Securities and Exchange Commission v. Wallach
| Securities and Exchange Commission |
| Lewis Wallach |
| USA |
| 3:2020cv06756 |
| September 29, 2020 |
| US District Court for the Northern District of California |
| Maxine M Chesney |
| Yvonne Gonzalez Rogers |
| Securities/Commodities |
| 15 U.S.C. § 77 |
| None |
Docket Report
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This docket was last retrieved on January 20, 2021. A more recent docket listing may be available from PACER.
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| Filing 31 CLERK'S NOTICE: Notice is hereby given to all parties that due to the scheduling conflict of Defendant's Counsel on 1/26/2021, the telephonic pre-settlement conference previously scheduled for 1/26/2021 09:30 AM has been rescheduled to 2/1/2021 11:30 AM in Oakland, - Telephonic Only before Magistrate Judge Donna M. Ryu. Judge Ryu anticipates that the phone call will last approximately 20-30 minutes. Lead Counsel for all parties shall participate. Counsel shall use the same call-in information for 2/1/2021 that has been provided to them by Judge Ryu's courtroom deputy via e-mail on 1/19/2021. (This is a text-only entry generated by the court. There is no document associated with this entry.) (ig, COURT STAFF) (Filed on 1/20/2021) |
| Filing 30 CLERK'S NOTICE: Notice is hereby given to all parties that Magistrate Judge Donna M. Ryu will convene a pre-settlement conference call to discuss timing and preparation for a settlement conference. Judge Ryu anticipates that the phone call will last approximately 20-30 minutes. The conference call shall take place on 1/26/2021 09:30 AM in Oakland, - Telephonic Only. Lead Counsel for all parties shall participate. Counsel will receive the call-in information via e-mail from Judge Ryu's courtroom deputy. (This is a text-only entry generated by the court. There is no document associated with this entry.) (ig, COURT STAFF) (Filed on 1/19/2021) |
Filing 29
STIPULATION AND ORDER SELECING ADR PROCESS re #27 Case Management Conference - Case Referred to Magistrate Judge Donna M. Ryu for Settlement Conference. Signed by Judge Maxine M. Chesney on 1/15/2021. (tlS, COURT STAFF) (Filed on 1/19/2021)
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Filing 28
***FILED IN ERROR. PLEASE SEE DOCKET #29 *** ORDER APPROVING STIPULATION SELECTING ADR PROCESS. Signed by Judge Maxine M. Chesney on January 15, 2021. (mmclc2, COURT STAFF) (Filed on 1/15/2021) Modified on 1/19/2021 (tlS, COURT STAFF).
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| Filing 27 Minute Entry for proceedings held before Judge Maxine M. Chesney: Initial Case Management Conference held on 1/15/2021., CASE REFERRED to Magistrate Judge Donna M. Ryu for Settlement Conference. Amended Pleadings due by 4/2/2021. Close of Expert Discovery due by 9/10/2021. Close of Fact Discovery due by 7/9/2021. Designation of Experts due by 7/30/2021. Rebuttal Reports due by 8/13/2021. Prehearing Conference (if needed) set for 11/30/2021 at 10:00 AM in San Francisco, Courtroom 07, 19th Floor before Judge Maxine M. Chesney. SEC's Motion to Determine Amounts of Disgorgement and Civil Monetary Penalties due by 10/8/2021. Opposition due by 10/29/2021. Reply due by 11/10/2021. Motion Hearing set for 12/10/2021 at 09:00 AM in San Francisco, Courtroom 07, 19th Floor before Judge Maxine M. Chesney.Total Time in Court: 32 minutes. Not Reported or Recorded. Plaintiff Attorney: Bernard Smyth and Andrew Hefty. Defendant Attorney: Carly Bittman. Attachment: Civil Minutes. (tlS, COURT STAFF) (Date Filed: 1/15/2021) |
| Filing 26 CASE MANAGEMENT STATEMENT filed by Securities and Exchange Commission. (Smyth, Bernard) (Filed on 1/8/2021) |
