Securities and Exchange Commission v. Kent R.E. Whitney et al
| Securities and Exchange Commission |
| Kent R.E. Whitney, CHS Asset Management, Inc., The Church For The Healthy Self a/k/a CHS Trust, David Lee Parrish, The Church for The Healthy Self, Success N Life International Corporation, MTZ Consulting, Inc., Vean P. Nguyen, Jesus Jesse Martinez, Danny M. Salinas, CHS Trust, Ngoc Ha T. Nguyen, Luke T. Ho, iCare Financial Solution, Inc., Ruby Palmore, Ha T Kelly Hoang, Jessica Pham, Mai T. Nguyen, Esq. Allen Y. Hsu, Richard E. King, II, Lena Le, Tien M Angelina Pham and Richard D. Whitney |
| Robert P Mosier |
| 8:2019cv00499 |
| March 13, 2019 |
| US District Court for the Central District of California |
| Karen E Scott |
| James V Selna |
| Securities/Commodities |
| 12 U.S.C. § 22 |
| Defendant |
Docket Report
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This docket was last retrieved on July 14, 2023. A more recent docket listing may be available from PACER.
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Filing 110
ORDER GRANTING RECEIVER'S SECOND FEE APPLICATION FOR THE QUARTER ENDING 6/30/19 #73 by Judge James V. Selna: IT IS ORDERED: (1)Robert P. Mosier and his staff are allowed fees of $166,979.00 and costs of $3,718.52 for the period from April 1, 2019, through June 30, 2019; and (2)The Receiver is authorized to pay the allowed fees and costs from funds on hand in the receivership estates. Hearing set for October 7, 2019 is VACATED. (es)
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Filing 109
ORDER GRANTING SECOND INTERIM APPLICATION FOR APPROVAL OF FEES AND COSTS OF SMILEY WANGEKVALL, GENERAL COUNSEL TO THE RECEIVER #72 by Judge James V. Selna. IT IS HEREBY ORDERED AS FOLLOWS: 1. The Application is granted and the Firm is allowed $82,943.55 in fees and $3,061.72 in expenses on an interim basis for the period April 1, 2019, through June 30, 2019; and 2. Robert P. Mosier, the receiver, is authorized to pay 80% of the allowed fees and 100% of the allowed expenses from available funds in the receivership estates with payment of the amount held back to be permitted at a later date. Hearing set for October 7, 2019 at 1:30 p.m. is ordered VACATED. (es)
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Filing 108
WAIVER OF SERVICE Returned Executed filed by Plaintiff Securities and Exchange Commission. upon Ngoc Ha T. Nguyen waiver sent by Plaintiff on 9/19/2019, answer due 11/18/2019. Waiver of Service signed by Counsel, Stanley C. Morris. (Reece, Jennifer)
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Filing 107
ORDER GRANTING APPLICATION TO PLACE CERTAIN EXHIBITS UNDER SEAL #105 by Judge James V. Selna. IT IS ORDERED that the Application is approved and Exhibits G and H to the Andrassy Declaration as filed on September 23, 2019, shall be replaced by the redacted Exhibits G and H filed concurrently with the Application. (es)
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Filing 106
SEALED DECLARATION IN SUPPORT OF APPLICATION to file document Exhibit G & H of Docket 98 under seal #105 filed by Receiver Robert P Mosier.(Andrassy, Kyra)
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Filing 105
APPLICATION to file document Exhibit G & H of Docket 98 under seal filed by Receiver Robert P Mosier. (Attachments: #1 Proposed Order, #2 Redacted Document, #3 Proof of Service)(Andrassy, Kyra)
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Filing 104
ORDER GRANTING EX PARTE APPLICATION OF THE RECEIVER FOR AUTHORIZATION TO COMMENCE ACTIONS PURSUANT TO THE AMENDED ORDER APPOINTING RECEIVER #101 by Judge James V. Selna. IT IS HEREBY ORDERED: (1) The notice requirement of Local Rule 7-19.2 is waived; and (2) The Ex Parte Application is granted, and the Receiver is authorized to pursue litigation related to the transfers described in the Ex Parte Application. (es)
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Filing 103
RESPONSE filed by Defendant Ngoc Ha T. Nguyen Response to Amended Order Appointing Receiver (Morris, Stanley)
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Filing 102
RESPONSE filed by Defendant Ngoc Ha T. Nguyen Response to Order for Accounting (Morris, Stanley)
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Filing 101
EX PARTE APPLICATION for Relief from For Authorization to Commence Actions Pursuant to the Amended Order Appointing Receiver with Proof of Service filed by Receiver Robert P Mosier. (Attachments: #1 Memorandum of Points and Authorities in Support of Ex Parte Application, #2 Declaration of Kyra E. Andrassy in Support of Ex Parte Application, #3 Exhibit A to Declaration of Kyra E. Andrassy, #4 Exhibit B to Declaration of Kyra E. Andrassy, #5 Exhibit C to Declaration of Kyra E. Andrassy, #6 Exhibit D to Declaration of Kyra E. Andrassy, #7 Proof of Service) (Andrassy, Kyra)
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Filing 100
ORDER GRANTING IN PART EX-PARTE APPLICATION OF DEFENDANT NGOC HA T. NGUYEN by Judge James V. Selna: Having considered the ex-parte application and any opposition thereto, the Court denies all relief except as follows: *SEE DOCUMENT FOR DETAILS.* (es)
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Filing 99
WAIVER OF SERVICE Returned Executed filed by Plaintiff Securities and Exchange Commission. upon Lena Le waiver sent by Plaintiff on 9/24/2019, answer due 11/25/2019. Waiver of Service signed by Leslee Montgomery, Legal Assistant to Attorney Jeff Kent, Counsel for Lena Le. (Reece, Jennifer)
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Filing 98
