SEC v. Sargent
| FREDERICK M. MINTZ, ALAN FRAADE, JOSEPH J. TOMASEK and PATRICK GIORDANO |
| US SECURITIES & EXCHANGE COMMISSION |
| HENRY B. SARGENT |
| 23-1669 |
| August 17, 2023 |
| U.S. Court of Appeals, First Circuit |
| Securities/Commodities/Exchange |
Docket Report
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| ASSENTED TO MOTION to consolidate cases, to extend time to file brief and appendix filed by Appellee SEC. Served on 10/13/2023. [23-1669] (PGA) [Entered: 10/13/2023 12:45 PM] |
ORDER entered by David J. Barron, Chief Appellate Judge; William J. Kayatta, Jr., Appellate Judge and Julie Rikelman, Appellate Judge: Before the court is Defendant-Appellant Henry Sargent's Emergency Motion to Stay Enforcement of Judgment Pending Appeal. The motion targets only that portion of the district court's judgment essentially enjoining Sargent from participating in penny stock matters for a period of ten years. In order to allow the court adequate time to review the matter, we grant a temporary stay of that portion of the court's judgment enjoining him for ten years from participating in penny stock matters. The stay shall remain in place pending further order of the court. [23-1669] (AL) [Entered: 10/05/2023 12:57 PM]
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| REPLY filed by Appellant Henry B. Sargent to [ # 6594986-2 ]. Served on 10/02/2023. [23-1669] (PRG) [Entered: 10/02/2023 04:38 PM] |
| RESPONSE filed by Appellee SEC to to stay [ # 6594830-2 ]. Served on 10/02/2023. [23-1669] (PGA) [Entered: 10/02/2023 10:40 AM] |
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ORDER entered by Lara E. Montecalvo, Appellate Judge: Plaintiff-Appellee Securities and Exchange Commission is ordered to respond to Defendant-Appellant Henry Sargent's Memorandum of Law in Support of Motion to Stay Enforcement of Judgment Pending Appeal no later than Monday, October 2, 2023 at 5:00 p.m . [23-1669] (AL) [Entered: 09/29/2023 04:59 PM]
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| EMERGENCY MOTION to stay enforcement of judgment pending appeal filed by Appellant Henry B. Sargent. Served on 09/29/2023. [23-1669] (PRG) [Entered: 09/29/2023 03:49 PM] |
| NOTICE issued. The following attorney has failed to register for an appellate ECF account and will no longer receive notice of court issued documents in this case: Frederick M. Mintz. [23-1669] (AL) [Entered: 09/27/2023 10:32 AM] |
| BRIEFING schedule set. Brief and Appendix due 11/06/2023 for appellant Henry B. Sargent. Pursuant to F.R.A.P. 31(a), appellee's brief will be due 30 days following service of appellant's brief and appellant's reply brief will be due 21 days following service of appellee's brief. [23-1669] (AL) [Entered: 09/27/2023 02:03 PM] |
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ORDER entered by Lara E. Montecalvo, Appellate Judge. Appellee U.S. Securities & Exchange Commission previously filed a motion to dismiss this appeal on jurisdictional grounds. Appellant Henry B. Sargent filed a response in opposition to the motion to dismiss. Currently before the court is the Commission's "Withdrawal of its Motion to Dismiss for Lack of Appellate Jurisdiction." Treating the withdrawal as a motion for leave to withdraw the earlier motion to dismiss, it is allowed. So ordered. [23-1669] (GB) [Entered: 09/21/2023 05:24 PM]
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| MOTION to withdraw to dismiss case [ # 6587254-2 ] filed by Appellee SEC. Served on 09/14/2023. [23-1669] (PGA) [Entered: 09/14/2023 11:39 AM] |
| SUPPLEMENTAL record filed. Docket entries: ECF No. 342 Electronic Order. [23-1669] (AL) [Entered: 09/12/2023 11:57 AM] |
| NOTICE issued. After 09/25/2023, the following attorney will no longer receive notice of court issued documents in this case unless he registers for an appellate ECF account: Frederick M. Mintz. [23-1669] (AL) [Entered: 09/06/2023 10:20 AM] |
| DOCKETING statement filed by Appellant Henry B. Sargent. Served on 09/06/2023. [23-1669] (PRG) [Entered: 09/06/2023 02:29 PM] |
| RESPONSE filed by Appellant Henry B. Sargent to [ # 6587254-2 ]. Served on 09/05/2023. [23-1669] (PRG) [Entered: 09/05/2023 02:36 PM] |
| MOTION to dismiss case filed by Appellee SEC. Served on 08/25/2023. [23-1669] (PGA) [Entered: 08/25/2023 10:25 AM] |
| NOTICE of appearance on behalf of Appellant Henry B. Sargent filed by Attorney Peter R. Ginsberg. Served on 08/24/2023. [23-1669] (PRG) [Entered: 08/24/2023 02:54 PM] |
| NOTICE of appearance on behalf of Appellant Henry B. Sargent filed by Attorney Christopher R. Neff. Served on 08/24/2023. [23-1669] (CRN) [Entered: 08/24/2023 02:59 PM] |
| TRANSCRIPT report/order form filed by Appellant Henry B. Sargent indicating all necessary transcripts have already been filed in district court. Served on 08/24/2023. [23-1669] (PRG) [Entered: 08/24/2023 03:05 PM] |
| NOTICE of appearance on behalf of Appellee SEC filed by Attorney Paul G. Alvarez. Served on 08/18/2023. [23-1669] (PGA) [Entered: 08/18/2023 09:04 AM] |
| CIVIL CASE docketed. Notice of appeal (doc. #335) filed by Appellant Henry B. Sargent. Docketing Statement due 08/31/2023. Transcript Report/Order form due 08/31/2023. Appearance form due 08/31/2023. [23-1669] (AL) [Entered: 08/17/2023 04:02 PM] |
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