Securities And Exchange Commission v. Daifotis et al
Plaintiff: Securities And Exchange Commission
Defendant: Kimon Daifotis and Randall Merk
Not Classified By Court: Financial Industry Regulatory Authority, Inc.,
Intervenor: Charles Schwab & Co., Inc., Schwab Investments, Charles Schwab Investment Management, Inc. and The Charles Schwab Corporation
Case Number: 3:2011cv00137
Filed: January 11, 2011
Court: US District Court for the Northern District of California
Office: San Francisco Office
County: San Francisco
Presiding Judge: William Alsup
Nature of Suit: Securities/Commodities
Cause of Action: 15 U.S.C. ยง 78
Jury Demanded By: Both
Docket Report

This docket was last retrieved on January 17, 2013. A more recent docket listing may be available from PACER.

Date Filed Document Text
January 17, 2013 Opinion or Order Filing 207 Transcript of Proceedings held on 6/6/12, before Judge William Alsup. Court Reporter/Transcriber Sahar Bartlett, Telephone number (415)626-6060. Per General Order No. 59 and Judicial Conference policy, this transcript may be viewed only at the Clerks Office public terminal or may be purchased through the Court Reporter/Transcriber until the deadline for the Release of Transcript Restriction.After that date it may be obtained through PACER. Any Notice of Intent to Request Redaction, if required, is due no later than 5 business days from date of this filing. Release of Transcript Restriction set for 4/17/2013. (Filed on 1/17/2013)
July 30, 2012 Opinion or Order Filing 206 Receipt of $325,000 from Covington & Burling on behalf of Def Kim Daifotis. (dtm, COURT STAFF) (Filed on 7/30/2012)
July 17, 2012 Opinion or Order Filing 205 STIPULATION AND ORDER REGARDING SETTLEMENT WITH DEFENDANT KIMON P. DAIFOTIS AND VACATING CASE MANAGEMENT CONFERENCE re #204 Order on Stipulation, #203 STIPULATION WITH PROPOSED ORDER Stipulation and [Proposed] Order Regading Settlement With Defendant Kimon P. Daifotis, filed by Securities And Exchange Commission. Signed by Judge Alsup on July 17, 2012. (whalc2, COURT STAFF) (Filed on 7/17/2012)
July 17, 2012 Opinion or Order Filing 204 FINAL JUDGMENT AS TO DEFENDANT KIMON P. DAIFOTIS by Hon. William Alsup granting #203 Stipulation.(whalc2, COURT STAFF) (Filed on 7/17/2012)
July 17, 2012 Opinion or Order Set/Reset Hearing re #205 Order, (whalc2, COURT STAFF) (Filed on 7/17/2012)
July 16, 2012 Opinion or Order Filing 203 STIPULATION WITH PROPOSED ORDER Stipulation and [Proposed] Order Regading Settlement With Defendant Kimon P. Daifotis, filed by Securities And Exchange Commission. (Attachments: #1 Exhibit Consent of Defendant Kimon P. Daifotis, #2 Proposed Order Proposed Final Judgment)(Gottesman, David) (Filed on 7/16/2012)
July 6, 2012 Opinion or Order Filing 202 CLERKS NOTICE Rescheduling Hearing. Further Case Management Conference set for 7/18/2012 11:00 AM in Courtroom 8, 19th Floor, San Francisco. (dt, COURT STAFF) (Filed on 7/6/2012)
June 18, 2012 Opinion or Order Filing 201 Minute Entry: Status Conference (Date Filed: 6/18/2012). Further Case Management Conference set for 7/19/2012 11:00 AM in Courtroom 8, 19th Floor, San Francisco. (Court Reporter Kathy Sullivan.) (dt, COURT STAFF) (Date Filed: 6/18/2012)
June 15, 2012 Opinion or Order Filing 200 ORDER RE REQUEST TO CONTINUE PRETRIAL CONFERENCE AND TRIAL AND HOLDING REFERRAL TO MEDIATION IN ABEYANCE by Hon. William Alsup granting #199 Stipulation.(whalc2, COURT STAFF) (Filed on 6/15/2012)
June 15, 2012 Opinion or Order Set/Reset Hearing re #200 Order on Stipulation Status Conference set for 6/18/2012 02:00 PM in Courtroom 8, 19th Floor, San Francisco before Hon. William Alsup. (whalc2, COURT STAFF) (Filed on 6/15/2012)
June 14, 2012 Opinion or Order CASE REFERRED to Mediation. (mcl, COURT STAFF)
June 14, 2012 Opinion or Order Filing 199 STIPULATION WITH PROPOSED ORDER Stipulation and Proposed Order for Continuance Because of Pending Settlement Under Review, filed by Securities And Exchange Commission. (Gottesman, David) (Filed on 6/14/2012)
June 14, 2012 Opinion or Order Filing 198 ORDER REFERRING CASE FOR MEDIATION. Signed by Judge Alsup on June 14, 2012. (whalc2, COURT STAFF) (Filed on 6/14/2012)
June 14, 2012 Opinion or Order Filing 197 NOTICE REGARDING FINAL PRETRIAL CONFERENCE. Signed by Judge Alsup on June 14, 2012. (whalc2, COURT STAFF) (Filed on 6/14/2012)
June 12, 2012 Opinion or Order Filing 196 Declaration of Gregory Hand in Support of #163 Administrative Motion to File Under Seal Exhibits to Reply Declarations filed byCharles Schwab & Co., Inc.. (Related document(s) #163 ) (Kramer, Karin) (Filed on 6/12/2012)
June 12, 2012 Opinion or Order Filing 195 ORDER GRANTING UNOPPOSED MOTION TO INTERVENE FOR LIMITED PURPOSE OF PROTECTING PRIVILEGE DURING TRIAL by Hon. William Alsup granting #149 Motion to Intervene.(whalc2, COURT STAFF) (Filed on 6/12/2012)
June 12, 2012 Opinion or Order Filing 194 ORDER GRANTING IN PART DEFENDANT'S MOTION FOR SUMMARY JUDGMENT by Hon. William Alsup granting in part and denying in part #121 Motion for Summary Judgment. (Attachments: #1 Exhibit Schedule 1)(whalc2, COURT STAFF) (Filed on 6/12/2012)
June 11, 2012 Opinion or Order Filing 193 PRETRIAL MEMORANDUM in Support of Disputed Jury Instructions by Securities And Exchange Commission. (Block, Frederick) (Filed on 6/11/2012)
June 11, 2012 Opinion or Order Filing 192 Defendant's Request for Special Verdict Form Pursuant to Federal Rule of Civil Procedure 49 by Kimon Daifotis. (Albarran, Tammy) (Filed on 6/11/2012) Modified on 6/12/2012 (mcl, COURT STAFF).
June 11, 2012 Opinion or Order Filing 191 PRETRIAL MEMORANDUM Defendant's Memorandum in support of Disputed Jury Instructions by Kimon Daifotis. (Albarran, Tammy) (Filed on 6/11/2012)
June 11, 2012 Opinion or Order Filing 190 Proposed Pretrial Order Joint Proposed Pretrial Order, by Securities And Exchange Commission. (Attachments: #1 Appendix 1 - SEC's List of Communications, #2 Appendix 2 - Joint Exhibit List, #3 Appendix 3 - SEC's Witness List, #4 Appendix 4 - Defendant's Witness List)(Gottesman, David) (Filed on 6/11/2012)
June 11, 2012 Opinion or Order Filing 189 Proposed Jury Instructions by Securities And Exchange Commission Jointly Submitted. (Block, Frederick) (Filed on 6/11/2012)
June 11, 2012 Opinion or Order Filing 188 *** FILED IN ERROR. PLEASE DISREGARD. *** Proposed Form of Verdict by Kimon Daifotis Defendant's Proposed Special Verdict Form. (Albarran, Tammy) (Filed on 6/11/2012) Modified on 6/12/2012 (fff, COURT STAFF).
June 11, 2012 Opinion or Order Filing 187 First MOTION in Limine re Certain Evidence of YieldPlus's NAV and Performance filed by Kimon Daifotis. Motion Hearing set for 6/18/2012 02:00 PM in Courtroom 8, 19th Floor, San Francisco before Hon. William Alsup. Responses due by 6/8/2012. (Attachments: #1 Proposed Order)(Albarran, Tammy) (Filed on 6/11/2012)
June 11, 2012 Opinion or Order Filing 186 Proposed Form of Verdict by Securities And Exchange Commission Jointly Submitted. (Attachments: #1 Appendix A - SEC Proposed Verdict Form, #2 Appendix B - Daifotis Proposed Verdict Form)(Block, Frederick) (Filed on 6/11/2012)
June 11, 2012 Opinion or Order Filing 185 Administrative Motion to File Under Seal Portions of the SEC's Opposition to Motion in Limine No. 3 filed by Kimon Daifotis. (Attachments: #1 Proposed Order, #2 Declaration)(Albarran, Tammy) (Filed on 6/11/2012)
June 11, 2012 Opinion or Order Filing 184 Declaration of David S. Mendel in Support of #181 Second MOTION in Limine Re Testimony and Evidence Relating to Individual YieldPlus Investors, #182 Third MOTION in Limine Re Certain Evidence Relating to His Financial Condition and Separation Agreement, #180 First MOTION in Limine Re Evidence of Other Proceedings and Settlements Relating to YieldPlus Declaration of David S. Mendel in Support of Plaintiff's Oppositions to Kimon P. Daifotis' Motions in Limine filed byKimon Daifotis. (Related document(s) #181 , #182 , #180 ) (Albarran, Tammy) (Filed on 6/11/2012)
June 11, 2012 Opinion or Order Filing 183 Declaration of John D. Freed in Support of #181 Second MOTION in Limine Re Testimony and Evidence Relating to Individual YieldPlus Investors filed byKimon Daifotis. (Related document(s) #181 ) (Albarran, Tammy) (Filed on 6/11/2012)
June 11, 2012 Opinion or Order Filing 182 Third MOTION in Limine Re Certain Evidence Relating to His Financial Condition and Separation Agreement filed by Kimon Daifotis. Motion Hearing set for 6/18/2012 02:00 PM in Courtroom 8, 19th Floor, San Francisco before Hon. William Alsup. Responses due by 6/25/2012. (Attachments: #1 Proposed Order)(Albarran, Tammy) (Filed on 6/11/2012)
June 11, 2012 Opinion or Order Filing 181 Second MOTION in Limine Re Testimony and Evidence Relating to Individual YieldPlus Investors filed by Kimon Daifotis. Motion Hearing set for 6/18/2012 02:00 PM in Courtroom 8, 19th Floor, San Francisco before Hon. William Alsup. Responses due by 6/8/2012. (Attachments: #1 Proposed Order)(Albarran, Tammy) (Filed on 6/11/2012)
June 11, 2012 Opinion or Order Filing 180 *** FILED IN ERROR. REFER TO DOCUMENT #187 . *** First MOTION in Limine Re Evidence of Other Proceedings and Settlements Relating to YieldPlus filed by Kimon Daifotis. Motion Hearing set for 6/18/2012 02:00 PM in Courtroom 8, 19th Floor, San Francisco before Hon. William Alsup. Responses due by 6/8/2012. (Attachments: #1 Proposed Order)(Albarran, Tammy) (Filed on 6/11/2012) Modified on 6/12/2012 (fff, COURT STAFF).