DECLARATION of Kyra E. Andrassy re Objection/Opposition (Motion related), #97 Declaration of Kyra E. Andrassy in Support of Opposition of Receiver to Ex Parte Application of Defendant Ngoc Ha T. Nguyen for an Order to Vacate, Modify, or Clarify Amended Order Appointing Receiver; and Order Freezing Assets of Defendants iCare and Ha Nguyen and Requiring Accountings filed by Receiver Robert P Mosier. (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)(Andrassy, Kyra) (Attachment 7 replaced on 10/2/2019) (es). (Attachment 8 replaced on 10/2/2019) (es). Modified on 10/2/2019 (es). (Attachments G and H Ordered replaced by Court see docket #107 )
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Filing 97
Opposition of Receiver re: EX PARTE APPLICATION for Relief from Amended Receivership and Asset Freeze and Accounting re Order on Motion for Order,, #86 , EX PARTE APPLICATION for Temporary Restraining Order and Orders: (1) Freezing Assets; (2) Appointing a Receiver; (3) #96 filed by Receiver Robert P Mosier. (Andrassy, Kyra)
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Filing 96
EX PARTE APPLICATION for Relief from Amended Receivership and Asset Freeze and Accounting re Order on Motion for Order,, #86 , EX PARTE APPLICATION for Temporary Restraining Order and Orders: (1) Freezing Assets; (2) Appointing a Receiver; (3) Prohibiting the Destruction of Documents; (4) Granting Expedited Discovery; (5) Requiring Defendants to Surrender Passports; and (6) #2 filed by Defendant Ngoc Ha T. Nguyen. (Attachments: #1 Memorandum, #2 Declaration, #3 Proposed Order) (Attorney Stanley C Morris added to party Ngoc Ha T. Nguyen(pty:dft)) (Morris, Stanley)
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Filing 95
WAIVER OF SERVICE Returned Executed filed by Plaintiff Securities and Exchange Commission. upon Richard E. King, II waiver sent by Plaintiff on 9/19/2019, answer due 11/18/2019. Waiver of Service signed by Richard E. King II. (Reece, Jennifer)
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Filing 94
21 DAY Summons Issued re Amended Complaint/Petition, #75 as to Defendant Richard E. King, II. (es)
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Filing 93
Request for Clerk to Issue Summons on Amended Complaint/Petition,, #75 filed by Plaintiff Securities and Exchange Commission. (Reece, Jennifer)
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Filing 92
NOTICE OF DEFICIENCIES in Request to Issue Summons RE: Summons Request #89 . The following error(s) was found: The caption of the summons must match the caption of the complaint verbatim. If the caption is too large to fit in the space provided, enter the name of the first party and then write see attached.Next, attach a face page of the complaint or a second page addendum to the Summons. Defendant's name: Richard E. King, II. The summons cannot be issued until this defect has been corrected. Please correct the defect and re-file your request. (es)
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Filing 91
21 DAY Summons Issued re Amended Complaint/Petition,, #75 as to Defendant Luke T. Ho, Ha T Kelly Hoang, Allen Y. Hsu, Lena Le, MTZ Consulting, Inc., Jesus Jesse Martinez, Mai T. Nguyen, Ngoc Ha T. Nguyen, Vean P. Nguyen, Ruby Palmore, Jessica Pham, Tien M Angelina Pham, Danny M. Salinas, Success N Life International Corporation, Richard D. Whitney, iCare Financial Solution, Inc.. (Attachments: #1 Summons Hoang, #2 Summons.Hsu Allen, #3 Summons.ICare Financial, #4 Summons.Le Lena, #5 Summons.Martinez Jesus, #6 Summons.MTZ Consulting, #7 Summons.Nguyen Mai, #8 Summons.Nguyen Ngoc, #9 Summons.Nguyen Vean, #10 Summons.Palmore Ruby, #11 Summons.Pham Tien, #12 Summons.Pham Jessica, #13 Summons.Salinas Danny, #14 Summons.SuccessNLife, #15 Summons.Whitney Richard)(es)
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Filing 90
WAIVER OF SERVICE Returned Executed filed by Plaintiff Securities and Exchange Commission. upon iCare Financial Solution, Inc. waiver sent by Plaintiff on 9/17/2019, answer due 11/18/2019. Waiver of Service signed by Robert Mosier, Receiver of iCare Financial Solution, Inc.. (Reece, Jennifer)
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Filing 89
Request for Clerk to Issue Summons on Amended Complaint/Petition,, #75 , Notice of Deficiency in Request to Issue Summons, #88 filed by Plaintiff Securities and Exchange Commission. (Reece, Jennifer)
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Filing 88
NOTICE OF DEFICIENCIES in Request to Issue Summons RE: Summons Request #82 . The following error(s) was found: The case number and/or judge(s)initials are incorrect. Please add the Judge's initials next to the case no.; also, next to the Summons in a Civil Ac please add "as to the First Amended Complaint". The summons cannot be issued until this defect has been corrected. Please correct the defect and re-file your request. (lom)
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Filing 87
NOTICE TO FILER OF DEFICIENCIES in Electronically Filed Documents RE: Amended Complaint/Petition,, #75 . The following error(s) was/were found: F.R.Civ.P 15 Amended pleading is untimely. Other error(s) with document(s): There is no Judge's order re filing of the First Amended Complaint. In response to this notice, the Court may: (1) order an amended or correct document to be filed; (2) order the document stricken; or (3) take other action as the Court deems appropriate. You need not take any action in response to this notice unless and until the Court directs you to do so. (lom)
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Filing 86
