary Judgment,, Order on Motion for Summary Adjudication, #255 (Attachments: #1 Proposed Order Proposed Final Judgment as to Defendant Stein, #2 Exhibit Email from Defendant Stein)(Donnelly, Kenneth) |
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Filing 256
MINUTES (IN CHAMBERS) ORDER by Judge James V. Selna Denying #203 Stein's Ex Parte Application for Appointment of Counsel. (nbo)
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| Filing 255 MINUTES (IN CHAMBERS) by Judge James V. Selna: Order Granting in Part and Denying in Part Plaintiff's MOTION for Summary Judgment Against Defendant Stein as to Claims One, Two, Three, Five, Seven, Eight, and Nine #175 and Denying Defendant Stein's Motion for Summary Adjudication #186 (mt) |
| Filing 254 NOTICE OF LODGING Proposed Pretrial Conference Order Plaintiff Securities and Exchange Commission. (Attachments: #1 Pretrial Conference Order)(Bentsen, Derek) |
| Filing 253 SUPPLEMENT to MOTION for Summary Judgment Against Defendant Stein as to Claims One, Two, Three, Five, Seven, Eight, and Nine #175 filed by Plaintiff Securities and Exchange Commission. (Donnelly, Kenneth) |
| Filing 252 MINUTES OF Motion Hearing held before Judge James V. Selna: Re #175 Motion for Summary Judgment and #186 Motion for Summary Adjudication. The Courts tentative ruling is issued. The parties make their arguments. The Court takes the above referenced motions under submission. Court Reporter: Sharon Seffens. (dg) |
| Filing 251 NOTICE OF ERRATA filed by Defendant Mitchell Jay Stein. correcting Declaration (Motion related), #185 , MOTION for Summary Adjudication #186 , Statement (Motion related) #187 (dro) |
| Filing 249 MEMORANDUM of CONTENTIONS of FACT and LAW filed by DEFENDANT Willie James Gault. (Newhouse, George) |
| Filing 248 REPLY in Support of MOTION IN LIMINE to Exclude the Expert Testimony of David C. Smith, PhD. #209 filed by Plaintiff Securities and Exchange Commission. (Attachments: #1 Declaration of Derek Bentsen, #2 Exhibit 1)(Bentsen, Derek) |
| Filing 247 Witness List filed by Defendant Willie James Gault.. (Newhouse, George) |
| Filing 246 REPLY in support of MOTION IN LIMINE (#1) to Exclude Evidence of Events or Actions Occurring After 12/31/2008 #211 and Errata to include Exhibit A to Declaration of GBNewhouse filed by Defendant Willie James Gault. (Newhouse, George) |
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Filing 245
MINUTES (IN CHAMBERS): ORDER by Judge James V. Selna: granting #228 Defendant Mitchell Stein's Request for Order to Appear Telephonically at Hearing on 2/17/15. See minute order for more information. (twdb)
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| Filing 244 MEMORANDUM of CONTENTIONS of FACT and LAW filed by Plaintiff Securities and Exchange Commission. (Donnelly, Kenneth) |
| Filing 243 Joint Exhibit List of Plaintiff and Defendant Gault, filed by the Securities and Exchange Commission.. (Donnelly, Kenneth) |
| Filing 242 REPLY to SEC's Opposition to MOTION IN LIMINE (#3) to Exclude Evidence of Mr. Gault's Involvement in Market Manipulation of Heart Tronics's Stock In and Around 2008 #213 filed by Defendant Willie James Gault. (Newhouse, George) |
| Filing 241 Witness List filed by Plaintiff Securities and Exchange Commission.. (Donnelly, Kenneth) |
| Filing 240 REPLY to SEC's Opposition to MOTION IN LIMINE (#2) to Exclude Evidence of Kolinek Loan #212 filed by Defendant Willie James Gault. (Newhouse, George) |
| Filing 239 REPLY in support of MOTION IN LIMINE (#1) to Exclude Evidence of Events or Actions Occurring After 12/31/2008 #211 filed by Defendant Willie James Gault. (Newhouse, George) |
| Filing 237 REPLY In Further Support Of MOTION IN LIMINE (#3) to Preclude Evidence and Arguments of Reliance on the Advice of Others #210 filed by Plaintiff Securities and Exchange Commission. (Attachments: #1 Declaration in Support of Reply Brief, #2 Exhibit 1, #3 Exhibit 2, #4 Exhibit 3)(Donnelly, Kenneth) |
| Filing 236 REPLY In Further Support Of MOTION IN LIMINE (#2) to Preclude the Use of Postal Inspector Interview Summaries #208 filed by Plaintiff Securities and Exchange Commission. (Donnelly, Kenneth) |
| Filing 238 Mail Returned. Addressed to 6700 Fallbrook Ave West Hills, CA 91307 re: Order on Ex Parte Application to Continue #182 . (dv) |
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Filing 235
MINUTES (IN CHAMBERS): ORDER by Judge James V. Selna: denying #173 Motion for Partial Summary Judgment as to SEC's First, Second and Third Claims. (twdb)
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| Filing 234 OPPOSITION to MOTION IN LIMINE to Exclude the Expert Testimony of David C. Smith, PhD. #209 filed by Defendant Willie James Gault. (Attachments: #1 Declaration)(Newhouse, George) |
| Filing 233 MINUTES OF Motion Hearing held before Judge James V. Selna: Cause called and counsel make their appearances. The Courts tentative ruling is issued. Counsel make their arguments. The Court takes the above referenced motions under submission. taking under advisement #173 Motion for Partial Summary Judgment; Court Reporter: Sharon Seffens. (twdb) |
| Filing 232 DECLARATION of Jared J. Scharf in support of Defendant's Cross-Motion for Summary Adjudication re REQUEST for Order #228 filed by Defendant Mitchell Jay Stein. (mba) |
| Filing 231 OPPOSITION IN OPPOSITION TO re: MOTION IN LIMINE (#3) to Preclude Evidence and Arguments of Reliance on the Advice of Others #210 filed by Defendant Willie James Gault. (Attachments: #1 Declaration Errata Opposition Attaching Newhouse Declaration)(Newhouse, George) |
| Filing 230 OPPOSITION re: MOTION IN LIMINE (#3) to Preclude Evidence and Arguments of Reliance on the Advice of Others #210 filed by Defendant Willie James Gault. (Newhouse, George) |
| Filing 229 NOTICE of Non-Opposition to Cross-Motion for Summary Adjudication filed by Defendant Mitchell Jay Stein. (nbo) |
| Filing 228 Defendant Mitchell J. Stein's Request for Oral Argument on Plaintiff's Motion for Summary Judgment and Defendant's Cros-Motion for Summary Adjudication Set for Hearing on February 17, 2015 filed by defendant Mitchell Jay Stein. Request set for hearing on 2/17/2015 at 10:30 AM before Judge James V. Selna. (mba) |
| Filing 227 OPPOSITION to MOTION IN LIMINE (#2) to Preclude the Use of Postal Inspector Interview Summaries #208 filed by Defendant Willie James Gault. (Newhouse, George) |
| Filing 226 REPLY non-opposition to MOTION IN LIMINE (#1) to Preclude Evidence of Adverse Consequences #207 filed by Defendant Willie James Gault. (Newhouse, George) |
| Filing 225 MEMORANDUM in Opposition to MOTION IN LIMINE (#3) to Exclude Evidence of Mr. Gault's Involvement in Market Manipulation of Heart Tronics's Stock In and Around 2008 #213 filed by Plaintiff Securities and Exchange Commission. (Bentsen, Derek) |
| Filing 224 MEMORANDUM in Opposition to MOTION IN LIMINE (#2) to Exclude Evidence of Kolinek Loan #212 filed by Plaintiff Securities and Exchange Commission. (Bentsen, Derek) |
| Filing 223 MEMORANDUM in Opposition to MOTION IN LIMINE (#1) to Exclude Evidence of Events or Actions Occurring After 12/31/2008 #211 filed by Plaintiff Securities and Exchange Commission. (Bentsen, Derek) |
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Filing 222
MINUTES (IN CHAMBERS): ORDER by Judge James V. Selna: Holding in Abeyance Mitchell Stein #203 Ex Parte Application for Appointment of Counsel. (twdb)
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| Filing 221 REPLY In Further Support Of MOTION for Summary Judgment Against Defendant Stein as to Claims One, Two, Three, Five, Seven, Eight, and Nine #175 filed by Plaintiff Securities and Exchange Commission. (Attachments: #1 Declaration in Support of Reply Brief, #2 Exhibit 1 (Stein's Motion for New Trial), #3 Exhibit 2 (Stein's First Amended Motion for New Trial), #4 Exhibit 3 (Stein's Second Motion for New Trial), #5 Exhibit 4 (Order Denying Post-Trial Motions), #6 Exhibit 5 (Stein's Motion for Reconsideration), #7 Exhibit 6 (Order Denying Stein's Motion for Brady Disclosure), #8 Exhibit 7 (unpublished op.), #9 Exhibit 8 (unpublished op.))(Donnelly, Kenneth) |
| Filing 220 FIRST AMENDED OPPOSITION to MOTION for Summary Judgment #175 filed by Defendant Mitchell Jay Stein. (twdb) |
| Filing 219 STATEMENT of Genuine Issues in Opposition to MOTION for Summary Judgment Evidentiary Objections #175 filed by Defendant Mitchell Jay Stein. (Attachments: #1 part 2)(twdb) |