June 11, 2012 Opinion or Order Filing 179 NOTICE by Kimon Daifotis of Filing of his Rule 26(3)(a) Disclosures (Albarran, Tammy) (Filed on 6/11/2012)
June 11, 2012 Opinion or Order Filing 178 Proposed Voir Dire by Securities And Exchange Commission Jointly Submitted. (Block, Frederick) (Filed on 6/11/2012)
June 11, 2012 Opinion or Order Filing 177 NOTICE by Securities And Exchange Commission of Filing of its Rule 26(a)(3) Disclosures (Attachments: #1 Exhibit SEC's Rule 26(a)(3) Disclosures)(Block, Frederick) (Filed on 6/11/2012)
June 11, 2012 Opinion or Order Filing 176 DECLARATION of Samantha J. Choe in Opposition to #172 Third MOTION in Limine To Preclude Evidence of Reliance On Counsel, and Defendant Kimon P. Daifotis's Opposition,, #170 First MOTION in Limine To Preclude Character Evidence, and Defendant Kimon P. Daifotis's Opposition, and Exhibits 1, 2, 3, 4, 5, and 6 to Declaration of Samantha J. Choe, filed bySecurities And Exchange Commission. (Related document(s) #172 , #170 ) (Mendel, David) (Filed on 6/11/2012)
June 11, 2012 Opinion or Order Filing 175 Declaration of David J. Gottesman in Support of #173 Fourth MOTION in Limine To Preclude Cumulative Expert Witness Opinions, and Defendant Kimon P. Daifotis's Opposition, filed bySecurities And Exchange Commission. (Attachments: #1 Exhibit 1, #2 Exhibit 2)(Related document(s) #173 ) (Mendel, David) (Filed on 6/11/2012)
June 11, 2012 Opinion or Order Filing 174 Declaration of David S. Mendel in Support of #172 Third MOTION in Limine To Preclude Evidence of Reliance On Counsel, and Defendant Kimon P. Daifotis's Opposition,, #170 First MOTION in Limine To Preclude Character Evidence, and Defendant Kimon P. Daifotis's Opposition, filed bySecurities And Exchange Commission. (Attachments: #1 Exhibit 1, #2 Exhibit 2, #3 Exhibit 3, #4 Exhibit 4, #5 Exhibit 5, #6 Exhibit 6, #7 Exhibit 7, #8 Exhibit 8, #9 Exhibit 9)(Related document(s) #172 , #170 ) (Mendel, David) (Filed on 6/11/2012)
June 11, 2012 Opinion or Order Filing 173 Fourth MOTION in Limine To Preclude Cumulative Expert Witness Opinions, and Defendant Kimon P. Daifotis's Opposition, filed by Securities And Exchange Commission. Motion Hearing set for 6/18/2012 02:00 PM in Courtroom 8, 19th Floor, San Francisco before Hon. William Alsup. Responses due by 6/8/2012. (Attachments: #1 Proposed Order)(Mendel, David) (Filed on 6/11/2012)
June 11, 2012 Opinion or Order Filing 172 Third MOTION in Limine To Preclude Evidence of Reliance On Counsel, and Defendant Kimon P. Daifotis's Opposition, filed by Securities And Exchange Commission. Motion Hearing set for 6/18/2012 02:00 PM in Courtroom 8, 19th Floor, San Francisco before Hon. William Alsup. Responses due by 6/8/2012. (Attachments: #1 Proposed Order)(Mendel, David) (Filed on 6/11/2012)
June 11, 2012 Opinion or Order Filing 171 Second MOTION in Limine To Preclude Evidence of Adverse Consequences From SEC Or Related Actions, and Kimon P. Daifotis's Opposition, filed by Securities And Exchange Commission. Motion Hearing set for 6/18/2012 02:00 PM in Courtroom 8, 19th Floor, San Francisco before Hon. William Alsup. Responses due by 6/8/2012. (Attachments: #1 Proposed Order)(Mendel, David) (Filed on 6/11/2012)
June 11, 2012 Opinion or Order Filing 170 First MOTION in Limine To Preclude Character Evidence, and Defendant Kimon P. Daifotis's Opposition, filed by Securities And Exchange Commission. Motion Hearing set for 6/18/2012 02:00 PM in Courtroom 8, 19th Floor, San Francisco before Hon. William Alsup. Responses due by 6/8/2012. (Attachments: #1 Proposed Order)(Mendel, David) (Filed on 6/11/2012)
June 7, 2012 Opinion or Order Filing 169 ORDER GRANTING IN PART AND DENYING IN PART MOTION TO EXCLUDE EXPERT OPINION OF CHARLES R. LUNDELIUS by Hon. William Alsup granting in part and denying in part #119 Motion to Strike.(whalc2, COURT STAFF) (Filed on 6/7/2012) (Additional attachment(s) added on 6/8/2012: #1 Certificate/Proof of Service) (ls, COURT STAFF).
June 6, 2012 Opinion or Order Filing 168 Minute Entry: Motion Hearing held on 6/6/2012 before Judge William Alsup. Motion to Strike and Motion for Summary Judgment are taken under submission. (Court Reporter: Sahar Bartlett) (tmi, COURT STAFF) (Date Filed: 6/6/2012)
June 5, 2012 Opinion or Order Filing 167 Declaration of Aileen Wheeler in Support of #166 Reply to Opposition/Response, Reply Declaration of Aileen Wheeler in Support of Defendant's Motion to Exclude the Reports and Testimony of Mark Zmijewski filed byKimon Daifotis. (Attachments: #1 Exhibit Exhibit A, #2 Exhibit Exhibit B)(Related document(s) #166 ) (Albarran, Tammy) (Filed on 6/5/2012)
June 5, 2012 Opinion or Order Filing 166 REPLY (re #137 MOTION to Exclude the Reports and Testimony of Mark Zmijewski ) Defendant's Reply in Support of Motion to Exclude the Reports and Testimony of Mark Zmijewski filed byKimon Daifotis. (Albarran, Tammy) (Filed on 6/5/2012)
June 5, 2012 Opinion or Order Filing 165 Declaration of John D. Freed in Support of #164 Opposition/Response to Motion to Exclude Testimony of H. Gifford Fond filed byKimon Daifotis. (Attachments: #1 Exhibit Exhibit 1)(Related document(s) #164 ) (Albarran, Tammy) (Filed on 6/5/2012)
June 5, 2012 Opinion or Order Filing 164 RESPONSE (re #133 MOTION to Exclude Testimony of H. Gifford Fong ) Reply Memorandum in Support of Defendant's Motion to Exclude Testimony of H. Gifford Fong filed byKimon Daifotis. (Albarran, Tammy) (Filed on 6/5/2012)
June 5, 2012 Opinion or Order Filing 163 Administrative Motion to File Under Seal Exhibits to Reply Declarations filed by Kimon Daifotis. (Attachments: #1 Proposed Order, #2 Declaration)(Albarran, Tammy) (Filed on 6/5/2012)
May 31, 2012 Opinion or Order Filing 162 CLERKS NOTICE Rescheduling Motion Hearing, Set/Reset Deadlines as to #121 MOTION for Summary Judgment , #119 MOTION to Strike Opinions in the Expert Report of Charles R. Lundelius. Motion Hearing set for 6/6/2012 08:00 AM in Courtroom 8, 19th Floor, San Francisco before Hon. William Alsup. (dt, COURT STAFF) (Filed on 5/31/2012)
May 31, 2012 Opinion or Order Filing 161 Declaration of Aileen Wheeler in Support of #137 MOTION to Exclude the Reports and Testimony of Mark Zmijewski filed byKimon Daifotis. (Attachments: #1 Exhibit A, #2 Exhibit B, #3 Exhibit C, #4 Exhibit D, #5 Exhibit E, #6 Exhibit F)(Related document(s) #137 ) (Wheeler, Aileen) (Filed on 5/31/2012)
May 29, 2012 Opinion or Order Filing 160 RESPONSE (re #133 MOTION to Exclude Testimony of H. Gifford Fong ) Plaintiff's Opposition to Defendant's Motion to Exclude the Expert Reports and Testimony of H. Gifford Fong, filed bySecurities And Exchange Commission. (Attachments: #1 Declaration Declaration of H. Gifford Fong, #2 Exhibit Report of H. Gifford Fong dated March 30, 2012)(Gottesman, David) (Filed on 5/29/2012)
May 29, 2012 Opinion or Order Filing 159 Declaration of Frederick L. Block in Support of #158 Opposition/Response to Motion filed bySecurities And Exchange Commission. (Attachments: #1 Exhibit Excerpts from Deposition of Dr. Zmijewski, #2 Exhibit Excerpts from Article, #3 Exhibit Excerpts from Article in Lit Services Handbook, #4 Exhibit Excerpts from Article in Lit Services Handbook)(Related document(s) #158 ) (Block, Frederick) (Filed on 5/29/2012)
May 29, 2012 Opinion or Order Filing 158 RESPONSE (re #137 MOTION to Exclude the Reports and Testimony of Mark Zmijewski ) filed bySecurities And Exchange Commission. (Block, Frederick) (Filed on 5/29/2012)
May 28, 2012 Opinion or Order Filing 157 ORDER GRANTING IN PART DEFENDANT'S MOTION TO SEAL by Hon. William Alsup granting in part and denying in part #135 Administrative Motion to File Under Seal.(whalc2, COURT STAFF) (Filed on 5/28/2012)
May 25, 2012 Opinion or Order Filing 156 EXHIBITS re #120 Declaration in Support,, Unredacted Versions of Exhibits filed bySecurities And Exchange Commission. (Attachments: #1 Exhibit Part 1 of Unredacted Exhibit 1 - Lundelius Report, #2 Exhibit Part 2 of Unredacted Exhibit 1 -, #3 Exhibit Part 3 of Unredacted Exhibit 1, #4 Exhibit Part 4 of Unredacted Exhibit 1, #5 Exhibit Unredacted Exhibit 2 - Excerpts from J. Hafner Dep, #6 Exhibit Unredacted Exhibit 3 - SEC Interrogatory Responses, #7 Exhibit Unredacted Exhibit 5 - Excerpts from T. Ritko Dep, #8 Exhibit Unredacted Excerpts from S. Schantz Dep)(Related document(s) #120 ) (Block, Frederick) (Filed on 5/25/2012)
May 25, 2012 Opinion or Order Filing 155 Brief re #119 MOTION to Strike Opinions in the Expert Report of Charles R. Lundelius (Unredacted Version) per Denial of Administrative Motion to Seal (Dkt. 140) filed bySecurities And Exchange Commission. (Related document(s) #119 ) (Block, Frederick) (Filed on 5/25/2012)
