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        <title>Securities and Exchange Commission v. McGinn, Smith &amp; Co, Inc :: Justia Dockets &amp; Filings</title>
        <link>https://dockets.justia.com/docket/circuit-courts/ca2/25-2863</link>
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        <pubDate>Sun, 28 Jun 2026 08:43:29 -0700</pubDate>
        <lastBuildDate>Sun, 28 Jun 2026 08:43:29 -0700</lastBuildDate>
        <generator>Justia Dockets &amp; Filings</generator>
        <copyright>Copyright 2026 Justia Inc</copyright>
        <description>Securities and Exchange Commission v. McGinn, Smith &amp; Co, Inc - Docket Entries - Showing 1 through 39</description>
                                    <item>
        <title>
                            <![CDATA[Document 39]]>
                    </title>
                <description>
            <![CDATA[
                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]
            ]]>
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                <pubDate>
            Tue, 05 May 2026 00:00:00 -0700
        </pubDate>
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                        <item>
        <title>
                            <![CDATA[Document 38]]>
                    </title>
                <description>
            <![CDATA[
                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]
            ]]>
        </description>
                    <guid isPermaLink="false">https://dockets.justia.com#entry_34588947</guid>
                <pubDate>
            Wed, 11 Feb 2026 00:00:00 -0800
        </pubDate>
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                        <item>
        <title>
                            <![CDATA[Document 37]]>
                    </title>
                <description>
            <![CDATA[
                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]
            ]]>
        </description>
                    <guid isPermaLink="false">https://dockets.justia.com#entry_34588948</guid>
                <pubDate>
            Thu, 05 Feb 2026 00:00:00 -0800
        </pubDate>
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                        <item>
        <title>
                            <![CDATA[Document 36]]>
                    </title>
                <description>
            <![CDATA[
                SPECIAL APPENDIX, on behalf of Appellant Jill A. Dunn, FILED. Service date 02/03/2026 by ACMS. [Entered: 02/03/2026 09:41 AM]
            ]]>
        </description>
                    <guid isPermaLink="false">https://dockets.justia.com#entry_34588949</guid>
                <pubDate>
            Tue, 03 Feb 2026 00:00:00 -0800
        </pubDate>
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                        <item>
        <title>
                            <![CDATA[Document 35]]>
                    </title>
                <description>
            <![CDATA[
                BRIEF, on behalf of Appellant Jill A. Dunn, FILED. Service date 02/03/2026 by ACMS. [Entered: 02/03/2026 09:40 AM]
            ]]>
        </description>
                    <guid isPermaLink="false">https://dockets.justia.com#entry_34588950</guid>
                <pubDate>
            Tue, 03 Feb 2026 00:00:00 -0800
        </pubDate>
    </item>
                        <item>
        <title>
                            <![CDATA[Document 34]]>
                    </title>
                <description>
            <![CDATA[
                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]
            ]]>
        </description>
                    <guid isPermaLink="false">https://dockets.justia.com#entry_34588951</guid>
                <pubDate>
            Tue, 03 Feb 2026 00:00:00 -0800
        </pubDate>
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                        <item>
        <title>
                            <![CDATA[Document 33]]>
                    </title>
                <description>
            <![CDATA[
                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]
            ]]>
        </description>
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                <pubDate>
            Tue, 03 Feb 2026 00:00:00 -0800
        </pubDate>
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                        <item>
        <title>
                            <![CDATA[Document 32]]>
                    </title>
                <description>
            <![CDATA[
                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]
            ]]>
        </description>
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                <pubDate>
            Tue, 03 Feb 2026 00:00:00 -0800
        </pubDate>
    </item>
                        <item>
        <title>
                            <![CDATA[Document 31]]>
                    </title>
                <description>
            <![CDATA[
                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]
            ]]>
        </description>
                    <guid isPermaLink="false">https://dockets.justia.com#entry_32268037</guid>
                <pubDate>
