Securities and Exchange Commission v. Bivona et al

Plaintiff: Securities and Exchange Commission
Defendant: John V. Bivona, Saddle River Advisors, LLC, SRA Management Associates, LLC, Frank Gregory Mazzola, SRA I LLC, SRA II LLC, SRA III LLC, Felix Investments, LLC, Michele J. Mazzola, Anne Bivona, Clear Sailing Group IV LLC and Clear Sailing Group V LLC
Miscellaneous: Michael Maidy
Case Number: 3:2016cv01386
Filed: March 22, 2016
Court: California Northern District Court
Office: San Francisco Office
County: San Francisco
Presiding Judge: Edward M. Chen
Nature of Suit: Securities/Commodities/Exchanges
Cause of Action: 15:77
Jury Demanded By: None

Available Case Documents

The following documents for this case are available for you to view or download:

Date Filed#Document Text
October 6, 2017 261 Opinion or Order of the Court STIPULATION AND ORDER re 260 STIPULATION AND PROTECTIVE ORDER CONCERNING THE NON-DISCLOSURE OF CERTAIN CONFIDENTIAL INFORMATION filed by SRA Funds Investor Group (modified by Court). Signed by Judge Edward M. Chen on 10/6/17. (bpfS, COURT STAFF) (Filed on 10/6/2017)
September 22, 2017 247 Opinion or Order of the Court ORDER Requiring Parties to Submit Additional Information and Requiring Joshua Cilano to Respond by September 27, 2017 at 10 a.m. PDT. Signed by Judge Edward M. Chen on September 22, 2017. (emclc1, COURT STAFF) (Filed on 9/22/2017)
September 13, 2017 246 Opinion or Order of the Court ORDER Regarding 196 197 Plaintiff SEC and Receiver's Request for Preliminary Findings Related to Proposed Joint Distribution Plan. Signed by Judge Edward M. Chen on 9/13/2017. (emcsec, COURT STAFF) (Filed on 9/13/2017)
July 25, 2017 208 Opinion or Order of the Court STIPULATION AND ORDER re 206 Modifying Briefing Schedule for the Joint Motion of the SEC and the Receiver for Approval of Proposed Joint Distribution Plan filed by SRA Funds Investor Group. Hearing on (196) MOTION for Approval o f Joint Distribution Plan, Retention of Professionals, Dissolution of Certain Defendants and Relief Defendants and Consent by the Receiver to Permanent Injunction remains set for 8/31/17 at 1:30 p.m. Final hearing on the same motion set for 9/28/2017 01:30 PM in Courtroom 5, 17th Floor, San Francisco before Edward M. Chen. Signed by Judge Edward M. Chen on 7/25/17. (bpfS, COURT STAFF) (Filed on 7/25/2017)
June 27, 2017 194 Opinion or Order of the Court STIPULATION AND ORDER re 192 CONTINUING DISCOVERY AND MOTION DEADLINES IN ORDER TO FINALIZE SETTLEMENT AGREEMENTS filed by Securities and Exchange Commission Discovery due by 9/20/2017. Dispositive Motion Hearing set for 12/14/2017 01:30 PM in Courtroom 5, 17th Floor, San Francisco before Edward M. Chen.Signed by Judge Edward M. Chen. (bpfS, COURT STAFF) (Filed on 6/27/2017)
June 6, 2017 191 Opinion or Order of the Court STIPULATION AND ORDER re 186 Stipulation for Order Setting Briefing and Hearing Schedule for Receiver's Motion to Approve Distribution Plan filed by Securities and Exchange Commission. Motion Hearing set for 8/31/2017 01:30 PM in Courtroom 5, 17th Floor, San Francisco before Edward M. Chen. Signed by Judge Edward M. Chen on 6/6/17. (bpfS, COURT STAFF) (Filed on 6/6/2017)
April 25, 2017 180 Opinion or Order of the Court ORDER by Judge Edward M. Chen Granting 176 Motion to Withdraw as Attorneys of Record. (emcsec, COURT STAFF) (Filed on 4/25/2017)
April 3, 2017 172 Opinion or Order of the Court STIPULATION AND ORDER re 171 STIPULATION WITH PROPOSED ORDER Granting the Receiver's Request for a Further Extension of Time Within Which to File a Proposed Plan of Liquidation filed by Michael Maidy. Signed by Judge Edward M. Chen on 4/3/17. (bpf, COURT STAFF) (Filed on 4/3/2017)
February 27, 2017 170 Opinion or Order of the Court STIPULATION AND ORDER re 169 (to continue case management conference until after April 25, 2017) filed by Securities and Exchange Commission Status Report due by 4/27/2017. Status Conference set for 5/4/2017 10:30 AM in Courtroom 5, 17th Floor, San Francisco before Edward M. Chen. Signed by Judge Edward M. Chen on 2/27/17. (bpfS, COURT STAFF) (Filed on 2/27/2017)
January 3, 2017 164 Opinion or Order of the Court STIPULATION AND ORDER re 163 Granting the Receiver's Request for an Extension of time to file a Proposed Plan of Liquidation filed by Michael Maidy. Signed by Judge Edward M. Chen on 1/3/17. (bpfS, COURT STAFF) (Filed on 1/3/2017)
December 19, 2016 162 Opinion or Order of the Court STIPULATION AND ORDER re 161 FOR PRESERVATION OF HARD DRIVE OF COMPUTER IN POSSESSION OF DEFENDANT JOHN V. BIVONA filed by Securities and Exchange Commission. Signed by Judge Edward M. Chen on 12/19/16. (bpfS, COURT STAFF) (Filed on 12/19/2016)
