Sterchi et al v. Malloy et al
| Kristine Sterchi and Thomas Neal Sterchi, Jr. |
| Does 1-25, William M. Malloy, III, MWM 1835, LLC, Vinee Mehta, Shenell Malloy and Malloy Family Trust |
| 3:2017cv01097 |
| May 30, 2017 |
| US District Court for the Southern District of California |
| San Diego Office |
| San Diego |
| Anthony J Battaglia |
| William V Gallo |
| Securities/Commodities |
| 15 U.S.C. § 0078 |
| Both |
Docket Report
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This docket was last retrieved on November 16, 2017. A more recent docket listing may be available from PACER.
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Filing 46
ORDER finding as moot #35 Motion for Sanctions, in light of the Notice of Withdrawal filed by the parties. (no document attached) (sc)
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Filing 45
ORDER finding as moot #39 Motion for Review, in light of the Notice of Withdrawal of Motion by the parties. (no document attached) (sc)
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| Filing 44 NOTICE Joint Notice of Withdrawal of Motions Due to Settlement by William M. Malloy, III re #37 Declaration, #36 Declaration,, #39 MOTION For Review Under 15 U.S.C.A Section 78u-4c(1) for Compliance with FRCP 11(b) and for Recovery of Costs and Attorneys' Fees, #35 MOTION for Sanctions DEFENDANTS MWM 1835, LLC, (Stagg, Nancy)(acc). |
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Filing 43
ORDER granting #42 Joint Motion to Consolidate Briefing Schedules on Defendants' Motions for Fees. Responses due by 11/15/2017. Replies due by 11/22/2017. Signed by Judge Anthony J. Battaglia on 11/3/2017. (acc)
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| Filing 42 Joint MOTION Consolidate Briefing Schedules on Defendants' Motions for Fees re #39 MOTION For Review Under 15 U.S.C.A Section 78u-4c(1) for Compliance with FRCP 11(b) and for Recovery of Costs and Attorneys' Fees, #35 MOTION for Sanctions DEFENDANTS MWM 1835, LLC, by Kristine Sterchi, Thomas Neal Sterchi, Jr. (Attachments: #1 Proof of Service)(Mackaness, Jessica)(mxn). |
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Filing 41
ORDER Setting Briefing Schedule re #39 MOTION For Review Under 15 U.S.C.A Section 78u-4c(1) for Compliance with FRCP 11(b) and for Recovery of Costs and Attorneys' Fees : Responses due by 11/15/2017; Replies due by 11/22/2017; sur-replies will not be accepted. Motion hearing scheduled for 1/18/18 at 2:00 p.m. in Courtroom 4A.(no document attached) (sc)
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Filing 40
Notice of Document Discrepancies and Order Thereon by Judge Anthony J. Battaglia Accepting, from Defendant Vinee Mehta. Non-compliance with local rule(s), Civ. L. Rule 5.2 Missing Proof of Service. IT IS HEREBY ORDERED: The document is accepted despite the discrepancy noted above. Any further non-compliant documents may be stricken from the record (lrf)
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| Filing 39 MOTION For Review Under 15 U.S.C.A Section 78u-4c(1) for Compliance with FRCP 11(b) and for Recovery of Costs and Attorneys' Fees by Vinee Mehta. (Attachments: #1 Memo of Points and Authorities In Support of Motion for Review Under 15 U.S.C.A. Section 78u-4c(1) for Compliance with FRCP 11(b) and for Recovery of Costs and Attorneys' Fees)(Witham, Jeffrey) (lrf). |
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Filing 38
ORDER Setting Briefing Schedule re #35 MOTION for Sanctions DEFENDANTS MWM 1835, LLC, : Responses due by 11/6/2017; Replies due by 11/13/2017; sur-replies will not be accepted. Motion hearing scheduled for 1/18/17 at 2:00 p.m. in Courtroom 4A.(no document attached) (sc)
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| Filing 37 DECLARATION re #35 MOTION for Sanctions DEFENDANTS MWM 1835, LLC, DECLARATION OF SHENELL by Defendants Does 1-25, MWM 1835, LLC, Shenell Malloy, Malloy Family Trust. (Stagg, Nancy)(acc). |
| Filing 36 DECLARATION re #35 MOTION for Sanctions DEFENDANTS MWM 1835, LLC, DECLARATION OF WILLIAM MALLOY, III by Defendants Does 1-25, MWM 1835, LLC, Shenell Malloy, William M. Malloy, III, Malloy Family Trust. (Attachments: #1 Appendix, #2 Exhibit A-Investment Management Agreement, #3 Exhibit B-Email from Defendant Mr. Mehta to Plaintiffs dated June 3, 2014, #4 Exhibit C-Plaintiffs Subscription Agreement for IOC, #5 Exhibit D-Signed signature page for Plaintiffs Subscription Agreement for IOC, #6 Exhibit E-Email from Defendant Mr. Mehta to Plaintiffs dated May 10, 2015, #7 Exhibit F-Signature page for the Subscription Agreement for Aequitas)(Stagg, Nancy)(acc). |
| Filing 35 MOTION for Sanctions DEFENDANTS MWM 1835, LLC, by Does 1-25, MWM 1835, LLC, Shenell Malloy, William M. Malloy, III, Malloy Family Trust. (Attachments: #1 Memo of Points and Authorities DEFENDANTS MWM 1835, LLC,)(Stagg, Nancy)Attorney Nancy L. Stagg added to party Does 1-25(pty:dft)(acc). |
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Filing 34
ORDER Sua Sponte Remanding Case Back to State Court for Lack of Subject Matter Jurisdiction. Signed by Judge Anthony J. Battaglia on 10/5/2017. Certified copy of order sent to Superior Court via U.S. mail.(acc) (sjt).