ORDER FREEZING ASSETS OF DEFENDANTS ICARE AND HA NGUYEN AND REQUIRING ACCOUNTINGS #76 by Judge James V. Selna. IT IS HEREBY ORDERED, ADJUDGED, AND DECREED that, except as otherwise ordered by this Court, Defendants iCare, Ha Nguyen, and any of their subsidiaries or affiliates, be and hereby are preliminarily restrained and enjoined, pending the completion of trial in this action, from, directly or indirectly, making any payment or expenditure of funds. IT IS FURTHER ORDERED that, except as otherwise ordered by this Court, an immediate freeze shall be placed on all monies and assets, etc. See order for details. (lom)
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Filing 85
AMENDED ORDER APPOINTING RECEIVER by Judge James V. Selna. On March 14, 2019, Robert P. Mosier was appointed by this Court to serve without bond as receiver (the Receiver), and until further of this Court, will continue to serve as Receiver, for the estates of the Receivership Defendants. See order for details. (lom)
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Filing 84
NOTICE OF ERRATA filed by Plaintiff Securities and Exchange Commission. correcting Declaration, #78 (Reece, Jennifer)
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Filing 83
CERTIFICATE OF SERVICE filed by Plaintiff Securities and Exchange Commission, re EX PARTE APPLICATION for Order for (1) Expanding the Receivership Order to Include Ngoc Ha T. Nguyen and iCare Financial Solution, Inc.; and (2) Freezing Assets and Requiring an Accounting #76 (Reece, Jennifer)
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Filing 82
Request for Clerk to Issue Summons on Amended Complaint/Petition,, #75 filed by Plaintiff Securities and Exchange Commission. (Reece, Jennifer)
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Filing 81
NOTICE OF LODGING filed [Proposed] Amended Order Appointing Receiver; and (2) [Proposed] Order Freezing Assets of Defendants iCare and Ha Nguyen and Requiring Accountings re EX PARTE APPLICATION for Order for (1) Expanding the Receivership Order to Include Ngoc Ha T. Nguyen and iCare Financial Solution, Inc.; and (2) Freezing Assets and Requiring an Accounting #76 (Attachments: #1 Proposed Order [Proposed] Amended Order Appointing Receiver, #2 Proposed Order [Proposed] Order Freezing Assets of Defendants iCare and Ha Nguyen and Requiring Accountings)(Reece, Jennifer)
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Filing 80
DECLARATION of Robert P. Mosier re EX PARTE APPLICATION for Order for (1) Expanding the Receivership Order to Include Ngoc Ha T. Nguyen and iCare Financial Solution, Inc.; and (2) Freezing Assets and Requiring an Accounting #76 filed by Plaintiff Securities and Exchange Commission. (Reece, Jennifer)
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Filing 79
DECLARATION of Jennifer D. Reece re EX PARTE APPLICATION for Order for (1) Expanding the Receivership Order to Include Ngoc Ha T. Nguyen and iCare Financial Solution, Inc.; and (2) Freezing Assets and Requiring an Accounting #76 filed by Plaintiff Securities and Exchange Commission. (Attachments: #1 Exhibit A, #2 Exhibit B)(Reece, Jennifer)
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Filing 78
DECLARATION of Jennifer D. Reece re EX PARTE APPLICATION for Order for (1) Expanding the Receivership Order to Include Ngoc Ha T. Nguyen and iCare Financial Solution, Inc.; and (2) Freezing Assets and Requiring an Accounting #76 filed by Plaintiff Securities and Exchange Commission. (Reece, Jennifer)
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Filing 77
MEMORANDUM of Points and Authorities in Support filed by Plaintiff Securities and Exchange Commission. Re: EX PARTE APPLICATION for Order for (1) Expanding the Receivership Order to Include Ngoc Ha T. Nguyen and iCare Financial Solution, Inc.; and (2) Freezing Assets and Requiring an Accounting #76 (Reece, Jennifer)
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Filing 76
EX PARTE APPLICATION for Order for (1) Expanding the Receivership Order to Include Ngoc Ha T. Nguyen and iCare Financial Solution, Inc.; and (2) Freezing Assets and Requiring an Accounting filed by Plaintiff Securities and Exchange Commission. (Reece, Jennifer)
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Filing 75
FIRST AMENDED COMPLAINT against Defendants and Relief Defendants CHS Asset Management, Inc., David Lee Parrish, The Church for The Healthy Self, Kent R.E. Whitney, iCare Financial Solution, Inc., Ngoc Ha T. Nguyen, Richard E. King, II, Richard D. Whitney, Allen Y. Hsu, Esq., Tien M. "Angelina" Pham, Jessica Pham, Vean P. Nguyen, Danny M. Salinas, Mai T. Nguyen, Luke T. Ho, Ha T. "Kelly" Hoang, Lena Le, Ruby Palmore, MTZ Consulting, Inc., Jesus "Jesse" Martinez, Success N Life International Corporation amending Complaint (Attorney Civil Case Opening) #1 , filed by Plaintiff Securities and Exchange Commission(Reece, Jennifer)
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Filing 74
NOTICE of Hearings on (1) First Interim Application for Approval of Fees and Costs of Smiley Wang-Ekvall, General Counsel to the Receiver, and (2) Receiver's First Fee Application for the Period Ending 3/31/19 filed by Cousel to the Receiver Robert P Mosier. (Andrassy, Kyra)
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Filing 73
Second APPLICATION for Hearing Approval of Receiver's Second Fee Application filed by Receiver Robert P Mosier. Application set for hearing on 10/7/2019 at 01:30 PM before Judge James V. Selna. (Attachments: #1 Proposed Order Proposed Order to Approve 2nd Fee App) (Mosier, Robert)
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Filing 72
Second APPLICATION for Hearing Approval of Fees and Costs of Smiley Wang-Ekvall, General Cousel to the Receiver filed by Counsel for the Receiver Robert P Mosier. Application set for hearing on 10/7/2019 at 01:30 PM before Judge James V. Selna. (Attachments: #1 Exhibit A, #2 Exhibit B, #3 Proposed Order) (Andrassy, Kyra)