| Filing 218 SUPPLEMENTAL DECLARATION of Mitchell J. Stein in support of Opposition to MOTION for Summary Judgment and in support of Statement of Genuine Issues and Defendant's Cross Motion for Summary Adjudication #186 filed by Defendant Mitchell Jay Stein. (Attachments: #1 part 2, #2 part 3, #3 part 4, #4 part 5)(twdb) |
| Filing 217 (IN CHAMBERS) The Court, on its own motion, ADVANCES THE TIME of the hearing on Defendant Gault's MOTIONS IN LIMINE (#1) to Exclude Evidence of Events or Actions Occurring After 12/31/2008 #211 , (#2) to Exclude Evidence of Kolinek Loan #212 , and (#3) to Exclude Evidence of Mr. Gault's Involvement in Market Manipulation of Heart Tronics's Stock In and Around 2008 #213 , previously scheduled for 2/23/15 at 1:30 pm, to MONDAY 2/23/2015 at 11:00 AM before Judge James V. Selna. THERE IS NO PDF DOCUMENT ASSOCIATED WITH THIS ENTRY. (kt) TEXT ONLY ENTRY |
| Filing 216 (IN CHAMBERS) The Court hereby DIRECTS that the ORDER at Docket Entry 198, setting the Pretrial Conference for 2/17/15 at 10:30 AM be VACATED as issued in error. The Pretrial Conference was re-set for 2/23/2015 at 11:00 AM in Docket Entry 182 before Judge James V. Selna. THERE IS NO PDF DOCUMENT ASSOCIATED WITH THIS ENTRY. (kt) TEXT ONLY ENTRY |
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Filing 215
MINUTE ORDER (IN CHAMBERS) by Magistrate Judge Robert N. Block regarding Defendant Steins Two Discovery Motions #191 , #192 : The parties are advised that, due to Judge Nakazatos unavailability, these discovery motions will be decided by Magistrate Judge Block. The parties further are advised that, with the District Judges concurrence, consideration of these motions is being deferred until after the District Judge rules on the SECs pending summary judgment motion. Accordingly, the hearings noticed for February 5,2015 are ordered off calendar. (klg)
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| Filing 214 DEFENDANT MITCHELL J. STEIN'S RESPONSE to Statement #206 , filed by Defendant Mitchell Jay Stein (dro) |
| Filing 213 NOTICE OF MOTION AND MOTION IN LIMINE (#3) to Exclude Evidence of Mr. Gault's Involvement in Market Manipulation of Heart Tronics's Stock In and Around 2008 filed by Defendant Willie James Gault. Motion set for hearing on 2/23/2015 at 01:30 PM before Judge James V. Selna.(Newhouse, George) |
| Filing 212 NOTICE OF MOTION AND MOTION IN LIMINE (#2) to Exclude Evidence of Kolinek Loan filed by Defendant Willie James Gault. Motion set for hearing on 2/23/2015 at 01:30 PM before Judge James V. Selna.(Newhouse, George) |
| Filing 211 NOTICE OF MOTION AND MOTION IN LIMINE (#1) to Exclude Evidence of Events or Actions Occurring After 12/31/2008 filed by Defendant Willie James Gault. Motion set for hearing on 2/23/2015 at 01:30 PM before Judge James V. Selna. (Attachments: #1 Declaration, #2 Proposed Order)(Newhouse, George) |
| Filing 210 NOTICE OF MOTION AND MOTION IN LIMINE (#3) to Preclude Evidence and Arguments of Reliance on the Advice of Others Securities and Exchange Commission. Motion set for hearing on 2/23/2015 at 11:00 AM before Judge James V. Selna. (Attachments: #1 Memorandum in Support of Motion, #2 Declaration of Rachel Nonaka in Support of Motion, #3 Exhibit 1, #4 Exhibit 2, #5 Exhibit 3, #6 Exhibit 4, #7 Exhibit 5, #8 Exhibit 6, #9 Exhibit 7, #10 Exhibit 8, #11 Proposed Order)(Donnelly, Kenneth) |
| Filing 209 NOTICE OF MOTION AND MOTION IN LIMINE to Exclude the Expert Testimony of David C. Smith, PhD. Securities and Exchange Commission. Motion set for hearing on 2/23/2015 at 11:00 AM before Judge James V. Selna. (Attachments: #1 Memorandum in Support of Motion, #2 Declaration of Derek Bentsen in Support of Motion, #3 Exhibit 1 - Form 10-Q Excerpts, #4 Exhibit 2 - Expert Report, #5 Exhibit 3 - Deposition Excerpts, #6 Proposed Order)(Donnelly, Kenneth) |
| Filing 208 NOTICE OF MOTION AND MOTION IN LIMINE (#2) to Preclude the Use of Postal Inspector Interview Summaries Securities and Exchange Commission. Motion set for hearing on 2/23/2015 at 11:00 AM before Judge James V. Selna. (Attachments: #1 Memorandum in Support of Motion, #2 Exhibit 1 - Transcript, #3 Proposed Order)(Donnelly, Kenneth) |
| Filing 207 NOTICE OF MOTION AND MOTION IN LIMINE (#1) to Preclude Evidence of Adverse Consequences Securities and Exchange Commission. Motion set for hearing on 2/23/2015 at 11:00 AM before Judge James V. Selna. (Attachments: #1 Memorandum in Support of Motion, #2 Exhibit 1 -- Unpublished Opinion, #3 Proposed Order)(Donnelly, Kenneth) |
| Filing 206 STATEMENT of Plaintiff Securities and Exchange Commission's Response to EX PARTE APPLICATION for Appointment of Counsel #203 filed by Plaintiff Securities and Exchange Commission. (Attachments: #1 Declaration of Derek Bentsen, #2 Exhibit 1, #3 Exhibit 2, #4 Exhibit 3, #5 Exhibit 4, #6 Exhibit 5, #7 Exhibit 6)(Bentsen, Derek) |
| Filing 205 DECLARATION of Jonathan B. Kasen in Support o EX PARTE APPLICATION for Appointment of Counsel #203 filed by Defendant Mitchell Jay Stein. (Attachments: #1 Part 2, #2 Part 3)(dro) |
| Filing 204 DECLARATION of Mitchell J. Stein in Support EX PARTE APPLICATION for Appointment of Counsel #203 (dro) |
| Filing 203 DEFENDANT MITCHELL J. STEIN'S EX PARTE APPLICATION for Appointment of Trial Counsel to Indigent Defendant filed by defendant Mitchell Jay Stein.(dro) |
| Filing 202 SUPPLEMENTAL DECLARATION of Mitchell J. Stein in Support of Discovery Motions #192 #191 , filed by Defendant Mitchell Jay Stein. (dro) |
| Filing 201 DEFENDANT MITCHELL J. STEIN'S MEMORANDUM in Support of MOTION to Compel Answers to Interrogatories of plaintiff SEC #191 filed by Defendant Mitchell Jay Stein. (dro) |
| Filing 200 DEFENDANT MITCHELL J. STEIN'S SUPPLEMENTAL MEMORANDUM in Support of MOTION to Compel plaintiff SEC to Produce Documents or, in the Alternative, to Produce a Proper Privilege Log #192 filed by Defendant Mitchell Jay Stein. (dro) |
| Filing 199 DEFENDANT MITCHELL J. STEIN'S REQUEST FOR JUDICIAL NOTICE in Support of Discovery Motions filed by defendant Mitchell Jay Stein. (dro) |
| Filing 198 (IN CHAMBERS) The Court, on its own motion, CONTINUES the TIME of the Final Pretrial Conference, previously scheduled for 2/17/15 at 8:30 AM, to TUESDAY, 2/17/2015 at 10:30 AM before Judge James V. Selna. THERE IS NO PDF DOCUMENT ASSOCIATED WITH THIS ENTRY. (kt) TEXT ONLY ENTRY |
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Filing 197
ORDER by Judge James V. Selna: granting #188 Application to Appear Pro Hac Vice by Attorney Rachel E. Nonaka on behalf of Plaintiff SEC, designating David J. Van Havermaat as local counsel. (lt)
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Filing 196
ORDER by Judge James V. Selna, granting Stipulation for leave to Depose Defendant Mitchel Stein after close of Discovery Cut Off and Directing U.S. Marshals Service to Produce Stein for Deposition #189 . (twdb)
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| Filing 195 REPLY in support of MOTION for Partial Summary Judgment as to SEC's First, Secons, and Third Claims #173 filed by Defendant Willie James Gault. (Attachments: #1 Declaration)(Newhouse, George) |
| Filing 189 Joint STIPULATION for Order for leave to depose Mitchell J. Stein and to direct the U.S. Marshals to produce Mr. Stein for his deposition filed by Defendant Willie James Gault. (Attachments: #1 Proposed Order)(Newhouse, George) |
| Filing 188 APPLICATION for attorney Rachel E. Nonaka to Appear Pro Hac Vice (PHV FEE WAIVED.) filed by Plaintiff Securities and Exchange Commission. (Attachments: #1 Proposed Order)(Van Havermaat, David) |
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Filing 190
NOTICE OF DOCUMENT DISCREPANCIES AND ORDER by Magistrate Judge Arthur Nakazato ORDERING 1) Notice of Motion and Motion by Defendant to Compel Plaintiff to Answer Interrogatories 2 and 4-25; 2) Notice of Motion and Motion to Compel; 3) Joint Stipulation; 4) Supplemental Declaration of Mitchell J. Stein submitted by Defendant Mitchell Jay Stein received on 01/12/2015 to be filed and processed; filed date to be the date the document was stamped Received but not Filed with the Clerk. (dro)
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| Filing 250 MEMORANDUM of Law in Opposition to Plaintiff's Motion for Summary Judgment filed by Defendant Mitchell J. Stein. (lwag) |
| Filing 194 SUPPLEMENTAL DECLARATION of Mitchell J. Stein in Support of Discovery Motions #191 #192 , filed by Defendant Mitchell Jay Stein. (dro) |