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Filing 33
ORDER granting #32 Unopposed Motion to Dismiss Claims for Violation of Section 10(b) of the Exchange Act & Rule 10b-5, and Violation of Section 20(a) of the Exchange Act. Plaintiffs' first cause of action for violation of Section 10(b) of the Exchange Act and Rule 10b-5 and second cause of action for violation of Section 20(a) of the Exchange Act are hereby dismissed with prejudice without waiver of Defendants' right to seek recovery of fees and costs, if any. Signed by Judge Anthony J. Battaglia on 10/3/2017. (acc)
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| Filing 32 MOTION to Dismiss Federal Claims by Kristine Sterchi, Thomas Neal Sterchi, Jr. (Attachments: #1 Proof of Service)(Mackaness, Jessica)(acc). |
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Filing 31
ORDER granting #30 Joint Motion to Vacate Hearing and Briefing Schedule for Defendant's Motions to Dismiss. Signed by Judge Anthony J. Battaglia on 9/22/2017. (acc)
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| Filing 30 Joint MOTION to Vacate Hearing and Briefing Schedule for Motions to Dismiss by Kristine Sterchi, Thomas Neal Sterchi, Jr. (Attachments: #1 Proof of Service)(Mackaness, Jessica)(acc). |
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Filing 29
ORDER Setting Briefing Schedules re #28 MOTION to Dismiss for Failure to State a Claim , #27 MOTION to Dismiss PLAINTIFFS' AMENDED COMPLAINT: Responses due by 9/25/2017; Replies due by 10/2/2017; sur-replies will not be accepted. Motion hearing scheduled for 1/25/17 at 2:00 p.m. in Courtroom 4A.(no document attached) (sc)
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| Filing 28 MOTION to Dismiss for Failure to State a Claim by MWM 1835, LLC, Shenell Malloy, William M. Malloy, III, Malloy Family Trust. (Attachments: #1 Memo of Points and Authorities)(Stagg, Nancy)Attorney Nancy L. Stagg added to party Shenell Malloy(pty:dft), Attorney Nancy L. Stagg added to party Malloy Family Trust(pty:dft)(acc). |
| Filing 27 MOTION to Dismiss PLAINTIFFS' AMENDED COMPLAINT by Vinee Mehta. (Attachments: #1 Memo of Points and Authorities In Support of Motion To Dismiss Plaintiffs' Amended Complaint)(Witham, Jeffrey)(acc). |
| Filing 26 CERTIFICATE OF SERVICE by Kristine Sterchi, Thomas Neal Sterchi, Jr re #24 Waiver of Service Executed, #25 Waiver of Service Executed (Mackaness, Jessica)(acc). |
| Filing 25 WAIVER OF SERVICE Returned Executed by Kristine Sterchi, Thomas Neal Sterchi, Jr, as to Malloy Family Trust. (Mackaness, Jessica)(acc). |
| Filing 24 WAIVER OF SERVICE Returned Executed by Kristine Sterchi, Thomas Neal Sterchi, Jr, as to Shenell Malloy. (Mackaness, Jessica)(acc). |
| Filing 23 Summons Issued re #22 First Amended Complaint. Counsel receiving this notice electronically should print this summons and serve it in accordance with Rule 4, Fed.R.Civ.P and LR 4.1. (acc) |
| Filing 22 AMENDED COMPLAINT with Jury Demand against All Defendants, filed by Kristine Sterchi, Thomas Neal Sterchi, Jr. (Attachments: #1 Proof of Service)New Summons Requested. (Mackaness, Jessica)(acc). |
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Filing 21
Order Following ENE. Early Neutral Evaluation Conference held on 8/21/2017. A telephonic attorneys-only Case Management Conference set for 10/10/2017 08:30 AM before Magistrate Judge William V. Gallo. Signed by Magistrate Judge William V. Gallo on 8/22/2017.(acc)
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| Filing 20 Minute Entry for proceedings held before Magistrate Judge William V. Gallo: Status Conference held on 8/16/2017. (no document attached)(ja1) |
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Filing 19
Order: The attorney-only telephonic status conference call scheduled for August 14, 2017 at 8:15 A.M. is CONTINUED to August 16, 2017 at 9:00 A.M. Signed by Magistrate Judge William V. Gallo on 8/14/2017. (no document attached) (ja1)