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Filing 71
DECLARATION of Kyra E. Andrassy re Status Report #70 //Declaration of Kyra E. Andrassy Regarding Service on Investors of Second Quarterly Status Report filed by Receiver Robert P Mosier. (Andrassy, Kyra)
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Filing 70
STATUS REPORT //Second Quarterly Status Report of the Receiver Pursuant to Section XIII of the Order Appointing Receiver filed by Receiver Robert P Mosier. (Attachments: #1 Exhibit A, #2 Exhibit B)(Andrassy, Kyra)
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Filing 69
ORDER ON STIPULATION TO VACATE SCHEDULING CONFERENCE PENDING FURTHER ORDER #68 by Judge James V. Selna. THEREFORE, for good cause shown, it is ORDERED that the Scheduling Conference set for July 8, 2019 at 11:30 a.m. is VACATED until further notice by the Court. (es)
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Filing 68
STIPULATION to Vacate Scheduling Conference Pending Further Order,, Terminate Deadlines and Hearings,, Set/Reset Deadlines/Hearings, #57 filed by Plaintiff Securities and Exchange Commission. (Attachments: #1 Proposed Order)(Reece, Jennifer)
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Filing 67
ORDER GRANTING FIRST INTERIM APPLICATION FOR APPROVAL OF FEES AND COSTS OF SMILEY WANGEKVALL, GENERAL COUNSEL TO THE RECEIVER #51 by Judge James V. Selna: IT IS HEREBY ORDERED AS FOLLOWS: 1. The Application is granted and the Firm is allowed $63,153.00 in fees and $2,117.13 in expenses on an interim basis for the period March 14, 2019, through March 31, 2019; and 2. Robert M. Mosier, the receiver, is authorized to pay 80% of the allowed fees and 100% of the allowed expenses from available funds in the receivership estates with payment of the amount held back to be permitted at a later date. (es)
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Filing 66
ORDER GRANTING RECEIVER'S FIRST FEE APPLICATION FOR THE PERIOD ENDING 3/31/19 #50 by Judge James V. Selna. IT IS ORDERED: (1) Robert P. Mosier and his staff are allowed fees of $87,663.10 and total costs of $1,279.82 for the period from March 14, 2019, through March 31, 2019; and (2) The Receiver is authorized to pay the allowed fees and costs from funds on hand in the receivership estates. HEARING SET FOR June 24, 2019 at 1:30 p.m. is ordered VACATED. (es)
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Filing 65
AGREED PARTIAL JUDGMENT AS TO DEFENDANT KENT R.E. WHITLEY #64 by Judge James V. Selna. IT IS HEREBY ORDERED, ADJUDGED, AND DECREED that Defendants is permanently restrained and enjoined from violating, directly or indirectly, Section 10(b) of the Exchange Act [15 U.S.C. 78j(b)] and Rule 10b-5 promulgated thereunder [17 C.F.R. 240.10b-5], by using any means or instrumentality of interstate commerce, or of the mails, or of any facility of any national securities exchange, in connection with the purchase or sale of any security: (See document for further details.) (es)
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Filing 64
SETTLEMENT AGREEMENT - Agreed Motion to Enter Agreed Partial Judgment Against Defendant Kent R.E. Whitney filed by Plaintiff Securities and Exchange Commission. (Attachments: #1 Exhibit A Whitney Consent, #2 Proposed Order)(Reece, Jennifer)
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Filing 63
MINUTES (IN CHAMBERS) Order Regarding Motion to Stay by Judge James V. Selna: Accordingly, Parrish's motion to stay is taken off-calendar as moot. The June 24, 2019 hearing is vacated. (See document for details) (es)
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Filing 62
RESPONSE filed by Defendant David Lee Parrishto Minutes of In Chambers Order/Directive - no proceeding held,, Set/Reset Deadlines, #61 (Krieger, Eliot)
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Filing 61
MINUTE ORDER (IN CHAMBERS) Order Regarding Motion to Stay by Judge James V. Selna: The SEC was required to respond to Parrish's motion to stay by June 11, 2019, but no opposition has been filed. See Docket No. 55. Accordingly, the Court directs the parties to advise the Court of their position on the pending motion to stay in light of the settlement agreement. The parties are required to submit a response by Tuesday, June 18, 2019. (See order for further details) (es)
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Filing 60
NOTICE Preliminary Liquidation Plan filed by Court-Appointed Receiver Robert P Mosier. (Attachments: #1 Proof of Service)(Andrassy, Kyra)
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Filing 59
AGREED PARTIAL JUDGMENT AS TO DEFENDANT DAVID LEE PARRISH by Judge James V. Selna. IT IS HEREBY ORDERED, ADJUDGED, AND DECREED that Defendants is permanently restrained and enjoined from violating, directly or indirectly, Section 10(b) of the Exchange Act [15 U.S.C. 78j(b)] and Rule 10b-5 promulgated thereunder [17 C.F.R. 240.10b-5], by using any means or instrumentality of interstate commerce, or of the mails, or of any facility of any national securities exchange, in connection with the purchase or sale of any security: See document for further details. (es)
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Filing 58
SETTLEMENT AGREEMENT , Agreed Motion to Enter Agreed Partial Judgment Against Defendant David Lee Parrish filed by Plaintiff Securities and Exchange Commission. (Attachments: #1 Exhibit 1 Parrish Consent, #2 Proposed Order)(Reece, Jennifer)
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Filing 57
