Securities and Exchange Commission v. Richard James Roberts et al
| Securities and Exchange Commission |
| Richard James Roberts, TCFG Investment Advisors, LLC and TCFG Wealth Management, LLC |
| 8:2021cv01615 |
| September 30, 2021 |
| US District Court for the Central District of California |
| David O Carter |
| Douglas F McCormick |
| Karen E Scott |
| Securities/Commodities |
| None |
Docket Report
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This docket was last retrieved on July 19, 2023. A more recent docket listing may be available from PACER.
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Filing 15
ORDER GRANTING STIPULATION TO AMEND BRIEFING SCHEDULE #12 by Judge David O. Carter that The SEC shall have up to and including 12/20/2021, to file its opposition to any motion to dismiss filed by Defendants, and Defendants shall have up to and including 1/10/2022 to file their reply to the SEC's opposition, and the hearing on the motion to dismiss is set for 8:30 AM., on 1/24/2022, re Stipulation for Extension of Time to File Response/Reply #12 . (jp)
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Filing 14
NOTICE of Appearance filed by attorney Brian Thomas Corrigan on behalf of Defendants Richard James Roberts, TCFG Investment Advisors, LLC, TCFG Wealth Management, LLC (Attorney Brian Thomas Corrigan added to party Richard James Roberts(pty:dft), Attorney Brian Thomas Corrigan added to party TCFG Investment Advisors, LLC(pty:dft), Attorney Brian Thomas Corrigan added to party TCFG Wealth Management, LLC(pty:dft))(Corrigan, Brian)
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Filing 13
NOTICE OF LODGING filed Proposed Order re Stipulation for Extension of Time to File Response/Reply #12 (Morris, Stanley)
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Filing 12
STIPULATION for Extension of Time to File Response and Reply filed by Defendants Richard James Roberts, TCFG Investment Advisors, LLC, TCFG Wealth Management, LLC.(Morris, Stanley)
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Filing 11
Certificate of Interested Parties filed by Defendants Richard James Roberts, TCFG Investment Advisors, LLC, TCFG Wealth Management, LLC (Morris, Stanley)
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Filing 10
NOTICE of Appearance filed by attorney Stanley C Morris on behalf of Defendants Richard James Roberts, TCFG Investment Advisors, LLC, TCFG Wealth Management, LLC (Attorney Stanley C Morris added to party Richard James Roberts(pty:dft), Attorney Stanley C Morris added to party TCFG Investment Advisors, LLC(pty:dft), Attorney Stanley C Morris added to party TCFG Wealth Management, LLC(pty:dft))(Morris, Stanley)
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Filing 9
INITIAL STANDING ORDER FOLLOWING ASSIGNMENT OF CIVIL CASE upon filing of the complaint by Judge David O. Carter. (ts)
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Filing 8
NOTICE OF REASSIGNMENT of MJDAP case from Magistrate Judge Karen E. Scott to Judge David O. Carter for all further proceedings. Any discovery matters that may be referred to a Magistrate Judge are assigned to U.S. Magistrate Judge Douglas F. McCormick. The case number will now reflect the initials of the transferee Judges 8:21-cv-01615 DOC(DFMx). (rn)
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Filing 7
ELECTION REGARDING CONSENT to Proceed before a United States Magistrate Judge Declined, in accordance with Title 28 Section 636c filed by Plaintiff Securities and Exchange Commission. The Plaintiff does not consent. (Miller, Douglas)
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Filing 6
WAIVER OF SERVICE Returned Executed filed by Plaintiff Securities and Exchange Commission. upon All Defendants. Waiver of Service signed by Richard James Roberts. (Miller, Douglas)
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Filing 5
21 DAY Summons Issued re Complaint (Attorney Civil Case Opening) #1 as to Defendants Richard James Roberts, TCFG Investment Advisors, LLC, TCFG Wealth Management, LLC. (et)
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Filing 4
NOTICE TO COUNSEL re Magistrate Judge Direct Assignment Program. This case has been randomly assigned to Magistrate Judge Karen E. Scott. (Attachments: #1 CV11C Statement of Consent) (et)
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Filing 3
Request for Clerk to Issue Summons on Complaint (Attorney Civil Case Opening) #1 , Civil Cover Sheet (CV-71) #2 filed by Plaintiff Securities and Exchange Commission. (Miller, Douglas)
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Filing 2
CIVIL COVER SHEET filed by Plaintiff Securities and Exchange Commission. (Miller, Douglas)
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Filing 1
COMPLAINT No Fee Required - US Government, filed by Plaintiff Securities and Exchange Commission. (Attorney Douglas M. Miller added to party Securities and Exchange Commission(pty:pla))(Miller, Douglas)
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