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| Filing 18 Amended ANSWER to Complaint with Jury Demand by Kristine Sterchi, Thomas Neal Sterchi, Jr. (Attachments: #1 Proof of Service Proof of Service)(Mackaness, Jessica)QC re: s/ signature(acc). |
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Filing 17
NOTICE AND ORDER for Early Neutral Evaluation Conference. Early Neutral Evaluation set for 8/21/2017 02:00 PM in Courtroom 2A before Magistrate Judge William V. Gallo. Telephonic attorney-onlys Status Hearing set for 8/14/2017 08:15 AM before Magistrate Judge William V. Gallo. Signed by Magistrate Judge William V. Gallo on 6/28/2017.(acc)
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| Filing 16 Plaintiffs/Counterclaim-Defendants' ANSWER to #13 Answer to Complaint, Counterclaim by Kristine Sterchi, Thomas Neal Sterchi, Jr. (Attachments: #1 Proof of Service)(Mackaness, Jessica)QC re: s/ signature(acc). |
| Filing 15 NOTICE of Appearance by Erwin J. Shustak on behalf of Kristine Sterchi, Thomas Neal Sterchi, Jr (Attachments: #1 Proof of Service)(Shustak, Erwin)Attorney Erwin J. Shustak added to party Kristine Sterchi (pty:pla), Attorney Erwin J. Shustak added to party Kristine Sterchi (pty:cd), Attorney Erwin J. Shustak added to party Thomas Neal Sterchi, Jr(pty:cd), Attorney Erwin J. Shustak added to party Thomas Neal Sterchi, Jr(pty:pla)(acc). |
| Filing 14 DEMAND for Trial by Jury by Kristine Sterchi, Thomas Neal Sterchi, Jr. (Attachments: #1 Proof of Service)(Mackaness, Jessica)(acc). |
| Filing 13 ANSWER to Complaint with Jury Demand , COUNTERCLAIM against All Plaintiffs by MWM 1835, LLC, William M. Malloy, III.(Stagg, Nancy) (lrf). |
| Filing 12 ANSWER to Complaint with Jury Demand by Vinee Mehta.(Witham, Jeffrey) (lrf). |
| Filing 11 PRO HAC APPROVED: Dustin Timothy Greene appearing for Defendants MWM 1835, LLC, William M. Malloy, III. (no document attached) (kcm) |
| Filing 10 PRO HAC APPROVED: David Coventry Smith appearing for Defendants MWM 1835, LLC, William M. Malloy, III. (no document attached) (kcm) |
| Filing 9 CERTIFICATE OF SERVICE by MWM 1835, LLC, William M. Malloy, III re #1 Notice of Removal, (Attachments: #1 Exhibit A)(Stagg, Nancy)(acc). |
| Filing 8 Request to Appear Pro Hac Vice ( Filing fee received: $ 206 receipt number 0974-10131956.) (Application to be reviewed by Clerk.) (Greene, Dustin) (kcm). |
| Filing 7 Request to Appear Pro Hac Vice ( Filing fee received: $ 206 receipt number 0974-10131939.) (Application to be reviewed by Clerk.) (Smith, David) (kcm). |
| Filing 6 CERTIFICATE OF SERVICE by Vinee Mehta re #4 Notice of Appearance of Attorney Jeffrey R. Witham for Defendant Vinee Mehta (Witham, Jeffrey)(acc). |
| Filing 5 NOTICE of Joinder by Vinee Mehta (Consent to Joinder) (Witham, Jeffrey) QC re: missing cert of service(acc). |
| Filing 4 NOTICE of Appearance by Jeffrey Raymond Witham on behalf of Vinee Mehta (Witham, Jeffrey)Attorney Jeffrey Raymond Witham added to party Vinee Mehta(pty:dft)(acc). |
| Filing 3 NOTICE of Appearance by Nancy L. Stagg on behalf of MWM 1835, LLC, William M. Malloy, III (Stagg, Nancy)(acc). |
| Filing 2 NOTICE of Party With Financial Interest by William M. Malloy, III . No Parties With Financial Interest. (Stagg, Nancy)(acc). |
| Filing 1 NOTICE OF REMOVAL with Jury Demand from Superior Court of California County of San Diego, case number 37-2017-00014810-CU-CR-CTL. ( Filing fee $ 400 receipt number 0974-10119307.), filed by MWM 1835, LLC, William M. Malloy, III. (Attachments: #1 Civil Cover Sheet)The new case number is 3:17-cv-1097-AJB-WVG. Judge Anthony J. Battaglia and Magistrate Judge William V. Gallo are assigned to the case.(mpl) (sjt). |
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