| Filing 193 JOINT STIPULATION to MOTION to Compel plaintiff SEC to Produce Documents or, in the Alternative, to Produce a Proper Privilege Log #192 filed by Defendant Mitchell Jay Stein. (Attachments: #1 Part 1 Part 2, #2 Part 1 Part 3, #3 Part 2, #4 Part 3, #5 Part 4)(dro) |
| Filing 192 NOTICE OF MOTION AND MOTION to Compel plaintiff SEC to Produce Documents or, in the Alternative, to Produce a Proper Privilege Log filed by defendant Mitchell Jay Stein. Motion set for hearing on 2/5/2015 at 10:00 AM before Magistrate Judge Arthur Nakazato. (dro) |
| Filing 191 NOTICE OF MOTION AND MOTION to Compel Plaintiff the Securities and Exchange Commission to Answer Interrogatories 2 and 4-25, filed by defendant Mitchell Jay Stein. Motion set for hearing on 2/5/2015 at 10:00 AM before Magistrate Judge Arthur Nakazato. (Attachments: #1 Part 1 Part 2, #2 Part 2, #3 Part 3)(dro) |
| Filing 187 STATEMENT of Uncontroverted facts in support of cross MOTION for Summary Adjudication #186 filed by Defendant Mitchell Jay Stein. (twdb) |
| Filing 186 NOTICE OF MOTION AND MOTION for Summary Adjudication filed by defendant Mitchell Jay Stein. Motion set for hearing on 2/17/2015 at 10:30 AM before Judge James V. Selna. Lodged proposed order. (twdb) |
| Filing 185 DECLARATION of Mitchell J. Stein in Support of Opposition to Motion for Summary Judgment and in Support of Cross-Motion for Summary Adjudication, filed by Defendant Mitchell Jay Stein. (Attachments: #1 part2, #2 part3, #3 part4, #4 part5, #5 part6)(mba) |
| Filing 184 STATEMENT of Disputed and Additional Undisputed Material Facts MOTION for Partial Summary Judgment as to SEC's First, Secons, and Third Claims #173 Opposition filed by Plaintiff Securities and Exchange Commission. (Bentsen, Derek) |
| Filing 183 Opposition opposition re: MOTION for Partial Summary Judgment as to SEC's First, Secons, and Third Claims #173 filed by Plaintiff Securities and Exchange Commission. (Attachments: #1 Declaration of Derek Bentsen with exhibits, #2 Declaration of Robert Kolinek, #3 Declaration of Mark Nevdahl with exhibits)(Bentsen, Derek) |
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Filing 182
ORDER by Judge James V. Selna granting #178 Ex Parte Application to Continue Summary Judgment Briefing Schedule and Hearing. The Court ORDERS as follows: 1. The hearing on Plaintiff's Motion for Summary Judgment, currently scheduled for February 2, 2015, is continued to February 17, 2015 at 10:30 a.m. 2. The deadline to serve an opposition to Plaintiff's Motion for Summary Judgment, currently scheduled for January 12, 2015, is continued to January 28, 2015, and 3. the deadline to serve a reply to Defendant's opposition to the Motion for Summary Judgment, currently scheduled for January 19, 2015, is continued to February 6, 2015. The pretrial conference is continued to February 23, 2015, at 11:00 a.m. IT IS SO ORDERED. (dro)
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Filing 181
MINUTES (IN CHAMBERS) ORDER by Judge James V. Selna Granting Defendant Mitchell J. Stein's Motion for Leave for Defendant's Motion to Compel and Joint Stipulations to be Heard after the Discovery Cutoff Date #170 . The Court further finds that oral argument would not be helpful on this matter, and vacates the January 12, 2015 hearing. (nbo)
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| Filing 180 Opposition re: EX PARTE APPLICATION to Continue Summary Judgment Briefing Schedule and Hearing #178 filed by Plaintiff Securities and Exchange Commission. (Attachments: #1 Exhibit 1 -- Email from Defendant Mitchell J. Stein)(Donnelly, Kenneth) |
| Filing 179 DECLARATION of Mitchell J. Stein in Support of EX PARTE APPLICATION to Continue Summary Judgment Briefing Schedule and Hearing #178 filed by Defendant Mitchell Jay Stein. (dro) |
| Filing 178 EX PARTE APPLICATION to Continue Summary Judgment Briefing Schedule and Hearing filed by defendant Mitchell Jay Stein.(dro) |
| Filing 177 DEFENDANT MITCHELL J. STEIN'S REPLY to Plaintiff's Response to Defendant's Motion for Leave for Defendant's Motion to Compel filed by Defendant Mitchell Jay Stein. (dro) |
| Filing 176 (IN CHAMBERS) The Court, on its own motion, CONTINUES the Plaintiff's MOTION for Summary Judgment Against Defendant Stein as to Claims One, Two, Three, Five, Seven, Eight, and Nine #175 and Defendant Gault's MOTION for Partial Summary Judgment as to SEC's First, Second, and Third Claims #173 , previously scheduled for 1/20/15 at 1:30 PM, to MONDAY, 2/2/2015 at 1:30 PM before Judge James V. Selna. THERE IS NO PDF DOCUMENT ASSOCIATED WITH THIS ENTRY. (kt) TEXT ONLY ENTRY |
| Filing 175 NOTICE OF MOTION AND MOTION for Summary Judgment Against Defendant Stein as to Claims One, Two, Three, Five, Seven, Eight, and Nine filed by Plaintiff Securities and Exchange Commission. Motion set for hearing on 1/20/2015 at 01:30 PM before Judge James V. Selna. (Attachments: #1 Memorandum in Support, #2 Appendix - Statement of Uncontroverted Facts and Conclusjons of Law, #3 Declaration of Adam Eisner, #4 Exhibit 1, #5 Exhibit 2, #6 Exhibit 3 (part 1), #7 Exhibit 3 (part 2), #8 Exhibit 3 (part 3), #9 Exhibit 4, #10 Exhibit 5, #11 Exhibit 6, #12 Exhibit 7, #13 Exhibit 8, #14 Exhibit 9, #15 Exhibit 10, #16 Exhibit 11, #17 Declaration 12, #18 Proposed Order)(Donnelly, Kenneth) |
| Filing 174 DECLARATION of George B. Newhouse, Jr. in support of MOTION for Partial Summary Judgment as to SEC's First, Secons, and Third Claims #173 With Exhibits A-N filed by Defendant Willie James Gault. (Newhouse, George) |
| Filing 173 NOTICE OF MOTION AND MOTION for Partial Summary Judgment as to SEC's First, Secons, and Third Claims filed by Defendant Willie James Gault. Motion set for hearing on 1/20/2016 at 01:30 PM before Judge James V. Selna. (Attachments: #1 Declaration of GBN with Exhs A-N, #2 Exhibit Exhs O-P re GBN Decl, #3 Declaration of Willie Gault, #4 Separate Statement, #5 Proposed Order)(Newhouse, George) |
| Filing 171 STATEMENT of SEC Position MOTION for Leave to for defendant's motions to compel and joint stipulations to be heard #170 filed by Plaintiff Securities and Exchange Commission. (Attachments: #1 Declaration)(Bentsen, Derek) |
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Filing 172
MINUTE ORDER IN CHAMBERS by Judge James V. Selna: Case previously closed in error. re: Judgment #169 . (Case reopened. MD JS-5.) (twdb)
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| Filing 170 NOTICE OF MOTION AND MOTION for Leave for defendant's motions to compel and joint stipulations to be heard after the discovery cutoff date; filed by defendant Mitchell Jay Stein. Motion set for hearing on 1/12/2015 at 01:30 PM before Judge James V. Selna. Lodged proposed order. (twdb) |
| Filing 169 FINAL JUDGMENT AS TO RELIEF DEFENDANT TRACEY HAMPTON-STEIN AND RELIEF DEFENDANTS ARC FINANCE GROUP, LLC, ARC BLIND TRUST, THS BLIND TRUST, JAYMI BLIND TRUST, OAK TREE INVESTMENTS BLIND TRUST, AND WBT INVESTMENTS BLIND TRUST by Judge James V. Selna. (MD JS-6, Case Terminated). (twdb) |
| Filing 167 STIPULATION for Judgment as to Relief Defendants Tracey Hampton-Stein and ARC Finance Group, LLC, ARC Blind Trust, THS Blind Trust, JAYMI Blind Trust, Oak Tree Investments Blind Trust, and WBT Investment Blind Trust filed by Plaintiff Securities and Exchange Commission. (Attachments: #1 Exhibit A - Consent to Final Judgment Against Relief Defendants Hampton-Stein and ARC Finance Group, LLC, ARC Blind Trust, THS Blind Trust, JAYMI Blind Trust, Oak Tree Investments Blind Trust, and WBT Investment Blind Trust, #2 Exhibit B - Proposed Final Judgment Against Relief Defendants Hampton-Stein and ARC Finance Group, LLC, ARC Blind Trust, THS Blind Trust, JAYMI Blind Trust, Oak Tree Investments Blind Trust, and WBT Investment Blind Trust)(Donnelly, Kenneth) |
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Filing 166
MINUTES (IN CHAMBERS): ORDER by Magistrate Judge Arthur Nakazato: dismissing #165 Motion for Leave for Defendants Motion to Compel and Joint Stipulations to be heard after the Discovery Cutoff Date. (twdb)
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Filing 168
NOTICE OF DISCREPANCY AND ORDER: by Magistrate Judge Arthur Nakazato, ORDERING Joint Stipulation RE Motion to Compel; Notice of Motion to Compel submitted by Defendant Mitchell Jay Stein received on 11/25/14 is not to be filed but instead rejected. Denial based on: Hearing date of motion is beyond discovery cutoff date. (Attachments: #1 2, #2 3, #3 4, #4 5, #5 6, #6 7) (twdb) (Additional attachment(s) added on 12/5/2014: #7 8, #8 9) (twdb).