            Fri, 19 Dec 2025 00:00:00 -0800
        </pubDate>
    </item>
                        <item>
        <title>
                            <![CDATA[Document 30]]>
                    </title>
                <description>
            <![CDATA[
                NEW CASE MANAGER, Connie Mazariego, ASSIGNED. [Entered: 12/12/2025 10:53 AM]
            ]]>
        </description>
                    <guid isPermaLink="false">https://dockets.justia.com#entry_32268038</guid>
                <pubDate>
            Fri, 12 Dec 2025 00:00:00 -0800
        </pubDate>
    </item>
                        <item>
        <title>
                            <![CDATA[Document 29]]>
                    </title>
                <description>
            <![CDATA[
                CAPTION, correct order of caption, AMENDED. [Entered: 12/01/2025 09:52 AM]
            ]]>
        </description>
                    <guid isPermaLink="false">https://dockets.justia.com#entry_32268039</guid>
                <pubDate>
            Mon, 01 Dec 2025 00:00:00 -0800
        </pubDate>
    </item>
                        <item>
        <title>
                            <![CDATA[Document 28]]>
                    </title>
                <description>
            <![CDATA[
                ATTORNEY, Benjamin W. Hill for Intervenor CIT Lending Services Corporation, TERMINATED. [Entered: 11/26/2025 07:53 PM]
            ]]>
        </description>
                    <guid isPermaLink="false">https://dockets.justia.com#entry_32268040</guid>
                <pubDate>
            Wed, 26 Nov 2025 00:00:00 -0800
        </pubDate>
    </item>
                        <item>
        <title>
                            <![CDATA[Document 27]]>
                    </title>
                <description>
            <![CDATA[
                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]
            ]]>
        </description>
                    <guid isPermaLink="false">https://dockets.justia.com#entry_32268041</guid>
                <pubDate>
            Wed, 26 Nov 2025 00:00:00 -0800
        </pubDate>
    </item>
                        <item>
        <title>
                            <![CDATA[Document 26]]>
                    </title>
                <description>
            <![CDATA[
                ATTORNEY, Rajit Singh Dosanjh for Intervenor U.S. Attorney's Office - N.D.N.Y., TERMINATED. [Entered: 11/20/2025 12:00 AM]
            ]]>
        </description>
                    <guid isPermaLink="false">https://dockets.justia.com#entry_32268042</guid>
                <pubDate>
            Thu, 20 Nov 2025 00:00:00 -0800
        </pubDate>
    </item>
                        <item>
        <title>
                            <![CDATA[Document 25]]>
                    </title>
                <description>
            <![CDATA[
                ATTORNEY, Morgan E. A. Bradylyons for Appellee United States Securities & Exchange Commission, ADDED. [Entered: 11/19/2025 11:58 PM]
            ]]>
        </description>
                    <guid isPermaLink="false">https://dockets.justia.com#entry_32268043</guid>
                <pubDate>
            Wed, 19 Nov 2025 00:00:00 -0800
        </pubDate>
    </item>
                        <item>
        <title>
                            <![CDATA[Document 24]]>
                    </title>
                <description>
            <![CDATA[
                NOTICE OF APPEARANCE AS SUBSTITUTE COUNSEL/ADDITIONAL COUNSEL, on behalf of United States Securities & Exchange Commission, FILED. [Entered: 11/19/2025 03:42 PM]
            ]]>
        </description>
                    <guid isPermaLink="false">https://dockets.justia.com#entry_32268044</guid>
                <pubDate>
            Wed, 19 Nov 2025 00:00:00 -0800
        </pubDate>
    </item>
                        <item>
        <title>
                            <![CDATA[Document 23]]>
                    </title>
                <description>
            <![CDATA[
                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]
            ]]>
        </description>
                    <guid isPermaLink="false">https://dockets.justia.com#entry_32268045</guid>
                <pubDate>
            Wed, 19 Nov 2025 00:00:00 -0800
        </pubDate>
    </item>
                        <item>
        <title>
                            <![CDATA[Document 22]]>
                    </title>
                <description>
            <![CDATA[
                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]
            ]]>
        </description>
                    <guid isPermaLink="false">https://dockets.justia.com#entry_32268046</guid>
                <pubDate>
            Wed, 19 Nov 2025 00:00:00 -0800
        </pubDate>
    </item>
                        <item>
        <title>
                            <![CDATA[Document 21]]>
                    </title>
                <description>
            <![CDATA[
                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]
            ]]>
        </description>
                    <guid isPermaLink="false">https://dockets.justia.com#entry_32268047</guid>
                <pubDate>
            Tue, 18 Nov 2025 00:00:00 -0800