| Filing 25 Certificate of Interested Entities by Lewis Wallach identifying Other Affiliate Professional Financial Investors, Inc., Other Affiliate Professional Investors Security Fund, Inc., Other Affiliate Professional Investors 20 LLC, Other Affiliate Professional Investors 21 LLC, Other Affiliate Professional Investors 22 LLC, Other Affiliate Professional Investors 23 LLC, Other Affiliate Professional Investors 24 LLC, Other Affiliate Professional Investors 25 LLC, Other Affiliate Professional Investors 26 LLC, Other Affiliate Professional Investors 27 LLC, Other Affiliate Professional Investors 28 LLC, Other Affiliate Professional Investors 29 LLC, Other Affiliate Professional Investors 30 LLC, Other Affiliate Professional Investors 31 LLC, Other Affiliate Professional Investors 32 LLC, Other Affiliate Professional Investors 33 LLC, Other Affiliate Professional Investors 34 LLC, Other Affiliate Professional Investors 35 LLC, Other Affiliate Professional Investors 36 LLC, Other Affiliate Professional Investors 37 LLC, Other Affiliate Professional Investors 38 LLC, Other Affiliate Professional Investors 39 LLC, Other Affiliate Professional Investors 40 LLC, Other Affiliate Professional Investors 41 LLC, Other Affiliate Professional Investors 42 LLC, Other Affiliate Professional Investors 49 LLC, Other Affiliate Professional Investors 43 LLC, Other Affiliate Professional Investors 44 LLC, Other Affiliate Professional Investors 45 LLC, Other Affiliate Professional Investors 46 LLC, Other Affiliate Professional Investors 47 LLC, Other Affiliate Professional Investors 48 LLC, Other Affiliate Professional Investors Security Fund I, a California Limited Partnership, Other Affiliate Professional Investors Security Fund IV, a California Limited Partnership, Other Affiliate Professional Investors Security Fund IX, a California Limited Partnership, Other Affiliate Professional Investors Security Fund VII, a California Limited Partnership, Other Affiliate Professional Investors Security Fund XII, a California Limited Partnership, Other Affiliate Professional Investors Security Fund XIII, a California Limited Partnership, Other Affiliate Professional Investors Security Fund XIV, a California Limited Partnership, Other Affiliate Professional Investors Security Fund XV, a California Limited Partnership, Other Affiliate Professional Investors Security Fund XVII, a California Limited Partnership, Other Affiliate Professional Investors Security Fund XVIII, a California Limited Partnership for Lewis Wallach. (Swanson, Edward) (Filed on 1/6/2021) |
| Filing 24 STIPULATION and Proposed Order selecting Early Settlement Conference with a Magistrate Judge by Securities and Exchange Commission filed by Securities and Exchange Commission. (Smyth, Bernard) (Filed on 1/6/2021) |
| Filing 23 ADR Certification (ADR L.R. 3-5 b) of discussion of ADR options (Bittman, Carly) (Filed on 12/23/2020) |
| Filing 22 ADR Certification (ADR L.R. 3-5 b) of discussion of ADR options (Smyth, Bernard) (Filed on 12/22/2020) |
| Filing 21 NOTICE of Appearance by Carly Lee Bittman (Bittman, Carly) (Filed on 12/21/2020) |
| Filing 20 NOTICE of Appearance by Edward W. Swanson (Swanson, Edward) (Filed on 12/21/2020) |
| Filing 19 CLERK'S NOTICE - JANUARY 15, 2021 INITIAL CASE MANAGEMENT CONFERENCE WILL BE HELD TELEPHONICALLY. The Court will initiate the call. Counsel participating in the conference call are directed to email their name and direct phone number to: mmccrd@cand.uscourts.gov. Due to multiple hearings, counsel are directed to be on telephone stand-by from 10:30 AM until called by the Court. (This is a text-only entry generated by the court. There is no document associated with this entry.) (tlS, COURT STAFF) (Filed on 12/14/2020) |
| Filing 18 CERTIFICATE OF SERVICE by Securities and Exchange Commission (Smyth, Bernard) (Filed on 10/20/2020) |
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Filing 17
CASE MANAGEMENT CONFERENCE ORDER. Case Management Statement due by 1/8/2021. Initial Case Management Conference set for 1/15/2021 at 10:30 AM in Telephone Conference Only. Signed by Judge Maxine M. Chesney on 10/19/2020. (clS, COURT STAFF) (Filed on 10/19/2020)
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| Filing 16 JUDGMENT AS TO DEFENDANT LEWIS I. WALLACH. Signed by Judge Maxine M. Chesney on October 15, 2020. (mmclc2, COURT STAFF) (Filed on 10/15/2020) |
| Filing 14 NOTICE of Appearance by Andrew Jacob Hefty (Hefty, Andrew) (Filed on 10/15/2020) |
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Filing 15
RELATED CASE ORDER. Case No. 4:20-cv-06756-YGR, Securities & Exchange Commission v. Wallach, is related to Case No. 3:20-cr-00365-MMC, United States of America v. Wallach. The Clerk of Court shall reassign the later-filed action to the undersigned. Signed by Judge Maxine M. Chesney on October 14, 2020. (mmclc2, COURT STAFF) (Filed on 10/14/2020)