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| Filing 165 MOTION for Leave for defendant's motions to compel and Joint Stipulations to be heard after the discovery cutoff date filed by defendant Mitchell Jay Stein. Motion set for hearing on 12/18/2014 at 10:00 AM before Magistrate Judge Arthur Nakazato. Lodged proposed order. (twdb) |
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Filing 164
DENIED ORDER by Judge James V. Selna Re: Ex Parte Application to Continue Trial Date and all Pre-Trial Deadlines #162 . (nbo)
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| Filing 163 NOTICE OF LODGING filed Exhibit "B" re Joint EX PARTE APPLICATION to Continue Trial and All Pre-Trial Deadlines from March 3, 2015 to April 7, 2015 #162 (Newhouse, George) |
| Filing 162 Joint EX PARTE APPLICATION to Continue Trial and All Pre-Trial Deadlines from March 3, 2015 to April 7, 2015 filed by Defendants Willie James Gault. (Attachments: #1 Proposed Order)(Newhouse, George) |
| Filing 161 Notice of Appearance or Withdrawal of Counsel: for attorney James N Fiedler counsel for Defendant Heart Tronics Inc. Adding James N. Fiedler as attorney as counsel of record for Heart Tronics, Inc. for the reason indicated in the G-123 Notice. Filed by Defendant Heart Tronics, Inc.. (Fiedler, James) |
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Filing 160
ORDER by Magistrate Judge Arthur Nakazato: granting #147 Motion to Take Deposition of Defendant Mitchell Stein. See Order for more information. (twdb)
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| Filing 159 SUBPOENA IN A CIVIL CASE issued as to Thomas R. Tribou. (twdb) |
| Filing 158 SUBPOENA IN A CIVIL CASE issued as to Tracy Jones. (twdb) |
| Filing 157 SUBPOENA IN A CIVIL CASE issued as to RenewData - Mr. Andrew Neipert, Sr. Project Manager. (twdb) |
| Filing 156 SUBPOENA IN A CIVIL CASE issued as to Michael Boliek. (twdb) |
| Filing 155 NOTICE of Change of address by David J Van Havermaat attorney for Plaintiff Securities and Exchange Commission. Changing attorneys address to 444 S. Flower Street, Suite 900, Los Angeles, CA 90071; Fax No. (213) 443-1904. Filed by Plaintiff Securities and Exchange Commission. (Van Havermaat, David) |
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Filing 154
MINUTES (IN CHAMBERS): ORDER by Judge James V. Selna: denying as moot #127 Motion to Dismiss. (twdb)
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| Filing 152 JUDGMENT as To Defendant Heart Tronics, Inc. by Judge James V. Selna, Related to: Stipulation for Judgment, #150 . (see document for details). (dro) |
| Filing 150 STIPULATION for Judgment as to Defendant Heart Tronics, Inc. filed by plaintiff Securities and Exchange Commission. (Attachments: #1 Exhibit A - Consent to (Partial) Judgment Against Heart Tronics, Inc, #2 Exhibit B - Proposed (Partial) Judgment Against Heart Tronics, Inc.)(Donnelly, Kenneth) |
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Filing 153
SEALED DOCUMENT - MINUTES (IN CHAMBERS) Appendix to Minute Order #149 , by Judge James V. Selna. Document sealed. (dro)
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Filing 151
ORDER by Judge James V. Selna, granting MOTION of Rosen & Associates, P.C. to Withdraw as Attorney of Record for Defendant Heart Tronics, Inc. #132 . (twdb)
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| Filing 149 MINUTES (IN Court) by Judge James V. Selna: granting #132 Rosen and Associates' Motion to Withdraw as Attorney. Attorney David Paul Bleistein and Robert C Rosen terminated. The Court GRANTS the parties oral request to extend all case management dates, other than the Pretrial Conference and Trial dates, 30 days from the dates currently set, in light of the ruling on the motion to withdraw above. (twdb) Modified on 10/3/2014 (twdb). |
| Filing 147 NOTICE OF MOTION AND Joint MOTION to Take Deposition of Mitchell J. Stein (Defendant). Unopposed and filed by Plaintiff Securities and Exchange Commission. Motion set for hearing on 10/23/2014 at 10:00 AM before Magistrate Judge Arthur Nakazato. (Attachments: #1 Proposed Order (Unopposed) to Take Deposition of Incarcerated Defendant Mitchell J. Stein)(Donnelly, Kenneth) |
| Filing 148 SEALED DOCUMENT** DECLARATION of JAMES N. FIEDLER IN OPPOSITION TO MOTION of Rosen & Associates, P.C. to Withdraw as Attorney of Record #132 . (twdb) |
| Filing 146 NOTICE of Manual Filing filed by Defendant Heart Tronics Inc of Declaration of James N. Fiedler in opposition to Rosen & Associates, P.C.'s Motion for Leave to Withdraw; pursuant to the Court's 9/10/14 Order. (Fiedler, James) |
| Filing 145 Notice of Appearance or Withdrawal of Counsel: for attorney James N Fiedler counsel for Defendant Heart Tronics Inc. Filed by Defendant Heart Tronics, Inc.. (Fiedler, James) |
| Filing 144 SATISFACTION OF JUDGMENT re Judgment, #135 entered In favor of Securities and Exchange Commission Against Mark Crosby Nevdahl , as to Monetary Provisions of Judgment, filed by Plaintiff Securities and Exchange Commission. (Donnelly, Kenneth) |
| Filing 143 SEALED DOCUMENT - DECLARATION of Robert C. Rosen in Support MOTION of Rosen & Associates, P.C. to Withdraw as Attorney of Record for Defendant Heart Tronics, Inc. #132 filed by Defendant Heart Tronics Inc. (dro) |
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Filing 142
MINUTES (IN CHAMBERS) Order Directing Filing Under Seal and Continuing Hearing on Rosen and Associates Motion to Withdraw as Counsel for Defendant Heart Tronics Inc. #132 , by Judge James V. Selna. The Court hereby directs R&A to file this additional evidence under seal for in camera review by Tuesday, September 16, 2014. Heart Tronics shall file any response by Tuesday, September 23, 2014. The Court continues the hearing on R&As motion to withdraw to September 29, 2014 at 1:30 P.M. IT IS SO ORDERED. (see document for details). (dro)
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| Filing 141 FINAL JUDGMENT by Judge James V. Selna, as to Defendant J. Rowland Perkins, II. Related to: Notice (Other), #140 (twdb) |
| Filing 140 NOTICE filed by Plaintiff Securities and Exchange Commission. Filing Defendant Perkins' Consent and Proposed Final Judgment (Attachments: #1 Exhibit A - Consent to Entry of Final Judgment by Defendant Perkins, #2 Exhibit B - Proposed Final Judgment as to Defendant Perkins)(Donnelly, Kenneth) |
| Filing 139 OPPOSITION to MOTION of Rosen & Associates, P.C. to Withdraw as Attorney of Record for Defendant Heart Tronics, Inc. #132 filed by Defendant Heart Tronics Inc. (Fiedler, James) |
| Filing 138 NOTICE OF MOTION AND MOTION for Leave to file opposition out of time filed by Defendant Heart Tronics Inc. Motion set for hearing on 9/15/2014 at 01:30 PM before Judge James V. Selna. (Attachments: #1 Proposed Order)(Fiedler, James) |
| Filing 137 Notice of Appearance or Withdrawal of Counsel: for attorney James N Fiedler counsel for Defendant Heart Tronics Inc. Filed by Defendant Heart Tronics, Inc.. (Attorney James N Fiedler added to party Heart Tronics Inc(pty:dft))(Fiedler, James) |
| Filing 136 NOTICE of Defendant filed by Rosen & Associates, P.C. Heart Tronics Inc. Non-Opposition to Rosen & Associates' Motion for Leave To Withdraw As Counsel of Record (Bleistein, David) |
| Filing 135 FINAL JUDGMENT by Judge James V. Selna, in favor of Securities and Exchange Commission against Mark Crosby Nevdahl. Related to: Notice (Other) #134 . IT IS HEREBY ORDERED, ADJUDGED, AND DECREED that Defendant shall pay a civil penalty in the amount of $13,000.00 to the Securities and Exchange Commission pursuant to 15 U.S.C. 77t(d). (twdb) |
| Filing 134 NOTICE of Filing Defendant Nevdahl's Consent and Proposed Final Judgment filed by Plaintiff Securities and Exchange Commission. (Attachments: #1 Exhibit A - Consent to Entry of Final Judgment by Defendant Nevdahl, #2 Exhibit B - Proposed Final Judgment as to Defendant Nevdahl)(Donnelly, Kenneth) |
| Filing 133 NOTICE filed by Rosen & Associates, P.C. Heart Tronics Inc. of Errata Re Notice of Motion for Leave to Withdraw As Counsel (Bleistein, David) |
| Filing 132 NOTICE OF MOTION AND MOTION of Rosen & Associates, P.C. to Withdraw as Attorney of Record for Defendant Heart Tronics, Inc. filed by Rosen & Associates, P.C. Heart Tronics Inc. Motion set for hearing on 9/15/2014 at 01:30 PM before Judge James V. Selna. (Attachments: #1 Proposed Order)(Bleistein, David) |
| Filing 131 ANSWER to Complaint - (Discovery),, #1 with JURY DEMAND filed by Defendant J. Rowland Perkins, II.(Horton, Timothy) |
| Filing 130 Notice of Withdrawal of Request for Judicial Notice, Request for Relief #46 , Motion to Dismiss Case, #45 filed by Defendant J. Rowland Perkins, II. (Horton, Timothy) |
| Filing 129 MEMORANDUM in Opposition filed by Defendant Heart Tronics Inc. (Bleistein, David) |
| Filing 128 REQUEST FOR JUDICIAL NOTICE filed by DEFENDANT HEART TRONICS, INC. Heart Tronics Inc. (Attachments: #1 Exhibit A, #2 Exhibit B, #3 Exhibit C, #4 Exhibit D, #5 Exhibit E, #6 Exhibit F, #7 Exhibit G, #8 Exhibit H, #9 Exhibit I, #10 Exhibit J)(Bleistein, David) |