ORDER ON STIPULATION TO EXTEND TIME TO FILE RULE 26(f) REPORT AND TO POSTPONE 26(f) CONFERENCE #56 by Judge James V. Selna. It is ORDERED that the deadline by which the parties must file a Rule 26(f) Report is June 24, 2019. The Scheduling Conference set for June 17, 2019 is continued to July 8, 2019 at 11:30 a.m. (es)
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Filing 56
Joint STIPULATION for Extension of Time to File Rule 26(f) Report and to Postpone 26(f) Conference filed by Plaintiff Securities and Exchange Commission. (Attachments: #1 Proposed Order)(Reece, Jennifer)
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Filing 55
ORDER ON STIPULATION OF PLAINTIFF AND DEFENDANT PARRISH TO EXTEND BRIEFING DEADLINES ON PARRISH'S MOTION TO STAY #54 by Judge James V. Selna. THEREFORE, for good cause shown, it is ORDERED that the deadline by which the SEC must respond to the Motion to Stay [Doc. 49] is June 11, 2019. Parrish must file any reply brief by June 17, 2019. (lom)
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Filing 54
Joint STIPULATION for Extension of Time to File as to NOTICE OF MOTION AND MOTION to Stay Case pending Resolution of Criminal Proceedings #49 filed by Plaintiff Securities and Exchange Commission.(Reece, Jennifer)
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Filing 53
DECLARATION of Kyra E. Andrassy Regarding Service on Investors of First APPLICATION for Hearing Approval of Fees and Costs of Smiley Wang-Ekvall, LLP, General Counsel to the Receiver #51 filed by Receiver Robert P Mosier. (Andrassy, Kyra)
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Filing 52
NOTICE Notice of Hearings filed by Counsel to the Receiver Robert P Mosier. on (1) First Interim Application for Approval of Fees and Costs of Smiley Wang-Ekvall, LLP, General Counsel to the Receiver, and (2) Receiver's First Fee Application for the Period Ending 3/31/19 #50 First Application for Hearing Approval of Receiver's First Fee Application filed by Court Appointed Receiver Robert P Mosier #51 First Application for Hearing Approval of Fees and Costs of Smiley Wang-Ekvall, LLP, General Counsel to the Receiver filed by Counsel to the Receiver Robert P Mosier (Attachments: #1 Proof of Service)(Andrassy, Kyra)
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Filing 51
First APPLICATION for Hearing Approval of Fees and Costs of Smiley Wang-Ekvall, LLP, General Counsel to the Receiver filed by Counsel to the Receiver Robert P Mosier. Application set for hearing on 6/24/2019 at 01:30 PM before Judge James V. Selna. (Attachments: #1 Exhibit A, #2 Exhibit B, #3 Proof of Service, #4 Proposed Order) (Andrassy, Kyra)
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Filing 50
First APPLICATION for Hearing Approval of Receiver's First Fee Application filed by Court Appointed Receiver Robert P Mosier. Application set for hearing on 6/24/2019 at 01:30 PM before Judge James V. Selna. (Attachments: #1 Proposed Order Proposed Order to Approve 1st Fee App) (Mosier, Robert)
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Filing 49
NOTICE OF MOTION AND MOTION to Stay Case pending Resolution of Criminal Proceedings filed by Defendant David Lee Parrish. Motion set for hearing on 6/24/2019 at 01:30 PM before Judge James V. Selna. (Attachments: #1 Declaration of Eliot F. Krieger in Support of Motion to Stay Proceedings Pending Resolution of Criminal Proceedings, #2 Memorandum of Points & Authorities in Support of Motion to Stay Proceedings Pending Resolution of Criminal Proceedings) (Krieger, Eliot)
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Filing 48
NOTICE of Interested Parties filed by Defendant David Lee Parrish, identifying Securities and Exchange Commission, Kent R.E. Whitney, The Church for the Healthy Self aka CHS Trust, CHS Asset Management Inc. (Krieger, Eliot)
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Filing 47
NOTICE TO FILER OF DEFICIENCIES in Electronically Filed Documents RE: Answer to Complaint (Attorney Civil Case Opening) #46 . The following error(s) was/were found: Local Rule 7.1-1 No Notice of Interested Parties and/or no copies. In response to this notice, the Court may: (1) order an amended or correct document to be filed; (2) order the document stricken; or (3) take other action as the Court deems appropriate. You need not take any action in response to this notice unless and until the Court directs you to do so. (es)
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Filing 46
ANSWER to Complaint (Attorney Civil Case Opening) #1 with JURY DEMAND filed by Defendant David Lee Parrish.(Krieger, Eliot)
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Filing 45
ORDER GRANTING MOTION OF RECEIVER, ROBERT P. MOSIER, FOR ORDER IN AID OF RECEIVERSHIP #41 by Judge James V. Selna. (es)
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Filing 44
STATUS REPORT //First Quarterly Status Report of the Receiver Pursuant to Section XIII of the Order Appointing Receiver filed by Receiver Robert P Mosier. (Attachments: #1 Exhibit, #2 Exhibit, #3 Exhibit, #4 Exhibit, #5 Exhibit, #6 Proof of Service)(Andrassy, Kyra)
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Filing 43
MEMORANDUM in Support of NOTICE OF MOTION AND MOTION for Order for in Aid of Receivership #41 filed by Receiver Robert P Mosier. (Attachments: #1 Exhibit, #2 Exhibit, #3 Exhibit, #4 Exhibit, #5 Exhibit, #6 Proof of Service)(Andrassy, Kyra)
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Filing 42
DECLARATION of Robert P. Mosier in Support of NOTICE OF MOTION AND MOTION for Order for in Aid of Receivership #41 filed by Receiver Robert P Mosier. (Attachments: #1 Proof of Service)(Andrassy, Kyra)