May 24, 2012 Opinion or Order Filing 154 Declaration of George Pereira in Support of #152 Reply to Opposition/Response Declaration of George Pereira in support of Defendant's Reply Memorandum in Support of Motion for Summary Judgment filed byKimon Daifotis. (Related document(s) #152 ) (Bayless, David) (Filed on 5/24/2012)
May 24, 2012 Opinion or Order Filing 153 Declaration of Samantha J. Choe in Support of #152 Reply to Opposition/Response Declaration of Samantha J. Choe in support of Defendant's Reply Memorandum in Support of Motion for Summary Judgment filed byKimon Daifotis. (Attachments: #1 Exhibit A, #2 Exhibit B, #3 Exhibit C, #4 Exhibit D)(Related document(s) #152 ) (Bayless, David) (Filed on 5/24/2012)
May 24, 2012 Opinion or Order Filing 152 REPLY (re #121 MOTION for Summary Judgment ) Reply Memorandum in Support of Defendant's Motion for Summary Judgment filed byKimon Daifotis. (Bayless, David) (Filed on 5/24/2012)
May 24, 2012 Opinion or Order Filing 151 REPLY (re #119 MOTION to Strike Opinions in the Expert Report of Charles R. Lundelius ) filed bySecurities And Exchange Commission. (Block, Frederick) (Filed on 5/24/2012)
May 22, 2012 Opinion or Order Filing 150 CLERKS NOTICE Rescheduling Motion Hearing, Set/Reset Deadlines as to #121 MOTION for Summary Judgment . Motion Hearing set for 6/7/2012 08:00 AM in Courtroom 8, 19th Floor, San Francisco before Hon. William Alsup. (dt, COURT STAFF) (Filed on 5/22/2012)
May 21, 2012 Opinion or Order Filing 149 MOTION to Intervene for Limited Purpose of Protecting Privilege at Trial filed by Charles Schwab & Co., Inc., Schwab Investments, Charles Schwab Investment Management, Inc., The Charles Schwab Corporation. Motion Hearing set for 6/28/2012 08:00 AM in Courtroom 8, 19th Floor, San Francisco before Hon. William Alsup. Responses due by 6/4/2012. Replies due by 6/11/2012. (Attachments: #1 Proposed Order)(Kramer, Karin) (Filed on 5/21/2012)
May 17, 2012 Opinion or Order Filing 148 REPLY (re #135 Administrative Motion to File Under Seal ) to SEC' Opposition filed byKimon Daifotis. (Hurwit, Joshua) (Filed on 5/17/2012)
May 17, 2012 Opinion or Order Filing 147 Declaration of Jennifer Ordelt in Support of #142 Opposition/Response to Motion for Summary Judgment, filed bySecurities And Exchange Commission. (Attachments: #1 Exhibit Attachment A to Ordelt Declaration)(Related document(s) #142 ) (Gottesman, David) (Filed on 5/17/2012)
May 17, 2012 Opinion or Order Filing 146 Declaration of Melissa R. Hodgman in Support of #142 Opposition/Response to Motion for Summary Judgment, filed bySecurities And Exchange Commission. (Attachments: #1 Exhibit S/J Ex. 2, #2 Exhibit S/J Ex. 3, #3 Exhibit S/J Ex. 4, #4 Exhibit S/J Ex. 5, #5 Exhibit S/J Ex. 6, #6 Exhibit S/J Ex. 7, #7 Exhibit S/J Ex. 8, #8 Exhibit S/J Ex. 9, #9 Exhibit S/J Ex. 10, #10 Exhibit S/J Ex. 11, #11 Exhibit S/J Ex. 12, #12 Exhibit S/J Ex. 13, #13 Exhibit S/J Ex. 14, #14 Exhibit S/J Ex. 15, #15 Exhibit S/J Ex. 16, #16 Exhibit S/J Ex. 17, #17 Exhibit S/J Ex. 18, #18 Exhibit S/J Ex. 19, #19 Exhibit S/J Ex. 20, #20 Exhibit S/J Ex. 21, #21 Exhibit S/J Ex. 22, #22 Exhibit S/J Ex. 23, #23 Exhibit S/J Ex. 24, #24 Exhibit S/J Ex. 25, #25 Exhibit S/J Ex. 26, #26 Exhibit S/J Ex. 27, #27 Exhibit S/J Ex. 28, #28 Exhibit S/J Ex. 29, #29 Exhibit S/J Ex. 30, #30 Exhibit S/J Ex. 31, #31 Exhibit S/J Ex. 32, #32 Exhibit S/J Ex. 33, #33 Exhibit S/J Ex. 34)(Related document(s) #142 ) (Gottesman, David) (Filed on 5/17/2012)
May 17, 2012 Opinion or Order Filing 145 DECLARATION of Tammy Albarran in Opposition to #144 Opposition/Response to Motion, Declaration in Support of Defendant Kimon Daifotis's Opposition to Plaintiff's Motion to Exclude Opinion in the Expert Report of Charles R. Lundelius filed byKimon Daifotis. (Attachments: #1 Exhibit 1, #2 Exhibit 2, #3 Exhibit 3, #4 Exhibit 4, #5 Exhibit 5, #6 Exhibit 6, #7 Exhibit 7)(Related document(s) #144 ) (Albarran, Tammy) (Filed on 5/17/2012)
May 17, 2012 Opinion or Order Filing 144 RESPONSE (re #119 MOTION to Strike Opinions in the Expert Report of Charles R. Lundelius ) Opposition to Plaintiff's Motion to Exclude Expert Report of Charles R. Lundelius filed byKimon Daifotis. (Attachments: #1 Proposed Order)(Albarran, Tammy) (Filed on 5/17/2012)
May 17, 2012 Opinion or Order Filing 143 Declaration of H. Gifford Fong in Support of #142 Opposition/Response to Motion for Summary Judgment, filed bySecurities And Exchange Commission. (Attachments: #1 Exhibit S/J Ex. 1 - Expert Report of H. Gifford Fong)(Related document(s) #142 ) (Gottesman, David) (Filed on 5/17/2012)
May 17, 2012 Opinion or Order Filing 142 RESPONSE (re #121 MOTION for Summary Judgment ) Plaintiff SEC's Memorandum In Opposition to Defendant's Motion for Summary Judgment, filed bySecurities And Exchange Commission. (Gottesman, David) (Filed on 5/17/2012)
May 17, 2012 Opinion or Order Filing 141 RESPONSE (re #135 Administrative Motion to File Under Seal ) filed bySecurities And Exchange Commission. (Attachments: #1 Proposed Order)(Block, Frederick) (Filed on 5/17/2012)
May 16, 2012 Opinion or Order Filing 140 ORDER DENYING PLAINTIFF'S MOTIONS TO FILE UNDER SEAL (DKT. NOS. 116 AND 118) by Judge William Alsup [denying #116 Administrative Motion to File Under Seal; denying #118 Administrative Motion to File Under Seal]. (whasec, COURT STAFF) (Filed on 5/16/2012)
May 15, 2012 Opinion or Order Filing 139 STIPULATION AND ORDER RE WITHDRAWAL OF CERTAIN OF DEFENDANT'S AFFIRMATIVE DEFENSES AND WITHDRAWAL OF PLAINTIFF'S MOTION FOR SUMMARY JUDGMENT by Hon. William Alsup granting #132 Stipulation.(whalc2, COURT STAFF) (Filed on 5/15/2012)
May 14, 2012 Opinion or Order Filing 138 Declaration of Aileen Wheeler in Support of #137 MOTION to Exclude the Reports and Testimony of Mark Zmijewski filed byKimon Daifotis. (Attachments: #1 Exhibit A, #2 Exhibit B, #3 Exhibit C, #4 Exhibit D, #5 Exhibit E, #6 Exhibit F)(Related document(s) #137 ) (Albarran, Tammy) (Filed on 5/14/2012)
May 14, 2012 Opinion or Order Filing 137 MOTION to Exclude the Reports and Testimony of Mark Zmijewski filed by Kimon Daifotis. Motion Hearing set for 6/18/2012 02:00 PM in Courtroom 9, 19th Floor, San Francisco before Hon. William Alsup. Responses due by 5/29/2012. Replies due by 6/5/2012. (Attachments: #1 Proposed Order)(Albarran, Tammy) (Filed on 5/14/2012)
May 14, 2012 Opinion or Order Filing 136 Declaration of Tammy Albarran in Support of #135 Administrative Motion to File Under Seal filed byKimon Daifotis. (Attachments: #1 Exhibit 1)(Related document(s) #135 ) (Albarran, Tammy) (Filed on 5/14/2012)
May 14, 2012 Opinion or Order Filing 135 Administrative Motion to File Under Seal filed by Kimon Daifotis. (Attachments: #1 Proposed Order)(Albarran, Tammy) (Filed on 5/14/2012)
May 14, 2012 Opinion or Order Filing 134 Declaration of John D. Freed in Support of #133 MOTION to Exclude Testimony of H. Gifford Fong filed byKimon Daifotis. (Attachments: #1 Exhibit 1, #2 Exhibit 2, #3 Exhibit 3, #4 Exhibit 4, #5 Exhibit 5, #6 Exhibit 6, #7 Exhibit 7, #8 Exhibit 8, #9 Exhibit 9 Part 1, #10 Exhibit 9 Part 2, #11 Exhibit 9 Part 3, #12 Exhibit 9 Part 4, #13 Exhibit 9 Part5)(Related document(s) #133 ) (Bayless, David) (Filed on 5/14/2012)
May 14, 2012 Opinion or Order Filing 133 MOTION to Exclude Testimony of H. Gifford Fong filed by Kimon Daifotis. Motion Hearing set for 6/18/2012 02:00 PM in Courtroom 8, 19th Floor, San Francisco before Hon. William Alsup. Responses due by 5/29/2012. Replies due by 6/5/2012. (Attachments: #1 Proposed Order)(Bayless, David) (Filed on 5/14/2012)
May 14, 2012 Opinion or Order Filing 132 STIPULATION WITH PROPOSED ORDER re #117 MOTION for Summary Judgment and for Partial Summary Judgment, #99 Answer to Amended Complaint filed by Kimon Daifotis. (Albarran, Tammy) (Filed on 5/14/2012)
May 10, 2012 Opinion or Order Filing 131 Declaration of Tammy Albarran in Support of #116 Administrative Motion to File Under Seal re Motion for Summary Judgment and for Partial Summary Judgment filed byKimon Daifotis. (Attachments: #1 Proposed Order)(Related document(s) #116 ) (Albarran, Tammy) (Filed on 5/10/2012)
May 7, 2012 Opinion or Order Filing 130 ORDER APPROVING RE-ISSUANCE OF DISTRIBUTION CHECK TO CLASS MEMBER SCHROEDER [re (1147 in 3:08-cv-01510-WHA) Response ( Non Motion ) filed by YieldPlus Investor Group, (1144 in 3:08-cv-01510-WHA) Letter ]. Signed by Judge William Alsup on 5/7/2012. (whasec, COURT STAFF) (Filed on 5/7/2012)
May 4, 2012 Opinion or Order Filing 129 ORDER RE DECLARATION OF DAVID BAYLESS re #122 Declaration in Support filed by Kimon Daifotis. Signed by Judge Alsup on May 4, 2012. (whalc2, COURT STAFF) (Filed on 5/4/2012) Modified on 5/7/2012 (wsn, COURT STAFF).