| Filing 127 NOTICE OF MOTION AND MOTION to Dismiss Case filed by DEFENDANT HEART TRONICS, INC. Heart Tronics Inc. Motion set for hearing on 10/20/2014 at 01:30 PM before Judge James V. Selna. (Bleistein, David) |
| Filing 126 NOTICE filed by DEFENDANT HEART TRONICS, INC. Heart Tronics Inc. (Bleistein, David) |
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Filing 125
ORDER by Judge James V. Selna granting #123 Ex Parte Application to Continue. On June 19, 2014, Plaintiff Securities and Exchange Commission and Defendants Willie Gault, J. Rowland Perkins, II, and Mark Nevdahl filed an Ex Parte Application to Continue Trial and All Pre-Trial Deadlines in the above-entitled action, Case No. SACV11-1962-JVS(ANx). Having reviewed the Ex Parte Application, and finding good cause appearing therefor, the Court ORDERS as follows: (see document for details). (dro)
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| Filing 124 NOTICE OF LODGING filed re Proposed Order re EX PARTE APPLICATION to Continue Trial and All Pre-Trial Deadlines #123 (Attachments: #1 Proposed Order)(Newhouse, George) |
| Filing 123 EX PARTE APPLICATION to Continue Trial and All Pre-Trial Deadlines filed by Defendants Willie James Gault.(Newhouse, George) |
| Filing 122 NOTICE of Appearance filed by attorney Derek S Bentsen on behalf of Plaintiff Securities and Exchange Commission (Attorney Derek S Bentsen added to party Securities and Exchange Commission(pty:pla))(Bentsen, Derek) |
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Filing 121
ORDER by Judge James V. Selna, re Report #120 Granting Extension of Time to Conduct Settlement Conference. (see document for details). (dro)
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| Filing 120 REPORT of Joint Report Regarding Agreed Settlement Conference Procedure and Request for Extension of Time to Conduct Settlement Conference filed by Defendant Willie James Gault. (Attachments: #1 Proposed Order)(Newhouse, George) |
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Filing 119
ORDER by Judge James V. Selna: granting #117 Application to Appear Pro Hac Vice by Attorney Kenneth W. Donnelly on behalf of Plaintiff SEC, designating David J. Van Havernmaat as local counsel. (lt)
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Filing 118
NOTICE OF DISCREPANCY AND ORDER: by Magistrate Judge Arthur Nakazato, ORDERING Letter concerning the Court's 4/21/14 Order #116 submitted by Plaintiff Securities and Exchange Commission received on 5/1/14 is not to be filed but instead rejected. Denial based on: No copy provided for judge. See attachment for more information. (twdb)
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| Filing 117 APPLICATION for attorney Kenneth W. Donnelly to Appear Pro Hac Vice (PHV FEE WAIVED.) filed by Plaintiff Securities and Exchange Commission. (Attachments: #1 Proposed Order)(Van Havermaat, David) |
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Filing 116
MINUTE ORDER IN CHAMBERS by Magistrate Judge Arthur Nakazato: re Parties' Pre-Settlement Conference Position Statements ("Statements") and corresponding partial requests for a settlement conference. The requests for a settlement conference are denied for the reasons, and in the manner, discussed below(See document for details). (mba)
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| Filing 115 NOTICE TO FILER OF DEFICIENCIES in Electronically Filed Documents RE: Notice of Change of Address, #114 . The following error(s) was found: Other error(s) with document(s) are specified below. In response to this notice the court may order (1) an amended or correct document to be filed (2) 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. (ak) |
| Filing 114 NOTICE of Change of firm name and address by Alan M Lieberman attorney for Plaintiff Securities and Exchange Commission. Changing firm name to None and address to 2138 California St. NW Apt. 507 Washington, D.C. 20008. Filed by Plaintiff Securities and Exchange Commission. (Lieberman, Alan) |
| Filing 113 Notice of Appearance or Withdrawal of Counsel: for attorney Alan M Lieberman counsel for Plaintiff Securities and Exchange Commission. Alan M. Lieberman is no longer attorney of record for the aforementioned party in this case for the reason indicated in the G-123 Notice. Filed by plaintiff SEcurities and Exchange Commission. (Lieberman, Alan) |
| Filing 112 ANSWER to Complaint - (Discovery) #1 filed by defendant Mitchell Jay Stein.(twdb) |
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Filing 111
ORDER REINSTATING ACTION TO CIVIL ACTIVE LIST AND LIFTING STAY by Judge James V. Selna. MD JS-5 Case Reopened. (twdb)
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Filing 110
ORDER Granting Extension of Time to Conduct Settlement Conference #107 by Judge James V. Selna: On March 5, 2014, Plaintiff Securities & Exchange Commission, and Defendants Willie Gault, Rowland Perkins, Mark Mevdahl, Mitchell Stein and Heart Tronics, Inc. (the "Parties") filed a Application for Extension of Time to Conduct the Settlement Conference in the above-entitled action, Case No SACV11-1962-JVS(ANx)("Action"). Having reviewed the Parties' Application, and finding good cause exists, the Court hereby ORDERS as follows: The Application is GRANTED. The deadline to conduct the settlement conference in this Action is extended to May 8, 2014. (lwag)
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Filing 109
ORDER by Judge James V. Selna: granting #105 Request to Substitute Attorney. Attorney Andrew M Weitz terminated. (twdb)
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Filing 108
PRE-SETTLEMENT CONFERENCE ORDER by Magistrate Judge Arthur Nakazato (see order for details). (sty)
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| Filing 107 APPLICATION for Order for Application for Extension of Time to Conduct Settlement Conference filed by Defendants Catch 83 General Partnership, Willie James Gault. Application set for hearing on 5/8/2014 at 09:00 AM before Judge James V. Selna. (Attachments: #1 Proposed Order)(Newhouse, George) |
| Filing 106 JOINT STATUS REPORT of Settlement Conference filed by Defendants Catch 83 General Partnership, Willie James Gault. (Attachments: #1 Application for Extension of Time to Conduct Settlement Conference and Declaration of Teresa Cespedes Alarcon, #2 Proposed Order)(Newhouse, George) |
| Filing 105 REQUEST to Substitute attorney Mitchell Stein In Pro Se in place of attorney Andrew M. Weitz filed by defendant Mitchell Jay Stein. Request set for hearing on 4/2/2014 at 08:30 AM before Judge James V. Selna. (Attachments: #1 Proposed Order)(Weitz, Andrew) |
| Filing 104 REQUEST to Substitute attorney Mitchell Stein In Pro Se in place of attorney Andrew M. Weitz filed by defendant Mitchell Jay Stein. Request set for hearing on 4/2/2014 at 08:30 AM before Judge James V. Selna. (Weitz, Andrew) |
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Filing 102
MINUTES (IN CHAMBERS) Order Staying Proceedings, Removing Action From Civil Active List and Directing Parties to Attend Settlement Procedure by Judge James V. Selna. The Court has reviewed the parties' Joint Status Report re Settlement Conference, filed January 31, 2014. (Docket No. 101.) The parties fail to appreciate that every case shall utilize one of the three settlement mechanisms under Local Rule 16-15. The parties may not exempt themselves by failing to agree on a mechanism. The Court orders the case off the civil active list and stays all proceedings. The parties may reinstate the action by filing a statement of agreed settlement mechanism. If the parties require an extension so that the matter may be heard by Magistrate Judge Nakazato, the Court is prepared to grant such an extension up showing why upon a timely request to set a settlement conference before Magistrate Judge Nakazato they were unable to secure a date. (Made JS-6. Case Terminated.) (dro)
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Filing 103
NOTICE OF DISCREPANCY AND ORDER: by Judge James V. Selna, ORDERING Answer to plaintiffs second amended complaint submitted by Defendant Mitchell Jay Stein received on 2/19/14 is not to be filed but instead rejected. Denial based on: Defendant represented by counsel Andrew Weitz. (twdb)
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| Filing 101 STATUS REPORT (Joint) re Settlement Conference filed by Defendant Willie James Gault. (Newhouse, George) |
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Filing 100
ORDER by Judge James V. Selna Granting #98 Request to Substitute Attorney. Added attorney Robert C Rosen for Heart Tronics Inc. Attorney Michael G Scheininger; Timothy K Halloran and Timothy A Horton terminated (nbo)
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Filing 99
ORDER by Judge James V. Selna: granting #96 Application to Appear Pro Hac Vice by Attorney Adam J. Eisner on behalf of Plaintiff, designating David J. Van Havermaat as local counsel. (lt)
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| Filing 98 REQUEST to Substitute attorney Robert C. Rosen in place of attorney Timothy A. Horton, Michael G. Scheininger, and Timothy K. Halloran filed by Defendant Heart Tronics Inc. Request set for hearing on 1/13/2014 at 01:30 PM before Judge James V. Selna. (Attachments: #1 Proposed Order)(Attorney David Paul Bleistein added to party Heart Tronics Inc(pty:dft))(Bleistein, David) |