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Filing 41
NOTICE OF MOTION AND MOTION for Order for in Aid of Receivership filed by Receiver Robert P Mosier. Motion set for hearing on 5/20/2019 at 01:30 PM before Judge James V. Selna. (Attachments: #1 Proposed Order, #2 Proof of Service) (Andrassy, Kyra)
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Filing 40
NOTICE OF MOTION re for Order #26 and Motion of Receiver, Robert P. Mosier, for Order in Aid of Receivership filed by Receiver Robert P Mosier. Motion set for hearing on 5/20/2019 at 01:30 PM before Judge James V. Selna. (Attachments: #1 Proposed Order, #2 Proof of Service)(Andrassy, Kyra)
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Filing 39
STIPULATION Extending Time to Answer the complaint as to David Lee Parrish answer now due 5/17/2019, re Complaint (Attorney Civil Case Opening) #1 filed by Defendant David Lee Parrish.(Attorney Eliot F Krieger added to party David Lee Parrish(pty:dft))(Krieger, Eliot)
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Filing 38
ORDER by Judge James V. Selna, GRANTING #37 APPLICATION for Pro Se Electronic Filing. The applicant must register to use the Courts CM/ECF System within five (5) days of being served with this order. Registration information is available at the Pro Se Litigant E-Filing web page located on the Courts website. Upon registering, the applicant will receive a CM/ECF login and password that will allow him/her to file non-sealed documents electronically in this case only. Any documents being submitted under seal must be manually filed with the Clerk. (es)
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Filing 37
APPLICATION for Pro Se Litigant to electronically file documents in a specific case filed by Receiver Robert P Mosier. (es)
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Filing 35
(IN CHAMBERS) SCHEDULING NOTICE by Judge James V. Selna: On the Court's own motion, the Order to Show Cause Hearing on April 11, 2019 at 1:30 p.m. is now off calendar. No appearances are necessary. THERE IS NO PDF DOCUMENT ASSOCIATED WITH THIS ENTRY. (rrp) TEXT ONLY ENTRY
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Filing 34
STATUS REPORT Second Status Report of the Receiver; Declaration of Robert Mosier in Support Thereof (with Proof of Service) filed by Receiver Robert P Mosier. (Andrassy, Kyra)
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Filing 36
PRELIMINARY INJUNCTION AND ORDERS: (1) FREEZING ASSETS; (2) PROHIBITING THE DESTRUCTION OF DOCUMENTS; (3) REQUIRING DEFENDANTS TO SURRENDER PASSPORTS; AND (4) REQUIRING ACCOUNTINGS AS TO DEFENDANT DAVID LEE PARRISH filed by Judge James V. Selna. (See document for further information.) (es)
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Filing 33
PRELIMINARY INJUNCTION AND ORDERS: (1) FREEZING ASSETS; (2) PROHIBITING THE DESTRUCTION OF DOCUMENTS; (3) REQUIRING DEFENDANTS TO SURRENDER PASSPORTS; AND (4) REQUIRING ACCOUNTINGS AS TO DEFENDANT DAVID LEE PARRISH by Judge James V. Selna. (SEE DOCUMENT FOR DETAILS) (es)
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Filing 32
Consent of David Lee Parrish to Preliminary Injunction and Orders: (1) Freezing Assets; (2) Prohibiting the Destruction of Documents; (3) Requiring Defendants to Surrender Passports; and (5) Requiring Accountings, and to the Order Appointing a Receiver filed by Plaintiff Securities and Exchange Commission re: Order on Motion for Temporary Restraining Order,,,, #15 , Order #16 (Attachments: #1 Proposed Order)(Reece, Jennifer)
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Filing 31
MINUTES OF Order to Show Cause Why a Preliminary Injunction Should Not Be Granted held before Judge James V. Selna: The Court orders defendant David Lee Parrish to file a response no later than April 4, 2019; plaintiff shall file their response no later than April 9, 2019 by close of business. The Court finds good cause to continue the Order to Show Cause hearing as to David Lee Parrish to April 11, 2019 at 1:30 p.m. (SEE MINUTES FOR FURTHER DETAILS) Court Reporter: Sharon Seffons. (yl)
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Filing 30
PRELIMINARY INJUNCTION AND ORDERS: (1) FREEZING ASSETS; (2) PROHIBITING THE DESTRUCTION OF DOCUMENTS; (3) REQUIRING DEFENDANTS TO SURRENDER PASSPORTS; (4) REQUIRING ACCOUNTINGS; AND (5) APPOINTING A RECEIVER AS TO DEFENDANTS WHITNEY, CHS, AND CHS ASSET MANAGEMENT by Judge James V. Selna, ORDER by Judge James V. Selna. This matter is before the Court on the Consent and Stipulation to Entry of Preliminary Injunction and Orders: (1) Freezing Assets; (2) Prohibiting the Destruction of Documents; (3) Requiring Defendants to Surrender Passports; (4) Requiring Accountings; and (5) Appointing a Receiver. IT IS HEREBY ORDERED that the SEC and the Defendants' Consent and Stipulation is GRANTED. (SEE DOCUMENT FOR FURTHER DETAILS) (yl)
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Filing 29
DECLARATION of Jennifer D. Reece re Order on Motion for Temporary Restraining Order,,,, #15 , Order #16 , Notice (Other) #28 Plaintiffs Notice Re: Order to Show Cause Why a Preliminary Injunction Should Not be Granted as to Defendant Parrish filed by Plaintiff Securities and Exchange Commission. (Attachments: #1 Exhibit 1, #2 Exhibit 2, #3 Exhibit 3)(Reece, Jennifer)
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Filing 28
NOTICE Plaintiff's Notice Re: Order to Show Cause Why a Preliminary Injunction Should Not be Granted as to Defendant Parrish filed by Plaintiff Securities and Exchange Commission. (Attachments: #1 Proposed Order)(Reece, Jennifer) Modified on 3/28/2019 (bm).