May 3, 2012 Opinion or Order Filing 128 Declaration of Matthew Hastings filed byKimon Daifotis. (Bayless, David) (Filed on 5/3/2012)
May 3, 2012 Opinion or Order Filing 127 Declaration of Gregory Hand filed byKimon Daifotis. (Attachments: #1 Part 2, #2 Part 3)(Bayless, David) (Filed on 5/3/2012)
May 3, 2012 Opinion or Order Filing 126 Declaration of Mila Dunn filed byKimon Daifotis. (Bayless, David) (Filed on 5/3/2012)
May 3, 2012 Opinion or Order Filing 125 Declaration of Maureen M. Chakraborty filed byKimon Daifotis. (Bayless, David) (Filed on 5/3/2012)
May 3, 2012 Opinion or Order Filing 124 Declaration of Eric Carlson filed byKimon Daifotis. (Bayless, David) (Filed on 5/3/2012)
May 3, 2012 Opinion or Order Filing 123 Declaration of Sarah Bulgatz filed byKimon Daifotis. (Bayless, David) (Filed on 5/3/2012)
May 3, 2012 Opinion or Order Filing 122 Declaration of David Bayless in Support of #121 MOTION for Summary Judgment filed byKimon Daifotis. (Attachments: #1 Exhibit 1, #2 Exhibit 2, #3 Exhibit 3, #4 Exhibit 4, #5 Exhibit 5, #6 Exhibit 6, #7 Exhibit 7, #8 Exhibit 8, #9 Exhibit 9, #10 Exhibit 10, #11 Exhibit 11, #12 Exhibit 12, #13 Exhibit 13, #14 Exhibit 14, #15 Exhibit 15, #16 Exhibit 16, #17 Exhibit 17, #18 Exhibit 18, #19 Exhibit 19, #20 Exhibit 20, #21 Exhibit 21, #22 Exhibit 22, #23 Exhibit 23, #24 Exhibit 24, #25 Exhibit 25, #26 Exhibit 26, #27 Exhibit 27, #28 Exhibit 28, #29 Exhibit 29, #30 Exhibit 30, #31 Exhibit 31, #32 Exhibit 32, #33 Exhibit 33 Part 1, #34 Exhibit 33 Part 2, #35 Exhibit 34, #36 Exhibit 35, #37 Exhibit 36, #38 Exhibit 37, #39 Exhibit 38, #40 Exhibit 39, #41 Exhibit 40, #42 Exhibit 41, #43 Exhibit 42, #44 Exhibit 43, #45 Exhibit 44, #46 Exhibit 45, #47 Exhibit 46, #48 Exhibit 47, #49 Exhibit 48, #50 Exhibit 49, #51 Exhibit 50, #52 Exhibit 51, #53 Exhibit 52, #54 Exhibit 53, #55 Exhibit 54, #56 Exhibit 55, #57 Exhibit 56, #58 Exhibit 57, #59 Exhibit 58, #60 Exhibit 59, #61 Exhibit 60, #62 Exhibit 61, #63 Exhibit 62, #64 Exhibit 63)(Related document(s) #121 ) (Bayless, David) (Filed on 5/3/2012)
May 3, 2012 Opinion or Order Filing 121 MOTION for Summary Judgment filed by Kimon Daifotis. Motion Hearing set for 6/7/2012 02:00 PM in Courtroom 8, 19th Floor, San Francisco before Hon. William Alsup. Responses due by 5/17/2012. Replies due by 5/24/2012. (Attachments: #1 Proposed Order)(Bayless, David) (Filed on 5/3/2012)
May 3, 2012 Opinion or Order Filing 120 Declaration in Support of #119 MOTION to Strike Opinions in the Expert Report of Charles R. Lundelius filed bySecurities And Exchange Commission. (Attachments: #1 Exhibit Redacted - Expert Report of Charles R. Lundelius, #2 Exhibit Redacted - Excerpts from Jennifer Hafner Deposition, #3 Exhibit Excerpts from Charles R. Lundelius Deposition, #4 Exhibit Redacted - SEC Interrog Responses, #5 Exhibit Redacted - Excerpts from Tina Ritko Deposition, #6 Exhibit Dep Exhibit 469 - NASD Webpage, #7 Exhibit Dep Ex 1021 - SEC Deficiency Letter, #8 Exhibit Redacted - Excerpts from Deposition of Steven Schantz, #9 Proposed Order)(Related document(s) #119 ) (Block, Frederick) (Filed on 5/3/2012)
May 3, 2012 Opinion or Order Filing 119 MOTION to Strike Opinions in the Expert Report of Charles R. Lundelius filed by Securities And Exchange Commission. Motion Hearing set for 6/7/2012 08:00 AM in Courtroom 8, 19th Floor, San Francisco before Hon. William Alsup. Responses due by 5/17/2012. Replies due by 5/24/2012. (Block, Frederick) (Filed on 5/3/2012)
May 3, 2012 Opinion or Order Filing 118 Administrative Motion to File Under Seal regarding SEC's Motion to Exclude Opinions in the Expert Report of Charles R. Lundelius filed by Securities And Exchange Commission. (Attachments: #1 Declaration, #2 Proposed Order)(Block, Frederick) (Filed on 5/3/2012)
May 3, 2012 Opinion or Order Filing 117 WITHDRAWN PER #139 STIPULATION AND ORDER MOTION for Summary Judgment and for Partial Summary Judgment filed by Securities And Exchange Commission. Motion Hearing set for 6/7/2012 08:00 AM in Courtroom 8, 19th Floor, San Francisco before Hon. William Alsup. Responses due by 5/17/2012. Replies due by 5/24/2012. (Attachments: #1 Declaration by David Mendel ISO Motion for Summary Judgment and for Partial Summary Judgment, #2 Exhibit 1 to Mendel Declaration, #3 Exhibit 2 to Mendel Declaration, #4 Exhibit 3 to Mendel Declaration, #5 Exhibit 4 to Mendel Declaration, #6 Exhibit 5 to Mendel Declaration, #7 Exhibit 6 to Mendel Declaration, #8 Exhibit 7 to Mendel Declaration, #9 Exhibit 8 (redacted) to Mendel Declaration, #10 Exhibit 9 to Mendel Declaration, #11 Exhibit 10 (redacted) to Mendel Declaration, #12 Exhibit 11 (redacted) to Mendel Declaration, #13 Proposed Order re Motion for Summary Judgment and for Partial Summary Judgment)(Mendel, David) (Filed on 5/3/2012) Modified on 5/16/2012 (mjj2, COURT STAFF).
May 3, 2012 Opinion or Order Filing 116 Administrative Motion to File Under Seal re Motion for Summary Judgment and for Partial Summary Judgment filed by Securities And Exchange Commission. (Attachments: #1 Declaration Re Motion to File Under Seal, #2 Proposed Order Motion to File Under Seal)(Mendel, David) (Filed on 5/3/2012)
April 24, 2012 Opinion or Order Motions terminated: #106 Discovery Letter BriefRegarding FINRA Subpoena filed by Kimon Daifotis.. Signed by Judge Alsup on April 24, 2012. (whalc2, COURT STAFF) (Filed on 4/24/2012)
April 23, 2012 Opinion or Order Filing 115 STIPULATION AND ORDER GRANTING TWO-BUSINESS DAY ENLARGMENT OF TIME TO COMPLETE DEPOSITION OF EXPERT WITNESS by Hon. William Alsup granting #114 Stipulation.(whalc2, COURT STAFF) (Filed on 4/23/2012)
April 20, 2012 Opinion or Order Filing 114 STIPULATION WITH PROPOSED ORDER Stipulation and [Proposed Order] Granting Two-Business Day Enlargement of Time to Complete Deposition of Expert Witness, filed by Securities And Exchange Commission. (Gottesman, David) (Filed on 4/20/2012)
March 19, 2012 Opinion or Order Filing 113 STIPULATION AND ORDER REGARDING DEFENDANT KIMON P. DAIFOTIS FEBRUARY 28, 2012 DISCOVERY LETTER BRIEF by Judge Alsup entered #106 Discovery Letter Brief; granting #112 Stipulation (whalc2, COURT STAFF) (Filed on 3/19/2012)
March 15, 2012 Opinion or Order Filing 112 STIPULATION WITH PROPOSED ORDER re #106 Discovery Letter BriefRegarding FINRA Subpoena filed by Kimon Daifotis, Financial Industry Regulatory Authority, Inc.,. (Bayless, David) (Filed on 3/15/2012)
March 12, 2012 Opinion or Order Filing 111 RESPONSE (re #106 Discovery Letter Brief Regarding FINRA Subpoena) filed by Financial Industry Regulatory Authority, Inc. (Dettmer, Ethan) (Filed on 3/12/2012) Modified on 3/12/2012 (wsn, COURT STAFF).