| Filing 96 APPLICATION for attorney Adam J. Eisner to Appear Pro Hac Vice (PHV FEE WAIVED.) filed by Plaintiff Securities and Exchange Commission. (Attachments: #1 Proposed Order)(Van Havermaat, David) |
| Filing 97 APPLICATION for attorney Nancy R. Grunberg to Appear Pro Hac Vice. (PHV FEE PAID). Filed by Defendant Willie James Gault. (lwag) |
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Filing 95
MINUTE ORDER IN CHAMBERS by Judge James V. Selna: granting MOTION to Withdraw From Representation #87 . (twdb)
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Filing 93
ORDER FOR JURY TRIAL SETTING DATES; ORDER FOR PREPARATION FOR JURY TRIAL; AND ORDER GOVERNING ATTORNEY & PARTY CONDUCT AT TRIAL (See Document for Details) (kt)
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| Filing 94 MINUTES OF Scheduling Conference held before Judge James V. Selna. Cause called and counsel make their appearances. The Court sets the case management dateswith the agreement of counsel as follows: Final Pretrial Conference continued to 11/17/2014 11:00 AM before Judge James V. Selna. Jury Trial continued 12/2/2014 08:30 AM before Judge James V. Selna.Court Reporter: Sharon Seffens. (twdb) |
| Filing 92 JOINT RULE 26(f) REPORT filed by Plaintiff Securities and Exchange Commission. (Lieberman, Alan) |
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Filing 91
ORDER by Judge James V. Selna: granting #87 Motion to Withdraw. It is hereby ORDERED, ADJUDGED and DECREED that the Motion for Leave to Withdraw of Eric J. Wittenberg and the law firm of Eric J. Wittenberg Co., L.P.A. shall be decided without need for argument. (twdb)
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| Filing 90 Notice of Appearance or Withdrawal of Counsel: for attorney Timothy A Horton counsel for Defendants Heart Tronics Inc, J. Rowland Perkins, II. Filed by Defendants Heart Tronics, Inc. and J. Rowland Perkins, II. (Attachments: #1 Certificate of Service)(Horton, Timothy) |
| Filing 89 APPLICATION for Hearing WAIVE HEARING, re MOTION to Withdraw From Representation #87 , filed by Defendant Mitchell Jay Stein. (Attachments: #1 Proposed Order Granting Motion to Waive Argument)(Wittenberg, Eric) |
| Filing 88 (IN CHAMBERS) As of January 1, 2010 Local Rules 6, 7-10 and 7-11 were amended to provide for a 28-day notice cycle on motions. Counsel for Defendant Mitchell Jay Stein's MOTION to Withdraw From Representation #87 was filed with less than the 28 days required by the rules. The Court therefore CONTINUES the hearing on the above referenced motion to Monday, December 2, 2013 at 1:30 PM before Judge James V. Selna to comply with the current Local Rules. THERE IS NO PDF DOCUMENT ASSOCIATED WITH THIS ENTRY. (kt) TEXT ONLY ENTRY |
| Filing 87 NOTICE OF MOTION AND MOTION to Withdraw From Representation filed by Defendant Mitchell Jay Stein. Motion set for hearing on 11/18/2013 at 09:00 AM before Judge James V. Selna. (Attachments: #1 Proposed Order)(Wittenberg, Eric) |
| Filing 86 STATUS REPORT filed by Plaintiff Securities and Exchange Commission. (Lieberman, Alan) |
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Filing 85
ORDER SETTING RULE 26(f) SCHEDULING CONFERENCE for Wednesday,11/20/2013 at 3:00 PM before Judge James V. Selna. The parties Joint Rule 26 Meeting Report due by 11/15/2013. (kt)
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Filing 84
ORDER by Judge James V. Selna, granting Stipulation to Substitute Attorney George B. Newhouse Jr. #83 , Attorney Douglas C Emhoff and Jennifer Levin terminated. (twdb)
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| Filing 83 First STIPULATION to Substitute attorney George B. Newhouse, Jr. in place of attorney Douglas Craig Emhoff filed by Defendant Catch 83 General Partnership. (Attachments: #1 Proposed Order)(Newhouse, George) |
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Filing 82
CONSENT ORDER by Judge James V. Selna, granting Stipulation to Substitute Attorney #81 George B. Newhouse, Jr. as attorney of record for defendant Willie James Gault in stead and place of Douglas C. Ernhoff, Venable LLP. Attorney Douglas C Emhoff terminated. (dro)
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| Filing 81 Joint STIPULATION to Substitute attorney George B. Newhouse, Jr. in place of attorney Douglas C. Emhoff filed by Defendant Willie James Gault.(Newhouse, George) |
| Filing 80 ANSWER to Complaint - (Discovery),, #1 with JURY DEMAND filed by Relief Defendant Catch 83 General Partnership.(Levin, Jennifer) |
| Filing 79 ANSWER to Complaint - (Discovery),, #1 with JURY DEMAND filed by Defendant Willie James Gault.(Levin, Jennifer) |
| Filing 77 NOTICE of Substitution of Counsel for Plaintiff filed by Plaintiff Securities and Exchange Commission. (Alan Lieberman as counsel of record for Plaintiff) (Van Havermaat, David) |
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Filing 78
ORDER by Judge James V. Selna: Having received and reviewed the Joint Stipulation entered into between Plaintiff Securities and Exchange Commission, Intervener United States Department of Justice, Defendants Willie James Gault, J. Rowland Perkins, II, and Heart Tronics, Inc., through their respective counsel, IT IS ORDERED that the Orders staying discovery and removing this case from the Courts active caseload are lifted. #76 (Made JS-5, Case reopened) (yl)
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| Filing 76 Joint STIPULATION to Lift Stay filed by Defendants Catch 83 General Partnership, Willie James Gault. (Attachments: #1 Proposed Order)(Levin, Jennifer) |
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Filing 75
ORDER by Judge James V. Selna: granting #74 Application to Appear Pro Hac Vice by Attorney Alan Lieberman on behalf of Securities and Exchange Commission, designating David Van Havermaat as local counsel. (ak)
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| Filing 74 APPLICATION for attorney Alan Marc Lieberman to Appear Pro Hac Vice (PHV FEE WAIVED.) filed by Plaintiff Securities and Exchange Commission. (Attachments: #1 Proposed Order)(Van Havermaat, David) |
| Filing 73 STATUS REPORT (JOINT) filed by Plaintiff Securities and Exchange Commission. (Van Havermaat, David) |
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Filing 72
MINUTES (IN CHAMBERS): ORDER by Judge James V. Selna: denying #66 Motion to Lift Stay on Case (twdb)
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| Filing 71 REPLY In Support Of MOTION to Lift Stay re Disovery For A Limited Purpose #66 filed by Defendant Willie James Gault. (Levin, Jennifer) |
| Filing 70 OPPOSITION to MOTION to Lift Stay re Disovery For A Limited Purpose #66 filed by Plaintiff Securities and Exchange Commission. (Peterson, Jane) |
| Filing 69 MEMORANDUM in Opposition to MOTION to Lift Stay re Disovery For A Limited Purpose #66 filed by Intervenor Plaintiff United States of America. (Muhlendorf, Kevin) |
| Filing 68 NOTICE of Appearance filed by attorney Kevin B Muhlendorf on behalf of Intervenor Plaintiff United States of America (Muhlendorf, Kevin) |
| Filing 67 NOTICE of Change of Attorney Information for attorney Mark David Lanpher counsel for Plaintiff Securities and Exchange Commission.Mark Lanpher is no longer attorney of record for the aforementioned party in this case for the reason indicated in the G-06 Notice. Filed by Plaintiff Securities and Exchange Commission (Lanpher, Mark) |
| Filing 66 NOTICE OF MOTION AND MOTION to Lift Stay re Disovery For A Limited Purpose filed by Defendant Willie James Gault. Motion set for hearing on 4/15/2013 at 01:30 PM before Judge James V. Selna. (Attachments: #1 Proposed Order)(Levin, Jennifer) |
| Filing 65 Notice of Electronic Filing re Status Report #64 e-mailed to lanpherm@sec.gov bounced due to 5.1.1 - Bad destination email address 'reject'. The primary e-mail address associated with the attorney record has been deleted. Pursuant to the General Order and 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.(tyw) TEXT ONLY ENTRY |
| Filing 64 STATUS REPORT (Joint) filed by Plaintiff Securities and Exchange Commission. (Peterson, Jane) |
| Filing 63 STATUS REPORT (JOINT) filed by Plaintiff Securities and Exchange Commission. (Peterson, Jane) |
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Filing 62
ORDER by Judge James V. Selna: granting #61 Application to Appear Pro Hac Vice by Attorney Jane M.E. Peterson on behalf of Plaintiff, designating Daivd J. Havermaat as local counsel. (lt)
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| Filing 61 APPLICATION for attorney Jane M.E. Peterson to Appear Pro Hac Vice (PHV FEE WAIVED.) filed by Plaintiff Securities and Exchange Commission. (Attachments: #1 Proposed Order On Application of Non-Resident Attorney to Appear)(Van Havermaat, David) |
| Filing 60 NOTICE of filing of Joint Status Report filed by plaintiff Securities and Exchange Commission. (Lanpher, Mark) |