        </pubDate>
    </item>
                        <item>
        <title>
                            <![CDATA[Document 20]]>
                    </title>
                <description>
            <![CDATA[
                CURED DEFECTIVE DOCUMENT, Form C, at entry 19, on behalf of Appellant Jill A. Dunn, FILED. [Entered: 11/17/2025 01:42 PM]
            ]]>
        </description>
                    <guid isPermaLink="false">https://dockets.justia.com#entry_32268048</guid>
                <pubDate>
            Mon, 17 Nov 2025 00:00:00 -0800
        </pubDate>
    </item>
                        <item>
        <title>
                            <![CDATA[Document 19]]>
                    </title>
                <description>
            <![CDATA[
                FORM C, on behalf of Appellant Jill A. Dunn, FILED. Service date 11/17/2025 by ACMS. [Entered: 11/17/2025 11:25 AM]
            ]]>
        </description>
                    <guid isPermaLink="false">https://dockets.justia.com#entry_32268049</guid>
                <pubDate>
            Mon, 17 Nov 2025 00:00:00 -0800
        </pubDate>
    </item>
                        <item>
        <title>
                            <![CDATA[Document 18]]>
                    </title>
                <description>
            <![CDATA[
                DEFECTIVE DOCUMENT, Form C, at docket entry 10, on behalf of Appellant Jill A. Dunn, FILED. [Entered: 11/17/2025 11:01 AM]
            ]]>
        </description>
                    <guid isPermaLink="false">https://dockets.justia.com#entry_32268050</guid>
                <pubDate>
            Mon, 17 Nov 2025 00:00:00 -0800
        </pubDate>
    </item>
                        <item>
        <title>
                            <![CDATA[Document 17]]>
                    </title>
                <description>
            <![CDATA[
                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]
            ]]>
        </description>
                    <guid isPermaLink="false">https://dockets.justia.com#entry_32268051</guid>
                <pubDate>
            Mon, 17 Nov 2025 00:00:00 -0800
        </pubDate>
    </item>
                        <item>
        <title>
                            <![CDATA[Document 16]]>
                    </title>
                <description>
            <![CDATA[
                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]
            ]]>
        </description>
                    <guid isPermaLink="false">https://dockets.justia.com#entry_32268052</guid>
                <pubDate>
            Mon, 17 Nov 2025 00:00:00 -0800
        </pubDate>
    </item>
                        <item>
        <title>
                            <![CDATA[Document 15]]>
                    </title>
                <description>
            <![CDATA[
                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]
            ]]>
        </description>
                    <guid isPermaLink="false">https://dockets.justia.com#entry_32268053</guid>
                <pubDate>
            Fri, 14 Nov 2025 00:00:00 -0800
        </pubDate>
    </item>
                        <item>
        <title>
                            <![CDATA[Document 14]]>
                    </title>
                <description>
            <![CDATA[
                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]
            ]]>
        </description>
                    <guid isPermaLink="false">https://dockets.justia.com#entry_32268054</guid>
                <pubDate>
            Fri, 14 Nov 2025 00:00:00 -0800
        </pubDate>
    </item>
                        <item>
        <title>
                            <![CDATA[Document 13]]>
                    </title>
                <description>
            <![CDATA[
                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]
            ]]>
        </description>
                    <guid isPermaLink="false">https://dockets.justia.com#entry_32268055</guid>
                <pubDate>
            Thu, 13 Nov 2025 00:00:00 -0800
        </pubDate>
    </item>
                        <item>
        <title>
                            <![CDATA[Document 12]]>
                    </title>
                <description>
            <![CDATA[
                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]
            ]]>
        </description>
                    <guid isPermaLink="false">https://dockets.justia.com#entry_32268056</guid>
                <pubDate>
            Thu, 13 Nov 2025 00:00:00 -0800
        </pubDate>
    </item>
                        <item>
        <title>
                            <![CDATA[Document 11]]>
                    </title>
                <description>
            <![CDATA[
                FORM D, on behalf of Appellant Jill A. Dunn, FILED. Service date 11/13/2025 by ACMS. [Entered: 11/13/2025 10:08 AM]
            ]]>
        </description>
                    <guid isPermaLink="false">https://dockets.justia.com#entry_32268057</guid>
                <pubDate>
            Thu, 13 Nov 2025 00:00:00 -0800
        </pubDate>
    </item>
                        <item>
        <title>
                            <![CDATA[Document 10]]>
