Securities and Exchange Commission v. RMR Asset Management Company et al
| Securities and Exchange Commission |
| RMR Asset Management Company, Richard C. Gounaud, David R. Frost, Jocelyn M. Murphy, John M. Kirschenbaum, Michael S. Murphy, Timothy J. McAloon, Philip A. Weiner, Dewey T. Tran, David S. Luttbeg, Neil P. Kelly, Douglas J. Derryberry, Bruce A. Broekhuizen and Ralph M. Riccardi |
| 3:2018cv01895 |
| August 14, 2018 |
| US District Court for the Southern District of California |
| San Diego Office |
| San Diego |
| Jan M Adler |
| Anthony J Battaglia |
| Securities/Commodities |
| 15 U.S.C. § 0078 m(a) Securities Exchange Act |
| None |
Docket Report
RSS Track this Docket
This docket was last retrieved on November 24, 2021. A more recent docket listing may be available from PACER.
| Document Text |
|---|
Filing 33
Notice of Document Discrepancies and Order Thereon by Judge Anthony J. Battaglia Rejecting Document: Ex Parte Letter, from Defendant Richard C. Gounaud. Non-compliance with local rule(s), OTHER: Civ.L.Rule 83.9 Parties to an action must refrain from writing ex parte letters to the judge. Signed by Judge Anthony J. Battaglia on 10/3/2018.(All non-registered users served via U.S. Mail Service)(acc)
|
|
Filing 32
ORDER BY JUDGE BATTAGLIA: Granting #27 Joint Motion for Extension of Time to Answer as to Defendant Richard C. Gounaud. Defendant's Answer is now due by 12/7/2018. (All non-registered users served via U.S. Mail Service)(no document attached) (sc)
|
| Filing 31 MOTION to Appoint Counsel by Richard C. Gounaud. Nunc pro tunc 9/27/2018. (acc) |
|
Filing 30
Notice of Document Discrepancies and Order Thereon by Judge Anthony J. Battaglia Accepting Document #31 : Defendant's Motion for Limited Pro Bono Counsel, from Defendant Richard C. Gounaud. Non-compliance with local rule(s), OTHER: Civ.L. Rule 5.2 - Missing Proof of Service. Nunc Pro Tunc 9/27/2018. Signed by Judge Anthony J. Battaglia on 10/1/2018.(acc)
|
| Filing 29 Defendant's NOTICE to Advise the Court His Intent to Act Pro Se by Richard C. Gounaud. Nunc pro tunc 9/27/2018. (acc) |
|
Filing 28
Notice of Document Discrepancies and Order Thereon by Judge Anthony J. Battaglia Accepting Document #29 : Defendant's Motion to Advise the Court His Intent to Act Pro Se, from Defendant Richard C. Gounaud. Non-compliance with local rule(s), OTHER: Civ.L. Rule 5.2 - Missing Proof of Service. Nunc Pro Tunc 9/27/2018. Signed by Judge Anthony J. Battaglia on 10/1/2018.(All non-registered users served via U.S. Mail Service)(acc)
|
| Filing 27 MOTION for Extension of Time to File Answer by Richard C. Gounaud. Nunc pro tunc 9/27/2018. (acc) |
|
Filing 26
Notice of Document Discrepancies and Order Thereon by Judge Anthony J. Battaglia Accepting Document #27 : Defendant's Motion for Extension of Time to File a Response, from Defendant Richard C. Gounaud. Non-compliance with local rule(s), OTHER: Civ.L. Rule 5.2 - Missing Proof of Service. Nunc Pro Tunc 9/27/2018. Signed by Judge Anthony J. Battaglia on 10/1/2018.(acc)
|
| Filing 25 WAIVER OF SERVICE Returned Executed by Securities and Exchange Commission, as to Richard C. Gounaud. (Pilgrim, Nicholas) (acc). |
| Filing 24 WAIVER OF SERVICE Returned Executed by Securities and Exchange Commission, as to Jocelyn M. Murphy. (Pilgrim, Nicholas) (acc). |
| Filing 23 WAIVER OF SERVICE Returned Executed by Securities and Exchange Commission, as to Michael S. Murphy. (Pilgrim, Nicholas) (acc). |
| Filing 22 CONSENT JUDGMENT in favor of Securities and Exchange Commission against Philip A. Weiner in the amount of $70,125. Signed by Judge Anthony J. Battaglia on 8/17/2018.(acc) |
| Filing 21 CONSENT JUDGMENT in favor of Securities and Exchange Commission against Dewey T. Tran in the amount of $80,240. Signed by Judge Anthony J. Battaglia on 8/17/2018.(acc) |
| Filing 20 CONSENT JUDGMENT in favor of Securities and Exchange Commission against RMR Asset Management Company, Ralph M. Riccardi in the amount of $1,216,055. Signed by Judge Anthony J. Battaglia on 8/17/2018.(acc) |