| Filing 59 FINAL JUDGMENT as to defendant Ryan Rauch by Judge James V. Selna, Related to: Judgment #58 (twdb) |
| Filing 58 FINAL JUDGMENT as to Martin Carter by Judge James V. Selna, Related to: Notice (Other) #57 . (twdb) |
| Filing 57 NOTICE of Filing of Defendant Ryan Rauch's Consent and Proposed Final Judgment filed by Plaintiff Securities and Exchange Commission. (Attachments: #1 Exhibit A, #2 Exhibit B)(Lanpher, Mark) |
| Filing 56 NOTICE of Filing of Defendant Martin Carter's Consent and Proposed Final Judgment filed by Plaintiff Securities and Exchange Commission. (Attachments: #1 Exhibit A, #2 Exhibit B)(Lanpher, Mark) |
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Filing 55
MINUTE ORDER IN CHAMBERS by Judge James V. Selna, Vacating Defendants Motion to Dismiss: The Court removed this action from the active caseload on May 31, 2012 pursuant to the stay in this case pending conclusion of a related criminal matter in the Southern District of Florida. (Docket No. 51.) Accordingly, the motion to dismiss (originally noticed for July 9, 2012) will not be heard until the stay is lifted. Defendant Heart Tronics may re-notice the motion once the Court vacates the stay. (rla)
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| Filing 54 MEMORANDUM in Opposition to MOTION to Dismiss Complaint #44 filed by Plaintiff Securities and Exchange Commission. (Attachments: #1 Proof of Service)(Lanpher, Mark) |
| Filing 53 MEMORANDUM in Opposition to MOTION to Dismiss Case #45 filed by Plaintiff Securities and Exchange Commission. (Attachments: #1 Proof of Service)(Lanpher, Mark) |
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Filing 52
ORDER by Judge James V. Selna, re Stipulation to Extend Time to Answer (More than 30 days) #49 . IT IS ORDERED that the deadline for Defendants to answer, move to dismiss or otherwise respond to the Complaint shall be extended by 60 days to August 3, 2012. (twdb)
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| Filing 49 Joint STIPULATION for Extension of Time to File Answer to August 3, 2012 re Complaint - (Discovery), Complaint - (Discovery), Complaint - (Discovery) #1 filed by Defendants Catch 83 General Partnership, Willie James Gault. (Attachments: #1 Proposed Order)(Levin, Jennifer) |
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Filing 51
MINUTE ORDER IN CHAMBERS by Judge James V. Selna: ORDER REMOVING ACTION FROM ACTIVE CASELOAD. In order to permit the Court to monitor this action, the Court hereby orders the parties to file a joint status report not later than August 31, 2012. Successive reports shall be filed every ninety (90) days thereafter. Each report must indicate the date on which the next report is due. (Made JS-6. Case Terminated.) (twdb)
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Filing 50
ORDER by Judge James V. Selna: granting #48 Application. IT IS HEREBY ORDERED that the Rule 26(f) Scheduling Conference is adjourned and will be rescheduled after the stay of discovery previously entered in this case is lifted. (twdb)
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| Filing 48 APPLICATION for Order for adjournment of Rule 26(f) Scheduling Conference (Unopposed) filed by Plaintiff Securities and Exchange Commission. (Attachments: #1 Proposed Order, #2 Proof of Service)(Lanpher, Mark) |
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Filing 47
ORDER granting Stipulation to Extending Defendants Willie James Gault and Catch 83 General Partnership's Deadline to respond to Plaintiff's Complaint #43 . IT IS ORDERED that the deadline for Defendants to answer, move to dismiss or otherwise respond to the Complaint shall be extended by 31 days to June 4, 2012. (rrp)
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| Filing 46 REQUEST FOR JUDICIAL NOTICE re MOTION to Dismiss Case #45 filed by Defendants Heart Tronics Inc, J. Rowland Perkins, II. (Attachments: #1 Exhibit A-J)(Horton, Timothy) |
| Filing 45 NOTICE OF MOTION AND MOTION to Dismiss Case filed by Defendants Heart Tronics Inc, J. Rowland Perkins, II. Motion set for hearing on 7/9/2012 at 01:30 PM before Judge James V. Selna. (Attachments: #1 Memorandum, #2 Proposed Order, #3 Proof of Service)(Horton, Timothy) |
| Filing 44 NOTICE OF MOTION AND MOTION to Dismiss Complaint filed by Defendant Mitchell J. Stein, et al. Mitchell Jay Stein. (Wittenberg, Eric) |
| Filing 43 Joint STIPULATION for Extension of Time to File Answer to June 4, 2012 re Complaint - (Discovery), Complaint - (Discovery), Complaint - (Discovery) #1 filed by Defendants Catch 83 General Partnership, Willie James Gault. (Attachments: #1 Proposed Order)(Levin, Jennifer) |
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Filing 42
ORDER by Judge James V. Selna, re Stipulation for Extension of briefing schedule for defendants to respond to plaintiffs complaint #40 . (twdb)
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| Filing 40 STIPULATION for Extension of Time to File Briefing Schedule to Response to Plaintiffs Complaint filed by Defendants J. Rowland Perkins, II. (Attachments: #1 Proposed Order Extending Briefing Schedule for Defendants to Respond to Plaintiff's Complaint)(Horton, Timothy) |
| Filing 38 APPLICATION for attorney Eric J. Wittenberg to Appear Pro Hac Vice (PHV FEE NOT PAID.) filed by defendant Mitchell Jay Stein. (Weitz, Andrew) |
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Filing 41
NOTICE OF DISCREPANCY AND ORDER: by Judge James V. Selna, ORDERING Complaint submitted by Plaintiff Securities and Exchange Commission received on 4/3/12 is not to be filed but instead rejected. Denial based on: No certification of interested parties. (twdb)
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Filing 39
ORDER GRANTING UNITED STATES' UNOPPOSED MOTION TO INTERVENE AND STAY DISCOVERY IN THE CIVIL CASE PENDING CRIMINAL DISPOSITION, by Judge James V. Selna. On March 30, 2012, the United States moved to intervene and stay discovery #36 of this case pending resolution of the parallel criminal prosecution, United States of America v. Mitchell J. Stein, No. 11-80205-CR-MARRA/HOPKINS, currently pending in the Southern District of Florida. No party in this case opposed the applicable law, as well as the lack of opposition from all parties in this case, the Court permits the United States to intervene pursuant to Federal Rule of Civil Procedure 24 and determines that a stay of discovery in the instant proceeding is appropriate pending the outcome of the parallel criminal proceeding. Accordingly, the Court hereby: STAYS discovery in this case pending the outcome of United State of America v. Mitchell J. Stein, No. 11-80205-CR-MARRA/HOPKINS. (dro)
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Filing 37
ORDER by Judge James V. Selna. WHERAS Plaintiff Securities and Exchange Commission (the "SEC"), has submitted an unopposed application #35 to adjourn the Rule 26(f) Scheduling Conference in this case, currently scheduled for April 23, 2012 at 11:30 a.m., for a period of 60 days. AND WHEREAS this Court finds that there is good cause to adjourn the Rule 26(f) Scheduling Conference for a period of 60 days. IT IS HEREBY ORDERED that the Rule 26(f) Scheduling Conference in this case is rescheduled for June 18, 2012 at 11:00 a.m. (dro)
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| Filing 36 UNITED STATES' UNOPPOSED MOTION to Intervene, and Stay Discovery In the Civil Case Pending CRIMINAL DISPOSITION; filed by Intervener United States of America. Lodged ORDER. (rla) |
| Filing 35 APPLICATION for Order for to adjourn Rule 26(f) Scheduling Conference filed by Plaintiff Securities and Exchange Commission. (Attachments: #1 Proposed Order)(Lanpher, Mark) |
| Filing 34 WAIVER OF SERVICE Returned Executed filed by Plaintiff Securities and Exchange Commission. upon Catch 83 General Partnership waiver sent by Plaintiff on 2/14/2012, answer due 4/14/2012. Waiver of Service signed by Jennifer Levin, Esq. (Lanpher, Mark) |
| Filing 33 WAIVER OF SERVICE Returned Executed filed by Plaintiff Securities and Exchange Commission. upon Five Investments Partnership waiver sent by Plaintiff on 2/22/2012, answer due 4/22/2012. Waiver of Service signed by Eric Wittenberg, Esq. (Lanpher, Mark) |
| Filing 32 WAIVER OF SERVICE Returned Executed filed by Plaintiff Securities and Exchange Commission. upon WBT Investments Blind Trust waiver sent by Plaintiff on 2/22/2012, answer due 4/22/2012. Waiver of Service signed by Eric Wittenberg, Esq. (Lanpher, Mark) |
| Filing 31 WAIVER OF SERVICE Returned Executed filed by Plaintiff Securities and Exchange Commission. upon Oak Tree Investments Blind Trust waiver sent by Plaintiff on 2/22/2012, answer due 4/22/2012. Waiver of Service signed by Eric Wittenberg, Esq.. (Lanpher, Mark) |
| Filing 30 WAIVER OF SERVICE Returned Executed filed by Plaintiff Securities and Exchange Commission. upon Jaymi Blind Trust waiver sent by Plaintiff on 2/22/2012, answer due 4/22/2012. Waiver of Service signed by Eric Wittenberg, Esq.. (Lanpher, Mark) |