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| Filing 13 Case reassigned to Judge Maxine M. Chesney. Judge Yvonne Gonzalez Rogers no longer assigned to the case. Notice: The assigned judge participates in the Cameras in the Courtroom Pilot Project. See General Order No. 65 and http://cand.uscourts.gov/cameras. (haS, COURT STAFF) (Filed on 10/14/2020) |
| Filing 12 Minute Entry for proceedings held before Judge Maxine M. Chesney: Initial Status Conference as to Lewis Wallach held by telephone on 10/14/2020. Change of Plea Hearing set for 12/2/2020 at 2:15 p.m. by video conference before Judge Maxine M. Chesney. (Court Reporter: Ana Dub.) (ahm, COURT STAFF) (Filed on 10/14/2020) |
| Filing 11 NOTICE by USA Notice of Related Case in a Criminal Action (Farnham, Lloyd) (Filed on 10/6/2020) |
| Filing 10 CLERKS NOTICE SETTING ZOOM HEARING FOR A Status Conference regarding Dkt. no. 7 is set for Monday, 10/19/2020 at 01:30 PM before Judge Yvonne Gonzalez Rogers. This proceeding will be held via a Zoom webinar.Webinar Access: All counsel, members of the public, and media may access the webinar information at #https://www.cand.uscourts.gov/ygr Please click the link below to join webinar s (public hearings). If you are a case participant, you will join as an attendee, then you will be brought into the proceeding by court staff.https://cand-uscourts.zoomgov.com/j/1618764848?pwd=bW03Y2NvV0YrK2FQSkxoMXRxOWprQT09Webinar ID: 161 876 4848Password: 715550Local telephone dial-in:US: +1 (669) 254-5252 or +1 (646) 828-7666General Order 58. Persons granted access to court proceedings held by telephone or videoconference are reminded that photographing, recording, and rebroadcasting of court proceedings, including screenshots or other visual copying of a hearing, is absolutely prohibited.Zoom Guidance and Setup: #https://www.cand.uscourts.gov/zoom/. Status Conference set for 10/19/2020 01:30 PM before Judge Yvonne Gonzalez Rogers. (Related documents(s) #7 ) (This is a text-only entry generated by the court. There is no document associated with this entry.) (fs, COURT STAFF) (Filed on 10/2/2020) |
| Filing 9 Summons Issued as to Lewis Wallach. (jjbS, COURT STAFF) (Filed on 9/30/2020) |
| Filing 8 Initial Case Management Scheduling Order with ADR Deadlines: Notice: The assigned judge participates in the Cameras in the Courtroom Pilot Project. See General Order No. 65 and http://cand.uscourts.gov/cameras. Case Management Statement due by 12/21/2020. Initial Case Management Conference set for 12/28/2020 at 02:00 PM in Oakland, Courtroom 1, 4th Floor. (Attachments: #1 Notice of Eligibility for Video Recording)(jjbS, COURT STAFF) (Filed on 9/30/2020) |
| Filing 7 Proposed Order re #6 Notice of Acceptance with Offer of Judgment [ CORRECTED ] by Securities and Exchange Commission. (Smyth, Bernard) (Filed on 9/29/2020) |
| Filing 6 NOTICE of Acceptance with Offer of Judgment by Securities and Exchange Commission [ CORRECTED ] (Smyth, Bernard) (Filed on 9/29/2020) |
| Filing 5 Case assigned to Judge Yvonne Gonzalez Rogers. Counsel for plaintiff or the removing party is responsible for serving the Complaint or Notice of Removal, Summons and the assigned judge's standing orders and all other new case documents upon the opposing parties. For information, visit E-Filing A New Civil Case at http://cand.uscourts.gov/ecf/caseopening.Standing orders can be downloaded from the court's web page at www.cand.uscourts.gov/judges. Upon receipt, the summons will be issued and returned electronically. Counsel is required to send chambers a copy of the initiating documents pursuant to L.R. 5-1(e)(7). A scheduling order will be sent by Notice of Electronic Filing (NEF) within two business days. (mbcS, COURT STAFF) (Filed on 9/29/2020) |
| Filing 4 CONSENT/DECLINATION to Proceed Before a US Magistrate Judge by Securities and Exchange Commission.. (Smyth, Bernard) (Filed on 9/29/2020) |
| Filing 3 RE-FILED AT DOCKET NO. #6 *** NOTICE of Acceptance with Offer of Judgment by Securities and Exchange Commission (Attachments: #1 [Proposed] Final Judgment)(Smyth, Bernard) (Filed on 9/29/2020) Modified on 9/30/2020 (jjbS, COURT STAFF). |
| Filing 2 Proposed Summons. (Smyth, Bernard) (Filed on 9/29/2020) |
| Filing 1 COMPLAINT against Lewis Wallach. Filed bySecurities and Exchange Commission. (Attachments: #1 Civil Cover Sheet)(Smyth, Bernard) (Filed on 9/29/2020) |
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