December 9, 2016 160 Opinion or Order of the Court STIPULATION AND ORDER re 158 Granting the Independent Monitor's Request for an Amendment to Sec. IX of the Order Appointing Receiver filed by Michael Maidy. Signed by Judge Edward M. Chen on 12/9/16. (bpf, COURT STAFF) (Filed on 12/9/2016)
October 25, 2016 146 Opinion or Order of the Court STIPULATION AND ORDER re 144 STIPULATION WITH PROPOSED ORDER and re 143 ADMINISTRATIVE MOTION Request Notice and an Opportunity to be Heard filed by Telesoft Capital LLC Signed by Judge Edward M. Chen on 10/25/16. (bpfS, COURT STAFF) (Filed on 10/25/2016)
October 11, 2016 141 Opinion or Order of the Court STIPULATION AND ORDER re 139 FOR APPOINTMENT OF RECEIVER filed by Securities and Exchange Commission. Signed by Judge Edward M. Chen on 10/11/16. (bpf, COURT STAFF) (Filed on 10/11/2016)
October 7, 2016 138 Opinion or Order of the Court STIPULATION AND ORDER re 137 STIPULATION WITH PROPOSED ORDER Extending Time to Move to Amend the Complaint as to Potential Defendant 1 filed by Securities and Exchange Commission. Signed by Judge Edward M. Chen on 10/7/16. (bpfS, COURT STAFF) (Filed on 10/7/2016)
September 21, 2016 133 Opinion or Order of the Court STIPULATION AND ORDER re 132 TO USE BANK ACCOUNT filed by Michele J. Mazzola, Frank Gregory Mazzola. Signed by Judge Edward M. Chen on 9/21/16. (bpf, COURT STAFF) (Filed on 9/21/2016)
May 26, 2016 103 Opinion or Order of the Court STIPULATION AND ORDER re 101 Re Initial Case Management Conference Date filed by John V. Bivona, Anne Bivona. Case Management Statement due by 6/30/2016. Further Case Management Conference reset for 7/7/2016 09:30 AM in Courtroom 5, 17th Floor, San Francisco.Signed by Judge Edward M. Chen. (bpfS, COURT STAFF) (Filed on 5/26/2016)
May 25, 2016 96 Opinion or Order of the Court ORDER Granting Plaintiff's Motion for Preliminary Injunction. Signed by Judge Edward M. Chen on 5/25/2016. (emcsec, COURT STAFF) (Filed on 5/25/2016)
May 24, 2016 94 Opinion or Order of the Court ORDER re 83 ORDER GRANTING ADDITIONAL EXPEDITED DISCOVERY filed by Securities and Exchange Commission. Signed by Judge Edward M. Chen on 5/24/16. (bpfS, COURT STAFF) (Filed on 5/24/2016)
May 20, 2016 91 Opinion or Order of the Court STIPULATED ORDER REAPPOINTING INDEPENDENT MONITOR 88 . Signed by Judge Edward M. Chen on 5/20/2016. (afmS, COURT STAFF) (Filed on 5/20/2016)
May 3, 2016 68 Opinion or Order of the Court STIPULATION AND ORDER re 67 Preliminary Injunction filed by Saddle River Advisors, LLC, John V. Bivona, Anne Bivona. Signed by Judge Edward M. Chen on 5/3/16. (bpfS, COURT STAFF) (Filed on 5/3/2016)
April 27, 2016 62 Opinion or Order of the Court ORDER TO SHOW CAUSE. Show Cause Response due by 4/29/2016. Signed by Judge Edward M. Chen on 4/27/16. (bpfS, COURT STAFF) (Filed on 4/27/2016)
March 28, 2016 39 Opinion or Order of the Court ORDER by Judge Edward M. Chen Setting New Hearing Date on Motion for a Preliminary Injunction and Order to Show Cause.(emcsec, COURT STAFF) (Filed on 3/28/2016)
March 22, 2016 27 Opinion or Order of the Court ORDER setting hearing re Application for TRO (Docket #4). Temporary Restraining Order Hearing set for 3/23/2016 09:00 AM.. Signed by Judge Edward M. Chen on 3/22/16. (bpfS, COURT STAFF) (Filed on 3/22/2016)

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Search for this case: Securities and Exchange Commission v. Bivona et al
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Plaintiff: Securities and Exchange Commission
Represented By: Jessica Wai-Chung Chan
Represented By: John Scott Yun
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Defendant: John V. Bivona
Represented By: Jahan Pierre Raissi
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Defendant: Saddle River Advisors, LLC
Represented By: Jahan Pierre Raissi
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Defendant: SRA Management Associates, LLC
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Defendant: Frank Gregory Mazzola
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Defendant: SRA I LLC
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Defendant: SRA II LLC
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Defendant: SRA III LLC
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Defendant: Felix Investments, LLC
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Defendant: Michele J. Mazzola
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Defendant: Anne Bivona
Represented By: Jahan Pierre Raissi
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Defendant: Clear Sailing Group IV LLC
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Defendant: Clear Sailing Group V LLC
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Miscellaneous: Michael Maidy
Represented By: John W. Cotton
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