Securities and Exchange Commission v. McGinn, Smith & Co, Inc
| UNITED STATES SECURITIES & EXCHANGE COMMISSION |
| 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, DAVID L. SMITH, LYNN A. SMITH, Relief Defendant, NANCY MCGINN, Relief Defendant, DAVID M. WOJESKI, Trustee of the David L. and Lynn A. Smith Irrevocable Trust U/A, GEOFFREY R. SMITH, Trustee of the David L. and Lynn A. Smith Irrevocable Trust U/A, LAUREN T. SMITH, FINANCIAL INDUSTRY REGULATORY AUTHORITY, INC., and FINRA Employees, RBS CITIZENS, N.A., JAT CONSTRUCTION CO., INC., Defined Benefit Pension Plan, JOSEPH ALLEGRETTA and SUZANNE ALLEGRETTA |
| JILL A. DUNN |
| CIT LENDING SERVICES CORPORATION and U.S. ATTORNEY'S OFFICE - N.D.N.Y. |
| 25-2863 |
| November 7, 2025 |
| U.S. Court of Appeals, Second Circuit |
| STATUTES-Secur Comm Exchange |
Docket Report
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This docket was last retrieved on May 5, 2026. A more recent docket listing may be available from PACER.
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| Filing 39 BRIEF, on behalf of Appellee United States Securities & Exchange Commission, FILED. Service date 05/05/2026 by ACMS. [Entered: 05/05/2026 04:06 PM] |
| Filing 38 SO-ORDERED SCHEDULING NOTIFICATION, setting Appellee United States Securities & Exchange Commission, Brief due date as 05/05/2026, FILED. [Entered: 02/11/2026 10:42 AM] |
| Filing 37 LR 31.2 SCHEDULING NOTIFICATION, on behalf of Appellee United States Securities & Exchange Commission, informing Court of proposed due date 05/05/2026, RECEIVED. Service date 02/05/2026 by ACMS. [Entered: 02/05/2026 01:31 PM] |
| Filing 36 SPECIAL APPENDIX, on behalf of Appellant Jill A. Dunn, FILED. Service date 02/03/2026 by ACMS. [Entered: 02/03/2026 09:41 AM] |
| Filing 35 BRIEF, on behalf of Appellant Jill A. Dunn, FILED. Service date 02/03/2026 by ACMS. [Entered: 02/03/2026 09:40 AM] |
| Filing 34 JOINT APPENDIX, volume 3 of 3, (pp. 462 - 700), on behalf of Appellant Jill A. Dunn, FILED. Service date 02/03/2026 by ACMS. [Entered: 02/03/2026 09:39 AM] |
| Filing 33 JOINT APPENDIX, volume 2 of 3, (pp. 237 - 461), on behalf of Appellant Jill A. Dunn, FILED. Service date 02/03/2026 by ACMS. [Entered: 02/03/2026 09:37 AM] |
| Filing 32 JOINT APPENDIX, volume 1 of 3, (pp. 1 - 236), on behalf of Appellant Jill A. Dunn, FILED. Service date 02/03/2026 by ACMS. [Entered: 02/03/2026 09:34 AM] |
| Filing 31 SO-ORDERED SCHEDULING NOTIFICATION, setting Appellant Jill A. Dunn's Brief due date as 02/11/2026, FILED. [Entered: 12/19/2025 12:55 PM] |
| Filing 30 NEW CASE MANAGER, Connie Mazariego, ASSIGNED. [Entered: 12/12/2025 10:53 AM] |
| Filing 29 CAPTION, correct order of caption, AMENDED. [Entered: 12/01/2025 09:52 AM] |
| Filing 28 ATTORNEY, Benjamin W. Hill for Intervenor CIT Lending Services Corporation, TERMINATED. [Entered: 11/26/2025 07:53 PM] |
| Filing 27 MOTION ORDER, granting motion to be relieved as counsel at docket entry 16, on behalf of Intervenor CIT Lending Services Corporation, FILED. [Entered: 11/26/2025 07:49 PM] |
| Filing 26 ATTORNEY, Rajit Singh Dosanjh for Intervenor U.S. Attorney's Office - N.D.N.Y., TERMINATED. [Entered: 11/20/2025 12:00 AM] |
| Filing 25 ATTORNEY, Morgan E. A. Bradylyons for Appellee United States Securities & Exchange Commission, ADDED. [Entered: 11/19/2025 11:58 PM] |
| Filing 24 NOTICE OF APPEARANCE AS SUBSTITUTE COUNSEL/ADDITIONAL COUNSEL, on behalf of United States Securities & Exchange Commission, FILED. [Entered: 11/19/2025 03:42 PM] |