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Filing 27
PROOF OF SERVICE Executed by Plaintiff Securities and Exchange Commission, upon Defendant David Lee Parrish served on 3/27/2019, answer due 4/17/2019. in compliance with Federal Rules of Civil Procedure by personal service.Original Summons NOT returned. (Reece, Jennifer)
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Filing 26
Consent of Kent R.E. Whitney to Preliminary Injunction and Orders: (1) Freezing Assets; (2) Prohibiting the Destruction of Documents; (3) Requiring Defendants to Surrender Passports; and (5) Requiring Accountings and to the Order Appointing a Receiver re: Order on Motion for Temporary Restraining Order,,,, #15 , Order #16 (Attachments: #1 Proposed Order)(Reece, Jennifer) Modified on 3/28/2019 (bm).
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Filing 25
Consent of The Church for the Healthy Self a/k/a CHS Trust, and CHS Asset Management, Inc. to Preliminary Injunction and Orders: (1) Freezing Assets; (2) Prohibiting the Destruction of Documents; (3) Requiring Defendants to Surrender Passports; and (5) Requiring Accountings and to the Order Appointing a Receiver re: Order on Motion for Temporary Restraining Order,,,, #15 , Order #16 (Attachments: #1 Proposed Order)(Reece, Jennifer) Modified on 3/28/2019 (bm).
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Filing 24
WAIVER OF SERVICE Returned Executed filed by Plaintiff Securities and Exchange Commission. upon CHS Asset Management, Inc. waiver sent by Plaintiff on 3/22/2019, answer due 5/21/2019; The Church for The Healthy Self waiver sent by Plaintiff on 3/22/2019, answer due 5/21/2019. Waiver of Service signed by Kyra Andrassy, Counsel to Receiver. (Reece, Jennifer)
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Filing 23
NOTICE TO FILER OF DEFICIENCIES in Electronically Filed Documents RE: Notice of Appearance #20 . The following error(s) was/were found: Incorrect event selected. Correct event to be used is: Notice of Appearance or Withdrawal of Counsel G123. In response to this notice, the Court may: (1) order an amended or correct document to be filed; (2) order the document stricken; or (3) take other action as the Court deems appropriate. You need not take any action in response to this notice unless and until the Court directs you to do so. (ak)
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Filing 22
STATUS REPORT of the Receiver; Declaration of Robert Mosier in Support Thereof filed by Receiver Robert P Mosier. (Attachments: #1 Proof of Service)(Andrassy, Kyra)
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Filing 21
ORDER by Judge James V. Selna, GRANTING #9 Non-Resident Attorney Jennifer C. Reece APPLICATION to Appear Pro Hac Vice on behalf of Plaintiff United States Securities and Exchange Commission, designating Lynn M. Dean as local counsel. (es)
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Filing 20
NOTICE of Appearance filed by attorney Kyra E Andrassy on behalf of Receiver Robert P Mosier (Attachments: #1 Proof of Service)(Attorney Kyra E Andrassy added to party Robert P Mosier(pty:rc))(Andrassy, Kyra)
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Filing 19
Order Setting Rule 26(f) Scheduling Conference by Judge James V. Selna. Scheduling Conference set for 6/17/2019 at 11:30 AM before Judge James V. Selna. (rrp)
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Filing 18
21 DAY Summons Issued re Complaint (Attorney Civil Case Opening) #1 as to Defendant Kent R.E. Whitney. (es)
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Filing 17
INITIAL ORDER FOLLOWING FILING OF COMPLAINT ASSIGNED TO JUDGE SELNA (lb)
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Filing 16
ORDER APPOINTING RECEIVER #2 by Judge James V. Selna, re EX PARTE APPLICATION (2) Appointing a Receiver. #2 (SEE DOCUMENT FOR FURTHER INFORMATION) (es)
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Filing 15
TEMPORARY RESTRAINING ORDER AND ORDERS: (1) FREEZING ASSETS; (2) PROHIBITING THE DESTRUCTION OF DOCUMENTS (3) GRANTING EXPEDITED DISCOVERY; (4) REQUIRING DEFENDANTS TO SURRENDER PASSPORTS; AND (5) REQUIRING ACCOUNTINGS; AND ORDER TO SHOW CAUSE WHY A PRELIMINARY INJUNCTION SHOULD NOT BE GRANTED #2 by Judge James V. Selna: IT IS HEREBY FURTHER ORDERED, ADJUDGED, AND DECREED that Defendants CHS, CAM, Whitney, and Parrish are temporarily restrained and enjoined. FURTHER ORDERED Defendants Whitney and Parrish surrender, temporarily pending the determination of the Commission's request for a preliminary injunction, to the Clerk of the Court their passports and are barred from traveling outside the United States. FURTHER ORDERED that the portion of this Order that constitutes a temporary restraining order shall expire at 3:00 p.m. on 3/28/2019. FURTHER ORDERED that at 1:30 p.m. on 3/28/2019, or as soon thereafter as the parties may be heard, the Defendants, and each of them, shall appear before the Honorable James V. Selna. (SEE DOCUMENT FOR FURTHER INFORMATION) (es)
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Filing 14
Request for Clerk to Issue Summons on Complaint (Attorney Civil Case Opening) #1 filed by Plaintiff Securities and Exchange Commission. (Reece, Jennifer)
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Filing 13