March 9, 2012 Opinion or Order Filing 110 Letter from David Bayless to Hon. William Alsup re March 13, 2012 Hearing. (Bayless, David) (Filed on 3/9/2012)
March 8, 2012 Opinion or Order Filing 109 NOTICE of Appearance by Anita Fern Stork, Esq (Stork, Anita) (Filed on 3/8/2012)
March 7, 2012 Opinion or Order Filing 108 RESPONSE (re #106 Discovery Letter BriefRegarding FINRA Subpoena ) filed bySecurities And Exchange Commission. (Attachments: #1 Exhibit FINRA Access Request Letter)(Block, Frederick) (Filed on 3/7/2012)
March 2, 2012 Opinion or Order Filing 107 ORDER SETTING HEARING ON DEFENDANT'S DISCOVERY DISPUTE [re #106 Discovery Letter Brief Regarding FINRA Subpoena filed by Kimon Daifotis]. FINRA's Response due by 9:00 AM 3/12/2012. Meet-and-confer on 3/13/2012 starting from 8:00 a.m. and continuing to 11:30 a.m. in the Court's jury room. Discovery Hearing set for 3/13/2012 11:30 AM in Courtroom 8, 19th Floor, San Francisco before Hon. William Alsup. Signed by Judge William Alsup on 3/2/2012. (whasec, COURT STAFF) (Filed on 3/2/2012)
February 28, 2012 Opinion or Order Filing 106 Discovery Letter BriefRegarding FINRA Subpoena filed by Kimon Daifotis. (Attachments: #1 Exhibit A, #2 Exhibit B)(Bayless, David) (Filed on 2/28/2012)
January 19, 2012 Opinion or Order Filing 105 ORDER APPROVING STIPULATED PROTECTIVE ORDER SUBJECT TO STATED CONDITIONS by Hon. William Alsup granting #104 Stipulation.(whalc2, COURT STAFF) (Filed on 1/19/2012)
January 18, 2012 Opinion or Order Filing 104 STIPULATION WITH PROPOSED ORDER , re: Protective Order filed by Kimon Daifotis. (Albarran, Tammy) (Filed on 1/18/2012)
November 23, 2011 Opinion or Order Filing 103 Receipt 34611067321, $150,000, from Randal W. Merk re #102 FINAL JUDGMENT AS TO DEFENDANT RANDALL MERK. (wsn, COURT STAFF) (Filed on 11/23/2011)
November 21, 2011 Opinion or Order Filing 102 FINAL JUDGMENT AS TO DEFENDANT RANDALL MERK re #101 Notice (Other), Notice (Other) filed by Securities And Exchange Commission. Signed by Judge Alsup on November 21, 2011. (whalc2, COURT STAFF) (Filed on 11/21/2011)
November 21, 2011 Opinion or Order Filing 101 NOTICE by Securities And Exchange Commission Plaintiff's Notice of Settlement With Defendant Randall Merk Only, (Attachments: #1 Exhibit Consent of Defendant Randall Merk, #2 Proposed Order Proposed Final Judgment As To Defendant Randall Merk)(Gottesman, David) (Filed on 11/21/2011)
October 27, 2011 Opinion or Order Filing 100 ANSWER to Amended Complaint byRandall Merk. (Brune, Susan) (Filed on 10/27/2011)
October 27, 2011 Opinion or Order Filing 99 DEFENDANT KIMON DAIFOTIS'S ANSWER to Amended Complaint (FIRST) byKimon Daifotis. (Bayless, David) (Filed on 10/27/2011)
October 13, 2011 Opinion or Order Filing 98 AMENDED COMPLAINT First Amended Complaint against Kimon Daifotis, Randall Merk. Filed bySecurities And Exchange Commission. (Gottesman, David) (Filed on 10/13/2011)
October 12, 2011 Opinion or Order Filing 97 ORDER RE REQUEST FOR SECTION 1292(B) CERTIFICATION by Judge William Alsup [denying #75 Motion for Certificate of Appealability]. (whasec, COURT STAFF) (Filed on 10/12/2011)
October 11, 2011 Opinion or Order Filing 96 Brief re #93 Order filed byKimon Daifotis, Randall Merk. (Related document(s) #93 ) (Albarran, Tammy) (Filed on 10/11/2011)
October 11, 2011 Opinion or Order Filing 95 Brief re #93 Order Plaintiff's Supplemental Memorandum Regarding Defendants' Motion for Certification Pursuant to 28 USC Section 1292(b), filed bySecurities And Exchange Commission. (Related document(s) #93 ) (Gottesman, David) (Filed on 10/11/2011)
October 7, 2011 Opinion or Order Filing 94 ORDER GRANTING PLAINTIFF'S MOTION TO FILE FIRST AMENDED COMPLAINT by Judge William Alsup [granting #76 Motion for Leave to File]. (whasec, COURT STAFF) (Filed on 10/7/2011)
October 4, 2011 Opinion or Order Filing 93 REQUEST FOR FURTHER BRIEFING BY NOON ON 10/11/2011. Signed by Judge William Alsup on 10/4/2011. (whasec, COURT STAFF) (Filed on 10/4/2011)
October 3, 2011 Opinion or Order Filing 92 ORDER ON PLAINTIFF'S UNOPPOSED MOTION TO RESET HEARING by Hon. William Alsup vacating hearing #91 Motion for Hearing.(whalc2, COURT STAFF) (Filed on 10/3/2011)
September 30, 2011 Opinion or Order Filing 91 MOTION for Hearing re #87 Order, Set Motion and Deadlines/Hearings, #90 Clerks Notice Plaintiff's Unopposed Administrative Motion to Reset Hearing, filed by Securities And Exchange Commission. (Attachments: #1 Declaration Declaration of David J. Gottesman, #2 Proposed Order)(Gottesman, David) (Filed on 9/30/2011)
September 30, 2011 Opinion or Order Filing 90 CLERKS NOTICE Rescheduling Hearing. Motions set for 10/6/2011 2:00 PM. (dt, COURT STAFF) (Filed on 9/30/2011)
September 30, 2011 Opinion or Order Set/Reset Deadlines as to #75 MOTION for Certificate of Appealability Pursuant to 28 U.S.C. Section 1292(b), #76 MOTION for Leave to File First Amended Complaint,. Motion Hearing set for 10/6/2011 02:00 PM in Courtroom 8, 19th Floor, San Francisco before Hon. William Alsup. (dt, COURT STAFF) (Filed on 9/30/2011)
September 23, 2011 Opinion or Order Filing 89 STATEMENT OF RECENT DECISION pursuant to Civil Local Rule 7-3.d filed byKimon Daifotis. (Attachments: #1 Exhibit 1)(Related document(s) #75 , #82 , #80 ) (Albarran, Tammy) (Filed on 9/23/2011)
September 14, 2011 Opinion or Order Filing 88 ORDER RE PLAINTIFF'S ADMINISTRATIVE REQUEST TO PERMIT PLAINTIFF TO EXCEED PAGE LIMIT by Hon. William Alsup denying #83 Motion for Leave to File Excess Pages.(whalc2, COURT STAFF) (Filed on 9/14/2011)
September 14, 2011 Opinion or Order Filing 87 ORDER PARTIALLY GRANTING STIPULATED REQUESTS (whalc2, COURT STAFF) (Filed on 9/14/2011)
September 13, 2011 Opinion or Order Filing 86 REPLY (re #76 MOTION for Leave to File First Amended Complaint, ) Plaintiff's Reply to Defendant Daifotis's Opposition to Plaintiff's Motion for Leave to File First Amended Complaint, filed bySecurities And Exchange Commission. (Gottesman, David) (Filed on 9/13/2011)
September 13, 2011 Opinion or Order Filing 85 REPLY (re #76 MOTION for Leave to File First Amended Complaint, ) Plaintiff's Reply to Defendant Merk's Opposition to Plaintiff's Motion for Leave to File First Amended Complaint filed bySecurities And Exchange Commission. (Block, Frederick) (Filed on 9/13/2011)
September 9, 2011 Opinion or Order Filing 84 RESPONSE (re #83 MOTION for Leave to File Excess Pages Plaintiff's Administrative Motion to Permit Plaintiff to Exceed Page Limits, ) filed byKimon Daifotis. (Bayless, David) (Filed on 9/9/2011)
September 9, 2011 Opinion or Order Filing 83 MOTION for Leave to File Excess Pages Plaintiff's Administrative Motion to Permit Plaintiff to Exceed Page Limits, filed by Securities And Exchange Commission. (Attachments: #1 Declaration Declaration of David J. Gottesman, #2 Proposed Order)(Gottesman, David) (Filed on 9/9/2011)
September 6, 2011 Opinion or Order Filing 82 RESPONSE (re #76 MOTION for Leave to File First Amended Complaint, ) filed byRandall Merk. (Attachments: #1 Proposed Order)(Brune, Susan) (Filed on 9/6/2011)
September 6, 2011 Opinion or Order Filing 81 Declaration of David Bayless in Support of #80 Opposition/Response to Motion filed byKimon Daifotis. (Attachments: #1 Exhibit 1, #2 Exhibit 2, #3 Exhibit 3, #4 Exhibit 4, #5 Exhibit 5, #6 Exhibit 6, #7 Exhibit 7, #8 Exhibit 8, #9 Exhibit 9, #10 Exhibit 10, #11 Exhibit 11, #12 Exhibit 12, #13 Exhibit 13, #14 Exhibit 14, #15 Exhibit 15, #16 Exhibit 16, #17 Exhibit 17, #18 Exhibit 18, #19 Exhibit 19)(Related document(s) #80 ) (Bayless, David) (Filed on 9/6/2011)
September 6, 2011 Opinion or Order Filing 80 RESPONSE (re #76 MOTION for Leave to File First Amended Complaint, ) filed byKimon Daifotis. (Bayless, David) (Filed on 9/6/2011)
September 2, 2011 Opinion or Order Filing 79 REPLY (re #75 MOTION for Certificate of Appealability Pursuant to 28 U.S.C. Section 1292(b) ) filed byKimon Daifotis. (Albarran, Tammy) (Filed on 9/2/2011)
September 1, 2011 Opinion or Order Filing 78 STIPULATION by Randall Merk. (Attachments: #1 Declaration)(Sung, MaryAnn) (Filed on 9/1/2011)
August 26, 2011 Opinion or Order Filing 77 RESPONSE (re #75 MOTION for Certificate of Appealability Pursuant to 28 U.S.C. Section 1292(b) ) Plaintiff's Memorandum In Opposition to Defendants' Motion for Certification Pursuant to 28 USC Section 1292(b), filed bySecurities And Exchange Commission. (Gottesman, David) (Filed on 8/26/2011)
August 22, 2011 Opinion or Order Filing 76 MOTION for Leave to File First Amended Complaint, filed by Securities And Exchange Commission. (Attachments: #1 Exhibit Proposed First Amended Complaint, #2 Proposed Order)(Gottesman, David) (Filed on 8/22/2011)
August 15, 2011 Opinion or Order Filing 75 MOTION for Certificate of Appealability Pursuant to 28 U.S.C. Section 1292(b) filed by Kimon Daifotis. (Attachments: #1 Proposed Order)(Bayless, David) (Filed on 8/15/2011)