                    </title>
                <description>
            <![CDATA[
                FORM C, on behalf of Appellant Jill A. Dunn, FILED. Service date 11/13/2025 by ACMS. [Entered: 11/13/2025 10:06 AM]
            ]]>
        </description>
                    <guid isPermaLink="false">https://dockets.justia.com#entry_32268058</guid>
                <pubDate>
            Thu, 13 Nov 2025 00:00:00 -0800
        </pubDate>
    </item>
                        <item>
        <title>
                            <![CDATA[Document 9]]>
                    </title>
                <description>
            <![CDATA[
                CAPTION, added Intervenors CIT Lending Services Corporation, U.S. Attorney's Office - N.D.N.Y. , AMENDED. [Entered: 11/12/2025 11:49 AM]
            ]]>
        </description>
                    <guid isPermaLink="false">https://dockets.justia.com#entry_32268059</guid>
                <pubDate>
            Wed, 12 Nov 2025 00:00:00 -0800
        </pubDate>
    </item>
                        <item>
        <title>
                            <![CDATA[Document 8]]>
                    </title>
                <description>
            <![CDATA[
                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]
            ]]>
        </description>
                    <guid isPermaLink="false">https://dockets.justia.com#entry_32268060</guid>
                <pubDate>
            Wed, 12 Nov 2025 00:00:00 -0800
        </pubDate>
    </item>
                        <item>
        <title>
                            <![CDATA[Document 7]]>
                    </title>
                <description>
            <![CDATA[
                CIVIL APPEAL, on behalf of Appellant Jill A. Dunn, OPENED. [Entered: 11/07/2025 05:10 PM]
            ]]>
        </description>
                    <guid isPermaLink="false">https://dockets.justia.com#entry_31260387</guid>
                <pubDate>
            Fri, 07 Nov 2025 00:00:00 -0800
        </pubDate>
    </item>
                        <item>
        <title>
                            <![CDATA[Document 6]]>
                    </title>
                <description>
            <![CDATA[
                SUPPLEMENTAL ELECTRONIC INDEX, in lieu of record, FILED. [Entered: 11/07/2025 05:06 PM]
            ]]>
        </description>
                    <guid isPermaLink="false">https://dockets.justia.com#entry_31260388</guid>
                <pubDate>
            Fri, 07 Nov 2025 00:00:00 -0800
        </pubDate>
    </item>
                        <item>
        <title>
                            <![CDATA[Document 5]]>
                    </title>
                <description>
            <![CDATA[
                ELECTRONIC INDEX, in lieu of record, FILED. [Entered: 11/07/2025 05:03 PM]
            ]]>
        </description>
                    <guid isPermaLink="false">https://dockets.justia.com#entry_31260389</guid>
                <pubDate>
            Fri, 07 Nov 2025 00:00:00 -0800
        </pubDate>
    </item>
                        <item>
        <title>
                            <![CDATA[Document 4]]>
                    </title>
                <description>
            <![CDATA[
                PAYMENT OF DOCKETING FEE, on behalf of Appellant Jill A. Dunn, district court receipt #ANYNDC-7358307, FILED. [Entered: 11/07/2025 04:58 PM]
            ]]>
        </description>
                    <guid isPermaLink="false">https://dockets.justia.com#entry_31260390</guid>
                <pubDate>
            Thu, 06 Nov 2025 00:00:00 -0800
        </pubDate>
    </item>
                        <item>
        <title>
                            <![CDATA[Document 3]]>
                    </title>
                <description>
            <![CDATA[
                DISTRICT COURT JUDGMENT, dated 09/11/2025, RECEIVED. [Entered: 11/07/2025 04:56 PM]
            ]]>
        </description>
                    <guid isPermaLink="false">https://dockets.justia.com#entry_31260391</guid>
                <pubDate>
            Thu, 06 Nov 2025 00:00:00 -0800
        </pubDate>
    </item>
                        <item>
        <title>
                            <![CDATA[Document 2]]>
                    </title>
                <description>
            <![CDATA[
                DISTRICT COURT MEMORANDUM-DECISION AND ORDER, dated 07/20/2011, RECEIVED. [Entered: 11/07/2025 04:55 PM]
            ]]>
        </description>
                    <guid isPermaLink="false">https://dockets.justia.com#entry_31260392</guid>
                <pubDate>
            Thu, 06 Nov 2025 00:00:00 -0800
        </pubDate>
    </item>
                        <item>
        <title>
                            <![CDATA[Document 1]]>
                    </title>
                <description>
            <![CDATA[
                NOTICE OF CIVIL APPEAL, with district court docket, on behalf of Appellant Jill A. Dunn, FILED. [Entered: 11/07/2025 04:53 PM]
            ]]>
        </description>
                    <guid isPermaLink="false">https://dockets.justia.com#entry_31260393</guid>
                <pubDate>
            Thu, 06 Nov 2025 00:00:00 -0800
        </pubDate>
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