| Filing 23 LETTER, dated 11/19/2025, requesting to terminate counsel, on behalf of Intervenor U.S. Attorney's Office - N.D.N.Y., RECEIVED. Service date 11/19/2025 by ACMS. [Entered: 11/19/2025 01:28 PM] |
| Filing 22 LETTER, dated 11/19/2025, requesting to terminate counsel, on behalf of Intervenor U.S. Attorney's Office - N.D.N.Y., RECEIVED. Service date 11/19/2025 by ACMS. [Entered: 11/19/2025 01:26 PM] |
| Filing 21 CERTIFICATE OF SERVICE, for Motion, to be relieved as counsel, on behalf of Intervenor CIT Lending Services Corporation, FILED. Service date 11/18/2025 by ACMS. [Entered: 11/18/2025 12:44 PM] [Edited: 11/18/2025 12:47 PM] |
| Filing 20 CURED DEFECTIVE DOCUMENT, Form C, at entry 19, on behalf of Appellant Jill A. Dunn, FILED. [Entered: 11/17/2025 01:42 PM] |
| Filing 19 FORM C, on behalf of Appellant Jill A. Dunn, FILED. Service date 11/17/2025 by ACMS. [Entered: 11/17/2025 11:25 AM] |
| Filing 18 DEFECTIVE DOCUMENT, Form C, at docket entry 10, on behalf of Appellant Jill A. Dunn, FILED. [Entered: 11/17/2025 11:01 AM] |
| Filing 17 CURED DEFECTIVE DOCUMENT, Motion, to be relieved as counsel, at entry 16, on behalf of Intervenor CIT Lending Services Corporation, FILED. [Entered: 11/17/2025 10:40 AM] |
| Filing 16 MOTION, to be relieved as counsel, on behalf of Intervenor CIT Lending Services Corporation, FILED. Service date 11/17/2025 by ACMS. [Entered: 11/17/2025 09:14 AM] |
| Filing 15 DEFECTIVE DOCUMENT, Motion, to be relieved as counsel, at docket entry 13, on behalf of Intervenor CIT Lending Services Corporation, FILED. [Entered: 11/14/2025 05:16 PM] |
| Filing 14 LR 31.2 SCHEDULING NOTIFICATION, on behalf of Appellant Jill A. Dunn, informing Court of proposed due date 02/11/2026, RECEIVED. Service date 11/14/2025 by ACMS. [Entered: 11/14/2025 09:28 AM] |
| Filing 13 MOTION, to be relieved as counsel, on behalf of Intervenor CIT Lending Services Corporation, FILED. Service date 11/13/2025 by ACMS. [Entered: 11/13/2025 10:18 AM] |
| Filing 12 ACKNOWLEDGMENT AND NOTICE OF APPEARANCE, on behalf of Appellant Jill A. Dunn, FILED. Service date 11/13/2025 by ACMS. [Entered: 11/13/2025 10:10 AM] |
| Filing 11 FORM D, on behalf of Appellant Jill A. Dunn, FILED. Service date 11/13/2025 by ACMS. [Entered: 11/13/2025 10:08 AM] |
| Filing 10 FORM C, on behalf of Appellant Jill A. Dunn, FILED. Service date 11/13/2025 by ACMS. [Entered: 11/13/2025 10:06 AM] |
| Filing 9 CAPTION, added Intervenors CIT Lending Services Corporation, U.S. Attorney's Office - N.D.N.Y. , AMENDED. [Entered: 11/12/2025 11:49 AM] |
| Filing 8 NEW PARTIES, Intervenors CIT Lending Services Corporation, U.S. Attorney's Office - N.D.N.Y., ADDED. ATTORNEYS, Benjamin W. Hill for Intervenor CIT Lending Services Corporation, Rajit Singh Dosanjh for Intervenor U.S. Attorney's Office - N.D.N.Y., ADDED. [Entered: 11/12/2025 11:10 AM] |
| Filing 7 CIVIL APPEAL, on behalf of Appellant Jill A. Dunn, OPENED. [Entered: 11/07/2025 05:10 PM] |
| Filing 6 SUPPLEMENTAL ELECTRONIC INDEX, in lieu of record, FILED. [Entered: 11/07/2025 05:06 PM] |
| Filing 5 ELECTRONIC INDEX, in lieu of record, FILED. [Entered: 11/07/2025 05:03 PM] |
| Filing 4 PAYMENT OF DOCKETING FEE, on behalf of Appellant Jill A. Dunn, district court receipt #ANYNDC-7358307, FILED. [Entered: 11/07/2025 04:58 PM] |
| Filing 3 DISTRICT COURT JUDGMENT, dated 09/11/2025, RECEIVED. [Entered: 11/07/2025 04:56 PM] |
| Filing 2 DISTRICT COURT MEMORANDUM-DECISION AND ORDER, dated 07/20/2011, RECEIVED. [Entered: 11/07/2025 04:55 PM] |
| Filing 1 NOTICE OF CIVIL APPEAL, with district court docket, on behalf of Appellant Jill A. Dunn, FILED. [Entered: 11/07/2025 04:53 PM] |
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