August 1, 2011 Opinion or Order Filing 74 ORDER GRANTING DEFENDANTS' MOTIONS FOR RECONSIDERATION AND MODIFYING IN PART ORDER GRANTING IN PART AND DENYING IN PART DEFENDANTS' MOTIONS TO DISMISS AND STRIKE by Judge Alsup granting #66 Motion for Reconsideration ; granting #67 Motion for Reconsideration (whalc2, COURT STAFF) (Filed on 8/1/2011)
July 29, 2011 Opinion or Order Filing 73 Transcript of Proceedings held on 07/28/2011, before Judge William H. Alsup. Court Reporter/Transcriber Lydia Zinn, Telephone number (415) 531-6587. Per General Order No. 59 and Judicial Conference policy, this transcript may be viewed only at the Clerks Office public terminal or may be purchased through the Court Reporter/Transcriber until the deadline for the Release of Transcript Restriction.After that date it may be obtained through PACER. Any Notice of Intent to Request Redaction, if required, is due no later than 5 business days from date of this filing. Release of Transcript Restriction set for 10/27/2011. (Zinn, Lydia) (Filed on 7/29/2011)
July 28, 2011 Opinion or Order Filing 72 Minute Entry: Motion Hearing held on 7/28/2011 before William Alsup (Date Filed: 7/28/2011) re #66 MOTION for Reconsideration re #58 Order, Terminate Motions, filed by Randall Merk, #67 MOTION for Reconsideration re #58 Order, Terminate Motions, filed by Kimon Daifotis. (Court Reporter Lydia Zinn.) (dt, COURT STAFF) (Date Filed: 7/28/2011)
July 13, 2011 Opinion or Order Filing 71 REPLY (re #67 MOTION for Reconsideration re #58 Order,, Terminate Motions, ) filed byKimon Daifotis. (Attachments: #1 Attachment 1)(Bayless, David) (Filed on 7/13/2011)
July 13, 2011 Opinion or Order Filing 70 REPLY (re #66 MOTION for Reconsideration re #58 Order,, Terminate Motions, ) filed byRandall Merk. (Brune, Susan) (Filed on 7/13/2011)
July 6, 2011 Opinion or Order Filing 69 RESPONSE (re #66 MOTION for Reconsideration re #58 Order,, Terminate Motions, ) Plaintiff's Memorandum In Opposition to Defendant Randall Merk's Motion for Reconsideration, filed bySecurities And Exchange Commission. (Gottesman, David) (Filed on 7/6/2011)
July 6, 2011 Opinion or Order Filing 68 RESPONSE (re #67 MOTION for Reconsideration re #58 Order,, Terminate Motions, ) Plaintiff's Memorandum In Opposition to Defendant Daifotis's Motion for Reconsideration of Certain Portions of the Court's June 6, 2011 Order, filed bySecurities And Exchange Commission. (Attachments: #1 Affidavit Declaration of Melissa R. Hodgman, #2 Exhibit 1 - Nov 2007 Manager's Discussion, #3 Exhibit 2 - Advertisement)(Gottesman, David) (Filed on 7/6/2011)
June 22, 2011 Opinion or Order Filing 67 MOTION for Reconsideration re #58 Order,, Terminate Motions, filed by Kimon Daifotis. (Attachments: #1 Appendix A, #2 Appendix B, #3 Appendix C, #4 Proposed Order)(Albarran, Tammy) (Filed on 6/22/2011)
June 22, 2011 Opinion or Order Filing 66 MOTION for Reconsideration re #58 Order,, Terminate Motions, filed by Randall Merk. (Attachments: #1 Proposed Order)(Brune, Susan) (Filed on 6/22/2011)
June 17, 2011 Opinion or Order Filing 65 ORDER GRANTING STIPULATION REGARDING DEFENDANTS' DEADLINES TO MOVE FORRECONSIDERATION AND TO ANSWER AND PLAINTIFF'S DEADLINE TO MOVE FOR LEAVE TO FILE AMENDED COMPLAINT. Signed by Judge Alsup on June 17, 2011. (whalc2, COURT STAFF) (Filed on 6/17/2011)
June 17, 2011 Opinion or Order Filing 64 STIPULATION and Proposed Order Regarding Defendnats' Time to Answer and Plaintiff's Deadline to Move for Leave to File Amended Complaint by Kimon Daifotis, Randall Merk, Securities And Exchange Commission. (Albarran, Tammy) (Filed on 6/17/2011)
June 17, 2011 Opinion or Order Filing 63 *** FILED IN ERROR. REFER TO DOCUMENT #64 . *** STIPULATION and Proposed Order Regarding Defendants' Time to Answer and Plaintiff's Deadline to Move for Leave to File Amended Complaint by Kimon Daifotis, Randall Merk, Securities And Exchange Commission. (Albarran, Tammy) (Filed on 6/17/2011) Modified on 6/17/2011 (feriab, COURT STAFF).
June 17, 2011 Opinion or Order Filing 62 Minute Entry: Settlement Conference held on 6/16/11. Case did not settle. (Court Reporter Not Reported.) (klhS, COURT STAFF) (Date Filed: 6/17/2011)
June 15, 2011 Opinion or Order Filing 61 ORDER GRANTING DEFENDANTS' MOTION FOR LEAVE TO FILE MOTION FOR RECONSIDERATION by Hon. William Alsup granting #59 Motion for Leave to File.(whalc2, COURT STAFF) (Filed on 6/15/2011)
June 14, 2011 Opinion or Order Filing 60 Transcript of Proceedings held on 6-02-2011, before Judge William Alsup. Court Reporter/Transcriber Connie Kuhl, Telephone number 415-431-2020. Per General Order No. 59 and Judicial Conference policy, this transcript may be viewed only at the Clerks Office public terminal or may be purchased through the Court Reporter/Transcriber until the deadline for the Release of Transcript Restriction.After that date it may be obtained through PACER. Any Notice of Intent to Request Redaction, if required, is due no later than 5 business days from date of this filing. (ck, COURT STAFF) (Filed on 6/14/2011)
June 14, 2011 Opinion or Order Filing 59 Joint MOTION for Leave to File MOTION FOR RECONSIDERATION OF THE PORTION OF COURTS JUNE 6, 2011 ORDER DENYING THEIR MOTION TO DISMISS THE PRIMARY LIABILITY CLAIMS filed by Kimon Daifotis, Randall Merk. (Attachments: #1 Exhibit A, #2 Proposed Order)(Albarran, Tammy) (Filed on 6/14/2011)
June 6, 2011 Opinion or Order Filing 58 ORDER GRANTING IN PART AND DENYING IN PART DEFENDANTS' MOTIONS TO DISMISS AND STRIKE, Motions terminated: #40 MOTION to Strike filed by Kimon Daifotis, #41 MOTION to Dismiss filed by Randall Merk, #38 MOTION to Dismiss filed by Kimon Daifotis, #45 MOTION to Strike filed by Randall Merk. Signed by Judge Alsup on June 6, 2011. (whalc2, COURT STAFF) (Filed on 6/6/2011)
June 2, 2011 Opinion or Order Filing 57 Minute Entry: Motion Hearing held on 6/2/2011 before William Alsup (Date Filed: 6/2/2011) re #38 MOTION to Dismiss filed by Kimon Daifotis, #41 MOTION to Dismiss filed by Randall Merk, #45 MOTION to Strike filed by Randall Merk, #40 MOTION to Strike filed by Kimon Daifotis. (Court Reporter Connie Kuhl.) (dt, COURT STAFF) (Date Filed: 6/2/2011)
May 12, 2011 Opinion or Order Filing 56 REPLY (re #40 MOTION to Strike ) filed byKimon Daifotis. (Bayless, David) (Filed on 5/12/2011)
May 12, 2011 Opinion or Order Filing 55 Declaration of David Bayless in Support of #53 Reply to Opposition/Response filed byKimon Daifotis. (Attachments: #1 Exhibit 1, #2 Exhibit 2, #3 Exhibit 3, #4 Exhibit 4, #5 Exhibit 5, #6 Exhibit 6, #7 Exhibit 7)(Related document(s) #53 ) (Bayless, David) (Filed on 5/12/2011)
May 12, 2011 Opinion or Order Filing 54 Declaration of Lee Taylor in Support of #52 Reply to Opposition/Response to Motion to Dismiss filed byRandall Merk. (Related document(s) #52 ) (Brune, Susan) (Filed on 5/12/2011)
May 12, 2011 Opinion or Order Filing 53 REPLY (re #38 MOTION to Dismiss ) filed byKimon Daifotis. (Bayless, David) (Filed on 5/12/2011)
May 12, 2011 Opinion or Order Filing 52 REPLY (re #41 MOTION to Dismiss ) filed byRandall Merk. (Brune, Susan) (Filed on 5/12/2011)
April 28, 2011 Opinion or Order Filing 51 OBJECTIONS to re #43 Request for Judicial Notice Plaintiff's Memorandum in Opposition to Defendant Merk's Request for Judicial Notice, by Securities And Exchange Commission. (Attachments: #1 Proposed Order)(Gottesman, David) (Filed on 4/28/2011)
April 28, 2011 Opinion or Order Filing 50 RESPONSE (re #41 MOTION to Dismiss ) Plaintiff's Opposition to Defendant Merk's Motion to Dismiss, filed bySecurities And Exchange Commission. (Attachments: #1 Affidavit Declaration of Melissa R. Hodgman, #2 Exhibit 1 - 2006 Schwab White Paper, #3 Exhibit 2 - Nov. 19, 2007 "Manager's Discussion", #4 Proposed Order)(Gottesman, David) (Filed on 4/28/2011)
April 28, 2011 Opinion or Order Filing 49 RESPONSE (re #45 MOTION to Strike, #40 MOTION to Strike ) Plaintiff's Consolidated Memorandum In Opposition to Defendant Daifotis's and Defendant Merk's Motions to Strike, filed bySecurities And Exchange Commission. (Attachments: #1 Proposed Order)(Gottesman, David) (Filed on 4/28/2011)
April 28, 2011 Opinion or Order Filing 48 RESPONSE (re #38 MOTION to Dismiss ) Plaintiff's Opposition to Defendant Daifotis's Motion to Dismiss, filed bySecurities And Exchange Commission. (Attachments: #1 Proposed Order)(Gottesman, David) (Filed on 4/28/2011)
April 20, 2011 Opinion or Order Set/Reset Deadlines as to #40 MOTION to Strike, #45 MOTION to Strike, #38 MOTION to Dismiss, #41 MOTION to Dismiss. Motion Hearing set for 6/2/2011 02:00 PM in Courtroom 9, 19th Floor, San Francisco before Hon. William Alsup. (dt, COURT STAFF) (Filed on 4/20/2011)
April 19, 2011 Opinion or Order Filing 47 *** FILED IN ERROR. PLEASE IGNORE. *** FINAL JUDGMENT AND ORDER OF DISMISSAL WITH PREJUDICE. Signed by Judge William Alsup on April 19, 2011. (wsn, COURT STAFF) (Filed on 4/19/2011) Modified on 4/20/2011 (wsn, COURT STAFF).
