United States Securities and E v. McGinn, Smith & Company, Incor
| McGinn, Smith & Company, Incorporated, McGinn, Smith Advisors, LLC, McGinn, Smith Capital Holdings Corporation, First Advisory Income Notes, LLC, First Excelsior Income Notes, LLC, First Independent Income Notes, LLC, Third Albany Income Notes, LLC, Timothy M. McGinn, Nancy McGinn, Relief Defendant, David M. Wojeski, Trustee of the David L. and Lynn A. Smith Irrevocable Trust U/A, Financial Industry Regulatory Authority, Inc., and FINRA Employees, RBS Citizens, N.A., Lynn A. Smith, Relief Defendant, Geoffrey R. Smith, Trustee of the David L. and Lynn A. Smith Irrevocable Trust U/A and Lauren T. Smith |
| United States Securities and Exchange Commission |
| United States Attorney's Office of the Northern District of New York |
| David L. Smith |
| 22-746 |
| April 12, 2022 |
| U.S. Court of Appeals, Second Circuit |
| STATUTES-Secur Comm Exchange |
Docket Report
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| Filing 31 ATTORNEY, Alex Lipman for David L. Smith, in case 22-746, [ # 30 ], ADDED.[3315574] [22-746] [Entered: 05/16/2022 12:29 PM] |
| Filing 30 NOTICE OF APPEARANCE AS ADDITIONAL COUNSEL, on behalf of Appellant David L. Smith, FILED. Service date 05/13/2022 by CM/ECF. [3314794] [22-746] [Entered: 05/13/2022 01:43 PM] |
| Filing 29 SO-ORDERED SCHEDULING NOTIFICATION, setting Appellant David L. Smith Brief due date as 07/21/2022. Joint Appendix due date as 07/21/2022, FILED.[3313179] [22-746] [Entered: 05/11/2022 01:47 PM] |
| Filing 26 NEW CASE MANAGER, Connie Mazariego, ASSIGNED.[3311858] [22-746] [Entered: 05/10/2022 09:14 AM] |
| Filing 23 LR 31.2 SCHEDULING NOTIFICATION, on behalf of Appellant David L. Smith, informing Court of proposed due date 07/21/2022, RECEIVED. Service date 05/08/2022 by CM/ECF.[3310888] [22-746] [Entered: 05/08/2022 10:33 PM] |
| Filing 22 STRIKE ORDER, striking Appellant David L. Smith Notice of Appearance as Additional Counsel, [12] from the docket, FILED.[3309285] [22-746] [Entered: 05/04/2022 04:20 PM] |
| Filing 15 FORM D, on behalf of Appellant David L. Smith, FILED. Service date 04/22/2022 by CM/ECF.[3302417] [22-746] [Entered: 04/22/2022 05:30 PM] |
| Filing 14 FORM C, on behalf of Appellant David L. Smith, FILED. Service date 04/22/2022 by CM/ECF.[3302416] [22-746] [Entered: 04/22/2022 05:29 PM] |
| Filing 13 DEFECTIVE DOCUMENT, Notice of Appearance as Additional Counsel, [12], on behalf of Appellant David L. Smith, FILED.[3301645] [22-746] [Entered: 04/22/2022 09:16 AM] |
| Filing 12 NOTICE OF APPEARANCE AS ADDITIONAL COUNSEL, on behalf of Appellant David L. Smith, FILED. Service date 04/21/2022 by CM/ECF. [3301428] [22-746] [Entered: 04/21/2022 03:47 PM] |
| Filing 11 ACKNOWLEDGMENT AND NOTICE OF APPEARANCE, on behalf of Appellee United States Securities and Exchange Commission, FILED. Service date 04/15/2022 by CM/ECF.[3297482] [22-746] [Entered: 04/15/2022 09:29 AM] |
| Filing 10 ATTORNEY, Daniel Staroselsky for United States Securities and Exchange Commission, in case 22-746, [ # 9 ], ADDED.[3297320] [22-746] [Entered: 04/14/2022 04:40 PM] |
| Filing 9 NOTICE OF APPEARANCE AS ADDITIONAL COUNSEL, on behalf of Appellee United States Securities and Exchange Commission, FILED. Service date 04/14/2022 by CM/ECF. [3297278] [22-746] [Entered: 04/14/2022 04:20 PM] |
| Filing 8 ATTORNEY, Archith Ramkumar, [ # 7 ], in place of attorney Michael A. Conley, SUBSTITUTED.[3296831] [22-746] [Entered: 04/14/2022 11:45 AM] |
| Filing 7 NOTICE OF APPEARANCE AS SUBSTITUTE COUNSEL, on behalf of Appellee United States Securities and Exchange Commission, FILED. Service date 04/14/2022 by CM/ECF. [3296634] [22-746] [Entered: 04/14/2022 09:53 AM] |
| Filing 6 ACKNOWLEDGMENT AND NOTICE OF APPEARANCE, on behalf of Appellant David L. Smith, FILED. Service date 04/13/2022 by CM/ECF.[3296036] [22-746] [Entered: 04/13/2022 11:38 AM] |
| Filing 4 ELECTRONIC INDEX, in lieu of record, FILED.[3295317] [22-746] [Entered: 04/12/2022 12:41 PM] |
| Filing 3 PAYMENT OF DOCKETING FEE, on behalf of Appellant David L. Smith, district court receipt # ANYNDC-5866643, FILED.[3295316] [22-746] [Entered: 04/12/2022 12:40 PM] |
| Filing 2 DISTRICT COURT ORDER, entered in district court docket dated 02/10/2022, RECEIVED.[3295315] [22-746] [Entered: 04/12/2022 12:40 PM] |
| Filing 1 NOTICE OF CIVIL APPEAL, with district court docket, on behalf of Appellant David L. Smith, FILED. [3295306] [22-746] [Entered: 04/12/2022 12:36 PM] |
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