NOTICE OF DEFICIENCIES in Request to Issue Summons RE: REQUEST for Issuance of of Summonses #10 . The following error(s) was found: The caption of the summons must match the caption of the complaint verbatim. If the caption is too large to fit in the space provided, enter the name of the first party and then write see attached.Next, attach a face page of the complaint or a second page addendum to the Summons. An incorrect event was selected for Document No.10. The correct event is Summons Request. The summons cannot be issued until this defect has been corrected. Please correct the defect and re-file your request. (lh)
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Filing 12
NOTICE TO PARTIES OF COURT-DIRECTED ADR PROGRAM filed. (lh)
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Filing 11
NOTICE OF ASSIGNMENT to District Judge James V. Selna and Magistrate Judge Karen E. Scott. (lh)
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Filing 10
REQUEST for Issuance of of Summonses filed by Plaintiff Securities and Exchange Commission. (Dean, Lynn)
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Filing 9
APPLICATION of Non-Resident Attorney Jennifer D. Reece 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. (Dean, Lynn)
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Filing 8
NOTICE of Related Case(s) filed by Plaintiff Securities and Exchange Commission. Related Civil Forfeiture Action Pursuant to L.R. 83-1.3.2(a) Related Case(s): 8:19-MJ-136, 8:19-mj-173 (Dean, Lynn)
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Filing 7
[PROPOSED] TEMPORARY RESTRAINING ORDER AND ORDERS: (1) FREEZING ASSETS; (2) PROHIBITING THE DESTRUCTION OF DOCUMENTS; (3) GRANTING EXPEDITED DISCOVERY; (4) REQUIRING DEFENDANTS TO SURRENDER PASSPORTS; AND (5) REQUIRING ACCOUNTINGS; AND ORDER TO SHOW CAUSE WHY A PRELIMARY INJUNCTION SHOULD NOT BE GRANTED re EX PARTE APPLICATION for Temporary Restraining Order and Orders: (1) Freezing Assets; (2) Appointing a Receiver; (3) Prohibiting the Destruction of Documents; (4) Granting Expedited Discovery; (5) Requiring Defendants to Surrender Passports; and (6) #2 filed by Plaintiff Securities and Exchange Commission. (Dean, Lynn)
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Filing 6
PROPOSED ORDER APPOINTING RECEIVER re EX PARTE APPLICATION for Temporary Restraining Order and Orders: (1) Freezing Assets; (2) Appointing a Receiver; (3) Prohibiting the Destruction of Documents; (4) Granting Expedited Discovery; (5) Requiring Defendants to Surrender Passports; and (6) #2 and PLAINTIFF SECURITIES AND EXCHANGE COMMISSION'S RECOMMENDATION THAT ROBERT P. MOSIER BE APPOINTED RECEIVER filed by Plaintiff Securities and Exchange Commission. (Dean, Lynn)
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Filing 5
Plaintiff Securities and Exchange Commission's Recommendation That Robert P. Mosier Be Appointed Receiver filed by Plaintiff Securities and Exchange Commission re: EX PARTE APPLICATION for Temporary Restraining Order and Orders: (1) Freezing Assets; (2) Appointing a Receiver; (3) Prohibiting the Destruction of Documents; (4) Granting Expedited Discovery; (5) Requiring Defendants to Surrender Passports; and (6) #2 (Attachments: #1 Exhibit 1 Receiver Proposal)(Dean, Lynn)
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Filing 4
DECLARATION of Ty Martinez re Memorandum of Points and Authorities in Support, #3 , EX PARTE APPLICATION for Temporary Restraining Order and Orders: (1) Freezing Assets; (2) Appointing a Receiver; (3) Prohibiting the Destruction of Documents; (4) Granting Expedited Discovery; (5) Requiring Defendants to Surrender Passports; and (6) #2 filed by Plaintiff Securities and Exchange Commission. (Attachments: #1 Exhibit 1 Consent Order, #2 Exhibit 2 Notice of Summary Access Denial Action, #3 3 Notice of Emergency Action, #4 4 Judgment of Criminal Case, #5 5 Whtiney Ordained Info, #6 6 CHS Trust Commercial Screenshot, #7 7 Seizure Warrant Affidavit, #8 8 Declaration of Rose, #9 9 Declaration of Nguyen)(Dean, Lynn)
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Filing 3
MEMORANDUM of Points and Authorities in Support filed by Plaintiff Securities and Exchange Commission. Re: EX PARTE APPLICATION for Temporary Restraining Order and Orders: (1) Freezing Assets; (2) Appointing a Receiver; (3) Prohibiting the Destruction of Documents; (4) Granting Expedited Discovery; (5) Requiring Defendants to Surrender Passports; and (6) #2 (Dean, Lynn)
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Filing 2
EX PARTE APPLICATION for Temporary Restraining Order and Orders: (1) Freezing Assets; (2) Appointing a Receiver; (3) Prohibiting the Destruction of Documents; (4) Granting Expedited Discovery; (5) Requiring Defendants to Surrender Passports; and (6) Requiring Accountings; and Order to Show Cause Why a Preliminary Injunction Should Not Be Granted filed by Plaintiff Securities and Exchange Commission. (Dean, Lynn)
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Filing 1
COMPLAINT No Fee Required - US Government, filed by Plaintiff Securities and Exchange Commission. (Attachments: #1 Civil Cover Sheet) (Attorney Lynn M Dean added to party Securities and Exchange Commission(pty:pla))(Dean, Lynn)
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