April 7, 2011 Opinion or Order Filing 46 Proposed Order re #45 MOTION to Strike by Randall Merk. (Brune, Susan) (Filed on 4/7/2011)
April 7, 2011 Opinion or Order Filing 45 MOTION to Strike filed by Randall Merk. Motion Hearing set for 6/2/2011 02:00 PM in Courtroom 9, 19th Floor, San Francisco before Hon. William Alsup. (Brune, Susan) (Filed on 4/7/2011) Modified on 4/20/2011 (wsn, COURT STAFF).
April 7, 2011 Opinion or Order Filing 44 Proposed Order re #41 MOTION to Dismiss by Randall Merk. (Brune, Susan) (Filed on 4/7/2011)
April 7, 2011 Opinion or Order Filing 43 Request for Judicial Notice re #41 MOTION to Dismiss filed byRandall Merk. (Related document(s) #41 ) (Brune, Susan) (Filed on 4/7/2011)
April 7, 2011 Opinion or Order Filing 42 Declaration of Lee Taylor in Support of #41 MOTION to Dismiss filed byRandall Merk. (Attachments: #1 Exhibit 1, #2 Exhibit 2, #3 Exhibit 3, #4 Exhibit 4, #5 Exhibit 5, #6 Exhibit 6, #7 Exhibit 7, #8 Exhibit 8, #9 Exhibit 9, #10 Exhibit 10, #11 Exhibit 11, #12 Exhibit 12, #13 Exhibit 13, #14 Exhibit 14, #15 Exhibit 15, #16 Exhibit 16)(Related document(s) #41 ) (Brune, Susan) (Filed on 4/7/2011)
April 7, 2011 Opinion or Order Filing 41 MOTION to Dismiss filed by Randall Merk. Motion Hearing set for 6/2/2011 02:00 PM in Courtroom 9, 19th Floor, San Francisco before Hon. William Alsup. (Brune, Susan) (Filed on 4/7/2011) Modified on 4/20/2011 (wsn, COURT STAFF).
April 7, 2011 Opinion or Order Filing 40 MOTION to Strike filed by Kimon Daifotis. Motion Hearing set for 6/2/2011 02:00 PM in Courtroom 9, 19th Floor, San Francisco before Hon. William Alsup. (Attachments: #1 Proposed Order)(Bayless, David) (Filed on 4/7/2011) Modified on 4/20/2011 (wsn, COURT STAFF).
April 7, 2011 Opinion or Order Filing 39 Declaration of David Bayless in Support of #38 MOTION to Dismiss filed byKimon Daifotis. (Attachments: #1 Exhibit 1, #2 Exhibit 2, #3 Exhibit 3, #4 Exhibit 4, #5 Exhibit 5, #6 Exhibit 6, #7 Exhibit 7, #8 Exhibit 8, #9 Exhibit 9, #10 Exhibit 10, #11 Exhibit 11 Part 1, #12 Exhibit 11 Part 2, #13 Exhibit 11 Part 3, #14 Exhibit 11 Part 4, #15 Exhibit 11 Part 5, #16 Exhibit 11 Part 6, #17 Exhibit 12, #18 Exhibit 13, #19 Exhibit 14, #20 Exhibit 15, #21 Exhibit 16, #22 Exhibit 17, #23 Exhibit 18, #24 Exhibit 19, #25 Exhibit 20, #26 Exhibit 21, #27 Exhibit 22, #28 Exhibit 23, #29 Exhibit 24, #30 Exhibit 25, #31 Exhibit 26, #32 Exhibit 27, #33 Exhibit 28, #34 Exhibit 29)(Related document(s) #38 ) (Bayless, David) (Filed on 4/7/2011)
April 7, 2011 Opinion or Order Filing 38 MOTION to Dismiss filed by Kimon Daifotis. Motion Hearing set for 6/2/2011 02:00 PM in Courtroom 9, 19th Floor, San Francisco before Hon. William Alsup. (Attachments: #1 Proposed Order)(Bayless, David) (Filed on 4/7/2011) Modified on 4/20/2011 (wsn, COURT STAFF).
March 28, 2011 Opinion or Order Filing 37 ORDER GRANTING APPLICATION FOR ADMISSION OF DAVID ELBAUM PRO HAC VICE by Judge Alsup granting #36 Motion for Pro Hac Vice (whalc2, COURT STAFF) (Filed on 3/28/2011)
March 25, 2011 Opinion or Order Filing 36 MOTION for leave to appear in Pro Hac Vice - David Elbaum ( Filing fee $ 275, receipt number 34611057915) filed by Randall Merk. (Attachments: #1 Proposed Order)(wsn, COURT STAFF) (Filed on 3/25/2011)
March 24, 2011 Opinion or Order Filing 35 Notice of Settlement Conference and Order Setting Settlement Conference before Magistrate Judge Joseph C. Spero. Settlement Conference set for 6/16/2011 09:30 AM in Courtroom A, 15th Floor, San Francisco. Signed by Judge Joseph C. Spero on 03/24/11. (klhS, COURT STAFF) (Filed on 3/24/2011)
March 24, 2011 Opinion or Order Filing 34 Minute Entry: Telephonic Scheduling Conference held on 3/23/11 before Magistrate Judge Joseph C. Spero. (Recording #Not Reported.) (klhS, COURT STAFF) (Date Filed: 3/24/2011)
March 23, 2011 Opinion or Order Filing 33 Transcript of Proceedings held on 3/17/11, before Judge William Alsup. Court Reporter/Transcriber Sahar Bartlett, CSR, RPR, Telephone number (415) 626-6060/sahar_bartlett@cand.uscourts.gov. Per General Order No. 59 and Judicial Conference policy, this transcript may be viewed only at the Clerks Office public terminal or may be purchased through the Court Reporter/Transcriber until the deadline for the Release of Transcript Restriction.After that date it may be obtained through PACER. Any Notice of Intent to Request Redaction, if required, is due no later than 5 business days from date of this filing. Release of Transcript Restriction set for 6/21/2011. (Bartlett, Sahar) (Filed on 3/23/2011)
March 22, 2011 Opinion or Order Filing 32 CLERKS NOTICE. Telephonic Scheduling Conference set for 3/23/2011 at 02:00 PM in Courtroom A, 15th Floor, San Francisco before Magistrate Judge Joseph C. Spero. (klhS, COURT STAFF) (Filed on 3/22/2011)
March 21, 2011 Opinion or Order Filing 30 ORDER AMENDING CASE MANAGEMENT ORDER by Judge Alsup granting #29 Motion to Amend/Correct; granting #29 Motion (whalc2, COURT STAFF) (Filed on 3/21/2011)
March 21, 2011 Opinion or Order Filing 29 MOTION Unopposed Administrative Motion for Correction or Clarification of Case Management Scheduling Order re #28 Case Management Scheduling Order,,, Order Referring Case to Magistrate Judge for Settlement,,, Set Deadlines/Hearings,,, MOTION to Amend/Correct filed by Securities And Exchange Commission. (Attachments: #1 Proposed Order)(Gottesman, David) (Filed on 3/21/2011)
March 18, 2011 Opinion or Order Set Deadlines/Hearings: Jury Selection set for 7/9/2012 07:30 AM in Courtroom 8, 19th Floor, San Francisco before Hon. William Alsup. Jury Trial set for 7/9/2012 07:30 AM in Courtroom 8, 19th Floor, San Francisco before Hon. William Alsup. Pretrial Conference set for 6/18/2012 02:00 PM in Courtroom 8, 19th Floor, San Francisco before Hon. William Alsup. (dt, COURT STAFF) (Filed on 3/18/2011)
March 18, 2011 Opinion or Order Filing 28 CASE MANAGEMENT SCHEDULING ORDER: ORDER REFERRING CASE to Magistrate Judge Joseph C. Spero for Mediation/Settlement. Discovery due by 3/30/2012. Jury Trial set for 7/9/2012 07:30 AM in Courtroom 9, 19th Floor, San Francisco before Hon. William Alsup. Motion(s) to dismiss hearing set for 6/2/2011 02:00 PM in Courtroom 9, 19th Floor, San Francisco before Hon. William Alsup. Dispositive motions due by 5/3/2012. Pretrial Conference set for 6/18/2012 02:00 PM in Courtroom 9, 19th Floor, San Francisco before Hon. William Alsup. Signed by Judge William Alsup on 3/18/2011. (whasec, COURT STAFF) (Filed on 3/18/2011)
March 18, 2011 Opinion or Order CASE REFERRED to Magistrate Judge Joseph C. Spero for Settlement. (tmi, COURT STAFF) (Filed on 3/18/2011)
March 17, 2011 Opinion or Order Filing 31 Minute Entry: Initial Case Management Conference held on 3/17/2011 before William Alsup (Date Filed: 3/17/2011). Jury Selection set for 7/9/2012 07:30 AM in Courtroom 9, 19th Floor, San Francisco before Hon. William Alsup. (Court Reporter Sahar Bartlett.) (dt, COURT STAFF) (Date Filed: 3/17/2011) Modified on 3/22/2011 (wsn, COURT STAFF).