| Filing 19 CONSENT JUDGMENT in favor of Securities and Exchange Commission against Timothy J. McAloon in the amount of $235,965. Signed by Judge Anthony J. Battaglia on 8/17/2018.(acc) |
| Filing 18 CONSENT JUDGMENT in favor of Securities and Exchange Commission against David S. Luttbeg in the amount of $17,810. Signed by Judge Anthony J. Battaglia on 8/17/2018.(acc) |
| Filing 17 CONSENT JUDGMENT in favor of Securities and Exchange Commission against John M. Kirschenbaum in the amount of $186,648. Signed by Judge Anthony J. Battaglia on 8/17/2018.(acc) |
| Filing 16 CONSENT JUDGMENT in favor of Securities and Exchange Commission against Neil P. Kelly in the amount of $80,452. Signed by Judge Anthony J. Battaglia on 8/17/2018.(acc) |
| Filing 15 CONSENT JUDGMENT in favor of Securities and Exchange Commission against David R. Frost in the amount of $289,396. Signed by Judge Anthony J. Battaglia on 8/17/2018.(acc) |
| Filing 14 CONSENT JUDGMENT in favor of Securities and Exchange Commission against Douglas J. Derryberry in the amount of $92,606. Signed by Judge Anthony J. Battaglia on 8/17/2018.(acc) |
| Filing 13 CONSENT JUDGMENT in favor of Securities and Exchange Commission against Bruce A. Broekhuizen in the amount of $79,506. Signed by Judge Anthony J. Battaglia on 8/17/2018.(acc) |
| Filing 12 MOTION to Approve Consent Judgment as to defendant Philip A. Weiner by Securities and Exchange Commission. (Pilgrim, Nicholas) (acc). |
| Filing 11 MOTION to Approve Consent Judgment as to defendant Dewey Tran by Securities and Exchange Commission. (Pilgrim, Nicholas)(acc). |
| Filing 10 MOTION to Approve Consent Judgment as to defendants RMR Asset Management Company and Ralph M. Riccardi by Securities and Exchange Commission. (Pilgrim, Nicholas)(acc). |
| Filing 9 MOTION to Approve Consent Judgment as to defendant Timothy J. McAloon by Securities and Exchange Commission. (Pilgrim, Nicholas)(acc). |
| Filing 8 MOTION to Approve Consent Judgment as to defendant David S. Luttbeg by Securities and Exchange Commission. (Pilgrim, Nicholas) (acc). |
| Filing 7 MOTION to Approve Consent Judgment as to defendant John M. Kirschenbaum by Securities and Exchange Commission. (Pilgrim, Nicholas) (acc). |
| Filing 6 MOTION to Approve Consent Judgment as to defendant Neil P. Kelly by Securities and Exchange Commission. (Pilgrim, Nicholas) (acc). |
| Filing 5 MOTION to Approve Consent Judgment as to defendant David R. Frost by Securities and Exchange Commission. (Pilgrim, Nicholas) (acc). |
| Filing 4 MOTION to Approve Consent Judgment as to defendant Douglas J. Derryberry by Securities and Exchange Commission. (Pilgrim, Nicholas) (acc). |
| Filing 3 MOTION to Approve Consent Judgment as to defendant Bruce Broekhuizen by Securities and Exchange Commission. (Pilgrim, Nicholas) (acc). |
| Filing 2 Summons Issued. 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. (tcf) (jao). |
| Filing 1 COMPLAINT against Bruce A. Broekhuizen, Douglas J. Derryberry, David R. Frost, Richard C. Gounaud, Neil P. Kelly, John M. Kirschenbaum, David S. Luttbeg, Timothy J. McAloon, Jocelyn M. Murphy, Michael S. Murphy, RMR Asset Management Company, Ralph M. Riccardi, Dewey T. Tran, Philip A. Weiner, No Fee Required, filed by Securities and Exchange Commission. (Attachments: #1 Civil Cover Sheet)The new case number is 3:18-cv-1895-AJB-JMA. Judge Anthony J. Battaglia and Magistrate Judge Jan M. Adler are assigned to the case. (Pilgrim, Nicholas)(tcf) (jao). |
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 Southern District Court's Electronic Court Filings (ECF) System
- Search for Party Aliases
- Associated Cases
- Attorneys
- Case File Location
- Case Summary
- Docket Report
- History/Documents
- Parties
- Related Transactions
- Check Status
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.