| Filing 29 WAIVER OF SERVICE Returned Executed filed by Plaintiff Securities and Exchange Commission. upon THS Blind Trust waiver sent by Plaintiff on 2/22/2012, answer due 4/22/2012. Waiver of Service signed by Eric Wittenberg, Esq.. (Lanpher, Mark) |
| Filing 28 WAIVER OF SERVICE Returned Executed filed by Plaintiff Securities and Exchange Commission. upon ARC Finance Group LLC waiver sent by Plaintiff on 2/22/2012, answer due 4/22/2012. Waiver of Service signed by Eric Wittenberg, Esq.. (Lanpher, Mark) |
| Filing 27 WAIVER OF SERVICE Returned Executed filed by Plaintiff Securities and Exchange Commission. upon ARC Blind Trust waiver sent by Plaintiff on 2/22/2012, answer due 4/22/2012. Waiver of Service signed by Eric Wittenberg, Esq.. (Lanpher, Mark) |
| Filing 26 NOTICE TO FILER OF DEFICIENCIES in Electronically Filed Documents RE: Notice (Other) #12 , #13 . The following error(s) was found: Incorrect event selected. The correct event is: Appearance of Counsel. In response to this notice the court may order (1) an amended or correct document to be filed (2) 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. (lom) |
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Filing 25
ORDER by Judge James V. Selna: Pursuant to the Joint Stipulation #24 entered into by Plaintiff Securities and Exchange Commission (Plaintiff), Defendants Heart Tronics, Inc., J. Rowland Perkins, Wille James Gault, Mark Crosby Nevdahl, Martin Bert Carter, and Ryan Rauch (collectively the Defendants), IT IS ORDERED that: 1. The deadline for each of the Defendants to answer, move to dismiss, or otherwise respond to the Complaint shall be Wednesday, April 4, 2012. 2. Should Defendants move to dismiss or strike allegations in the Complaint, the deadline for Plaintiff to oppose any Motion to Dismiss and/or Motion to Strike shall be extended to thirty (30) days after the deadline for a response, to Friday, May 4, 2012; 3. The deadline for Defendants to reply shall be extended to twenty-one (21) days after Plaintiffs Opposition(s) are due, to Friday, May 25, 2012; and 4. The hearing on any motion in response to the Complaint will be Monday, June 11, 2012, at 1:30 p.m. (rla)
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| Filing 24 Joint STIPULATION for Extension of Time to File Answer or Motion to Dismiss, or Otherwise Respond to Complaint filed by Defendants Heart Tronics Inc, J. Rowland Perkins, II. (Attachments: #1 Proposed Order)(Horton, Timothy) |
| Filing 23 Certification of Interested Parties filed by Defendants Heart Tronics Inc, J. Rowland Perkins, II, identifying Heart Tronics, Inc. and its unnamed shareholders; Mitchell Jay Stein; Willie James Gault; J. Rowland Perkins, II; Martin Bert Carter; Mark Crosby Nevdahl; Ryan Allan Rauch; Tracey Hampton-Stein; James N. Fiedler; John Martin Woodbury, Jr.; ARC Finance Group, LLC; ARC Blind Trust; THS Blind Trust; JAYMI Blind Trust; Oak Tree Investments Blind Trust; WBT Investments Blind Trust; Catch 83 General Partnership; Five Investments Partnership; AXIS Insurance Company. (Horton, Timothy) |
| Filing 22 CORPORATE DISCLOSURE STATEMENT filed by Defendants Heart Tronics Inc, J. Rowland Perkins, II (Horton, Timothy) |
| Filing 21 NOTICE of Appearance filed by attorney Jennifer Levin on behalf of Defendant Catch 83 General Partnership (Levin, Jennifer) |
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Filing 20
ORDER by Judge James V. Selna: granting #17 Application to Appear Pro Hac Vice by Attorney Michael G. Scheininger on behalf of Defendants Heart Tronics, Inc. and J. Rowland Perkins,II, designating Timothy A. Horton as local counsel. (lt)
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Filing 19
ORDER by Judge James V. Selna: granting #16 Application to Appear Pro Hac Vice by Attorney Timothy K. Halloran on behalf of Defendants Heart Tronics, Inc. and J. Rowland Perkins,II, designating Timothy A. Horton as local counsel. (lt)
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| Filing 18 NOTICE of Appearance filed by attorney Timothy A Horton on behalf of Defendants Heart Tronics Inc, J. Rowland Perkins, II (Horton, Timothy) |
| Filing 17 APPLICATION for attorney Michael G. Scheininger to Appear Pro Hac Vice (PHV FEE NOT PAID.) filed by Defendants Heart Tronics Inc, J. Rowland Perkins, II. (Attachments: #1 Proposed Order)(Horton, Timothy) |
| Filing 16 APPLICATION for attorney Timothy K. Halloran to Appear Pro Hac Vice (PHV FEE NOT PAID.) filed by Defendants Heart Tronics Inc, J. Rowland Perkins, II. (Attachments: #1 Proposed Order)(Horton, Timothy) |
| Filing 15 First STIPULATION Extending Time to Answer the complaint as to Willie James Gault answer now due 3/26/2012, re Complaint - (Discovery), Complaint - (Discovery), Complaint - (Discovery) #1 filed by Defendant Willie James Gault.(Levin, Jennifer) |
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Filing 14
ORDER setting rule 26(f) scheduling conference by Judge James V. Selna. See order for more information. ( Scheduling Conference set for 4/23/2012 11:30 AM before Judge James V. Selna.) (twdb)
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| Filing 13 NOTICE Amended Notice of Appearance for Willie James Gault filed by DEFENDANT Willie James Gault. (Emhoff, Douglas) |
| Filing 12 NOTICE NOTICE OF APPEARANCE FOR WILLIE JAMES GAULT filed by DEFENDANT Willie James Gault. (Emhoff, Douglas) |
| Filing 11 PROOF OF SERVICE Executed by Plaintiff Securities and Exchange Commission, upon Defendant Tracey Hampton Stein served on 1/21/2012, answer due 2/11/2012. Service of the Summons and Complaint were executed upon Tracy Hampton-Stein in compliance with Federal Rules of Civil Procedure by personal service. Original Summons NOT returned. (Lanpher, Mark) |
| Filing 10 PROOF OF SERVICE Executed by Plaintiff Securities and Exchange Commission, upon Defendant Mitchell Jay Stein served on 1/21/2012, answer due 2/11/2012. Service of the Summons and Complaint were executed upon Tracy Hampton-Stein, wife of defendant Mitchell Stein, in compliance with Federal Rules of Civil Procedure by substituted service at home address and no service by mail was executed. Original Summons NOT returned. (Lanpher, Mark) |
| Filing 9 WAIVER OF SERVICE Returned Executed filed by Plaintiff Securities and Exchange Commission. upon Ryan Allan Rauch waiver sent by Plaintiff on 1/25/2012, answer due 3/25/2012. Waiver of Service signed by Ryan Rauch. (Lanpher, Mark) |
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Filing 8
Initial ORDER Following the Filing of Complaint by Judge James V. Selna. (ade)
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| Filing 7 WAIVER OF SERVICE Returned Executed filed by Plaintiff Securities and Exchange Commission. upon Willie James Gault waiver sent by Plaintiff on 1/4/2012, answer due 3/4/2012; Heart Tronics Inc waiver sent by Plaintiff on 1/4/2012, answer due 3/4/2012; J. Rowland Perkins, II waiver sent by Plaintiff on 1/4/2012, answer due 3/4/2012. Waiver of Service signed by Jared Scharf, Esq.. (Lanpher, Mark) |
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Filing 6
ORDER by Judge James V. Selna: granting #3 Application to Appear Pro Hac Vice by Attorney Mark Lanpher on behalf of Plaintiff SEC, designating David J. Van Havermaat as local counsel. (lt)
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| Filing 5 WAIVER OF SERVICE Returned Executed filed by Plaintiff Securities and Exchange Commission. upon Mark Crosby Nevdahl waiver sent by Plaintiff on 1/4/2012, answer due 3/4/2012. Waiver of Service signed by Mark Roth, Esq. (Lanpher, Mark) |
| Filing 4 WAIVER OF SERVICE Returned Executed filed by Plaintiff Securities and Exchange Commission. upon Martin Bert Carter waiver sent by Plaintiff on 1/4/2012, answer due 3/4/2012. Waiver of Service signed by Martin B. Carter. (Lanpher, Mark) |
| Filing 3 APPLICATION for attorney Mark Lanpher to Appear Pro Hac Vice (PHV FEE WAIVED.) filed by Plaintiff Securities and Exchange Commission. (Attachments: #1 Proposed Order On Application of Non-Resident Attorney to Appear)(Van Havermaat, David) |
| Filing 2 NOTICE TO PARTIES OF ADR PROGRAM filed.(ade) |
| Filing 1 COMPLAINT against defendants ARC Blind Trust, ARC Finance Group LLC, Martin Brett Carter, Catch 83 General Partnership, Five Investments Partnership, Willie James Gault, Tracey Hampton Stein, Heart Tronics Inc, Jaymi Blind Trust, Mark Crosby Nevdahl, Oak Tree Investments Blind Trust, J. Rowland Perkins, II, Ryan Allan Rauch, Mitchell Jay Stein, THS Blind Trust, WBT Investments Blind Trust.Case assigned to Judge James V. Selna for all further proceedings. Discovery referred to Magistrate Judge Arthur Nakazato.(No Fee) Filed by plaintiff Securities and Exchange Commission.(ade) |
| 21 DAY Summons Issued re Complaint - (Discovery) #1 as to defendants ARC Blind Trust, ARC Finance Group LLC, Martin Brett Carter, Catch 83 General Partnership, Five Investments Partnership, Willie James Gault, Tracey Hampton Stein, Heart Tronics Inc, Jaymi Blind Trust, Mark Crosby Nevdahl, Oak Tree Investments Blind Trust, J. Rowland Perkins, II, Ryan Allan Rauch, Mitchell Jay Stein, THS Blind Trust, WBT Investments Blind Trust. (ade) Modified on 12/27/2011 (lwag). |
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