March 10, 2011 Opinion or Order Filing 27 ADR Certification (ADR L.R. 3-5 b) of discussion of ADR options Plaintiff SEC's ADR Certification (Gottesman, David) (Filed on 3/10/2011)
March 10, 2011 Opinion or Order Filing 26 CASE MANAGEMENT STATEMENT Joint Case Management Statement, filed by Securities And Exchange Commission. (Gottesman, David) (Filed on 3/10/2011)
March 10, 2011 Opinion or Order Filing 25 Certificate of Interested Entities by Kimon Daifotis and Randall Merk (Bayless, David) (Filed on 3/10/2011)
March 7, 2011 Opinion or Order Filing 24 ADR Certification (ADR L.R. 3-5 b) of discussion of ADR options (Bayless, David) (Filed on 3/7/2011)
March 7, 2011 Opinion or Order Filing 23 ADR Certification (ADR L.R. 3-5 b) of discussion of ADR options for Randall Merk (Taylor, Lee) (Filed on 3/7/2011)
February 18, 2011 Opinion or Order Filing 22 ORDER REGARDING E-MAIL FROM COUNSEL FOR DEFENDANT MERK. Signed by Judge Alsup on February 18, 2011. (whalc2, COURT STAFF) (Filed on 2/18/2011)
February 17, 2011 Opinion or Order Filing 21 SCHEDULING ORDER: Case Management Conference set for 3/17/2011 11:00 AM. Signed by Judge Alsup on February 17, 2011. (whalc2, COURT STAFF) (Filed on 2/17/2011)
January 21, 2011 Opinion or Order Filing 20 ORDER GRANTING APPLICATION FOR ADMISSION OF MARYANN SUNG PRO HAC VICE by Judge Alsup granting #17 Motion for Pro Hac Vice (whalc2, COURT STAFF) (Filed on 1/21/2011)
January 21, 2011 Opinion or Order Filing 19 ORDER GRANTING APPLICATION FOR ADMISSION OF SUSAN BRUNE PRO HAC VICE by Judge Alsup granting #16 Motion for Pro Hac Vice (whalc2, COURT STAFF) (Filed on 1/21/2011)
January 20, 2011 Opinion or Order Filing 18 STIPULATION Extending Time To Answer or Respond to Complaint by Randall Merk. (Edelstein, Laurie) (Filed on 1/20/2011)
January 20, 2011 Opinion or Order Filing 17 MOTION for leave to appear in Pro Hac Vice - MaryAnn Sung ( Filing fee $ 275, receipt number 34611055223) filed by Randall Merk. (Attachments: #1 Proposed Order)(wsn, COURT STAFF) (Filed on 1/20/2011)
January 20, 2011 Opinion or Order Filing 16 MOTION for leave to appear in Pro Hac Vice - Susan Brune ( Filing fee $ 275, receipt number 34611055223) filed by Randall Merk. (Attachments: #1 Proposed Order)(wsn, COURT STAFF) (Filed on 1/20/2011)
January 20, 2011 Opinion or Order Filing 15 NOTICE of Appearance by Aileen Aponte Wheeler (Wheeler, Aileen) (Filed on 1/20/2011)
January 20, 2011 Opinion or Order Filing 14 SUPPLEMENTAL ORDER TO ORDER SETTING INITIAL CASE MANAGEMENT CONFERENCE re (13 in 3:11-cv-00137-WHA) Clerks Notice. Signed by Judge William Alsup on 11/20/08. (dt, COURT STAFF) (Filed on 1/20/2011)
January 20, 2011 Opinion or Order Filing 13 CLERKS NOTICE Scheduling Initial CMC on Reassignment. Case Management Conference set for 4/21/2011 03:00 PM in Courtroom 9, 19th Floor, San Francisco. (dt, COURT STAFF) (Filed on 1/20/2011)
January 19, 2011 Opinion or Order Filing 12 NOTICE of Appearance by Lee Scott Taylor (Taylor, Lee) (Filed on 1/19/2011)
January 19, 2011 Opinion or Order Filing 11 NOTICE of Appearance by Laurie Edelstein (Edelstein, Laurie) (Filed on 1/19/2011)
January 19, 2011 Opinion or Order Filing 10 ORDER RELATING CASE. Cases C08-1510 WHA, C11-0136 EMC and C11-0137 CW are related. The more recently filed cases shall be reaasigned to Judge Alsup. Signed by Judge William Alsup on 1/19/11. (dt, COURT STAFF) (Filed on 1/19/2011)
January 19, 2011 Opinion or Order Filing 9 NOTICE of Appearance by Tammy Albarran (Albarran, Tammy) (Filed on 1/19/2011)
January 19, 2011 Opinion or Order Filing 8 NOTICE of Appearance by David B. Bayless (Bayless, David) (Filed on 1/19/2011)
January 19, 2011 Opinion or Order Case Reassigned to Judge Hon. William H. Alsup. Judge Hon. Claudia Wilken no longer assigned to the case. (mab, COURT STAFF) (Filed on 1/19/2011)
January 18, 2011 Opinion or Order Filing 7 CERTIFICATE OF SERVICE by Securities And Exchange Commission re #6 Case Management Scheduling Order (Gottesman, David) (Filed on 1/18/2011)
January 18, 2011 Opinion or Order Filing 6 CASE MANAGEMENT SCHEDULING ORDER For Reassigned Civil Case: Case Management Statement due by 4/19/2011. Case Management Conference set for 4/26/2011 02:00 PM. Signed by Judge Claudia Wilken on 1/18/2011. (ndr, COURT STAFF) (Filed on 1/18/2011)
January 14, 2011 Opinion or Order Filing 5 ORDER REASSIGNING CASE. Case reassigned to Judge Hon. Claudia Wilken for all further proceedings. Magistrate Judge Maria-Elena James no longer assigned to the case. Signed by Executive Committee on 1/14/11. (mab, COURT STAFF) (Filed on 1/14/2011)
January 13, 2011 Opinion or Order Filing 4 CLERK'S NOTICE of Impending Reassignment to U.S. District Judge (bjtS, COURT STAFF) (Filed on 1/13/2011)
January 13, 2011 Opinion or Order Filing 3 Declination to Proceed Before a U.S. Magistrate Judge by Securities And Exchange Commission. (Gottesman, David) (Filed on 1/13/2011)
January 11, 2011 Opinion or Order Filing 2 ADR SCHEDULING ORDER: Case Management Statement due by 4/14/2011. Case Management Conference set for 4/21/2011 10:00 AM in Courtroom B, 15th Floor, San Francisco.. Signed by Judge Maria-Elena James on 1/11/11. (Attachments: #1 Standing Order)(ga, COURT STAFF) (Filed on 1/11/2011)
January 11, 2011 Opinion or Order Filing 1 COMPLAINT /issued summons against Kimon Daifotis, Randall Merk. Filed bySecurities And Exchange Commission. (ga, COURT STAFF) (Filed on 1/11/2011) (Additional attachment(s) added on 1/20/2011: #1 Civil Cover Sheet) (wsn, COURT STAFF).
January 11, 2011 Opinion or Order CASE DESIGNATED for Electronic Filing. (ga, COURT STAFF) (Filed on 1/11/2011)

Access additional case information on PACER

Use the links below to access additional information about this case on the US Court's PACER system. A subscription to PACER is required.

Access this case on the California Northern District Court's Electronic Court Filings (ECF) System

Search for this case: Securities And Exchange Commission v. Daifotis et al
Search News [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ]
Search Web [ Unicourt | Legal Web | Google | Bing | Yahoo | Ask ]
Plaintiff: Securities And Exchange Commission
Represented By: Antonia Chion
Represented By: David Jay Gottesman
Represented By: David S Mendel
Represented By: Frederick Louis Block
Represented By: Melissa Hodgman
Represented By: Robert Alan Cohen,
Search News [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ]
Search Finance [ Google Finance | Yahoo Finance | Hoovers | SEC Edgar Filings ]
Search Web [ Unicourt | Justia Dockets | Legal Web | Google | Bing | Yahoo | Ask ]
Defendant: Kimon Daifotis
Represented By: David B. Bayless
Represented By: Tammy Albarran
Represented By: Aileen Aponte Wheeler
Represented By: Anita Fern Stork, Esq.
Represented By: John Douglas Freed
Represented By: Joshua D. Hurwit
Represented By: Samantha J. Choe
Search News [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ]
Search Finance [ Google Finance | Yahoo Finance | Hoovers | SEC Edgar Filings ]
Search Web [ Unicourt | Justia Dockets | Legal Web | Google | Bing | Yahoo | Ask ]
Defendant: Randall Merk
Represented By: Laurie Edelstein
Represented By: David Elbaum
Represented By: Lee Scott Taylor
Represented By: MaryAnn Sung
Represented By: Susan Brune
Search News [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ]
Search Finance [ Google Finance | Yahoo Finance | Hoovers | SEC Edgar Filings ]
Search Web [ Unicourt | Justia Dockets | Legal Web | Google | Bing | Yahoo | Ask ]
Not classified by court: Financial Industry Regulatory Authority, Inc.,
Represented By: Ethan D. Dettmer
Search News [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ]
Search Finance [ Google Finance | Yahoo Finance | Hoovers | SEC Edgar Filings ]
Search Web [ Unicourt | Justia Dockets | Legal Web | Google | Bing | Yahoo | Ask ]
Intervenor: Charles Schwab & Co., Inc.
Represented By: Karin A. Kramer
Search News [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ]
Search Finance [ Google Finance | Yahoo Finance | Hoovers | SEC Edgar Filings ]
Search Web [ Unicourt | Justia Dockets | Legal Web | Google | Bing | Yahoo | Ask ]
Intervenor: Schwab Investments
Represented By: Karin A. Kramer
Search News [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ]
Search Finance [ Google Finance | Yahoo Finance | Hoovers | SEC Edgar Filings ]
Search Web [ Unicourt | Justia Dockets | Legal Web | Google | Bing | Yahoo | Ask ]
Intervenor: Charles Schwab Investment Management, Inc.
Represented By: Karin A. Kramer
Search News [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ]
Search Finance [ Google Finance | Yahoo Finance | Hoovers | SEC Edgar Filings ]
Search Web [ Unicourt | Justia Dockets | Legal Web | Google | Bing | Yahoo | Ask ]
Intervenor: The Charles Schwab Corporation
Represented By: Karin A. Kramer
Search News [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ]
Search Finance [ Google Finance | Yahoo Finance | Hoovers | SEC Edgar Filings ]
Search Web [ Unicourt | Justia Dockets | Legal Web | Google | Bing | Yahoo | Ask ]

Disclaimer: Justia Dockets & Filings provides public litigation records from the federal appellate and district courts. These filings and docket sheets should not be considered findings of fact or liability, nor do they necessarily reflect the view of Justia.


Why Is My Information Online?