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        <title>S.E.C. v. Stewart :: Justia Dockets &amp; Filings</title>
        <link>https://dockets.justia.com/docket/circuit-courts/ca2/25-702</link>
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        <pubDate>Wed, 08 Jul 2026 20:01:07 -0700</pubDate>
        <lastBuildDate>Wed, 08 Jul 2026 20:01:07 -0700</lastBuildDate>
        <generator>Justia Dockets &amp; Filings</generator>
        <copyright>Copyright 2026 Justia Inc</copyright>
        <description>S.E.C. v. Stewart - Docket Entries - Showing 1 through 43</description>
                                    <item>
        <title>
                            <![CDATA[Document 43]]>
                    </title>
                <description>
            <![CDATA[
                LETTER, dated 08/28/2025, response to pending motion in the district court under rule 52 and 59 of the federal rules of civil procedure, on behalf of Appellant Phyllis Gottlieb, RECEIVED. Service date 08/25/2025 by United States Mail. [Entered: 09/03/2025 04:11 PM]
            ]]>
        </description>
                    <guid isPermaLink="false">https://dockets.justia.com#entry_30341466</guid>
                <pubDate>
            Fri, 29 Aug 2025 00:00:00 -0700
        </pubDate>
    </item>
                        <item>
        <title>
                            <![CDATA[Document 42]]>
                    </title>
                <description>
            <![CDATA[
                CERTIFIED ORDER, dated 08/15/2025, to SDNY (NEW YORK CITY), ISSUED. [Entered: 08/15/2025 11:04 AM]
            ]]>
        </description>
                    <guid isPermaLink="false">https://dockets.justia.com#entry_30341467</guid>
                <pubDate>
            Fri, 15 Aug 2025 00:00:00 -0700
        </pubDate>
    </item>
                        <item>
        <title>
                            <![CDATA[Document 41]]>
                    </title>
                <description>
            <![CDATA[
                ORDER, holding the appeal in abeyance, pending the district courts resolution of a motion timely filed in the district court under Rules 52 and 59 of the Federal Rules of Civil Procedure, S.D.N.Y. 98-cv-2636, doc. 608. Appellants shall notify this Court within thirty days after the district courts decision on the pending motion, copy to pro se appellants, FILED. [Entered: 08/15/2025 10:53 AM]
            ]]>
        </description>
                    <guid isPermaLink="false">https://dockets.justia.com#entry_30341468</guid>
                <pubDate>
            Fri, 15 Aug 2025 00:00:00 -0700
        </pubDate>
    </item>
                        <item>
        <title>
                            <![CDATA[Document 40]]>
                    </title>
                <description>
            <![CDATA[
                MOTION ORDER, denying motion to dismiss at docket entry 25, on behalf of Appellee United States Securities & Exchange Commission, deferring motion for clarification and for the Court to accept a filing, at docket entry 35, on behalf of Appellant Allen B. Gottlieb, by MP, SALM, MAK, copy to pro se appellants, FILED. [Entered: 08/15/2025 10:32 AM] [Edited: 08/15/2025 11:09 AM]
            ]]>
        </description>
                    <guid isPermaLink="false">https://dockets.justia.com#entry_30341469</guid>
                <pubDate>
            Fri, 15 Aug 2025 00:00:00 -0700
        </pubDate>
    </item>
                        <item>
        <title>
                            <![CDATA[Document 39]]>
                    </title>
                <description>
            <![CDATA[
                PAPERS, Motion to dismiss Phyllis's transferred florida from SDNY, RECEIVED. [Entered: 07/01/2025 10:26 AM] [Edited: 07/01/2025 10:29 AM]
            ]]>
        </description>
                    <guid isPermaLink="false">https://dockets.justia.com#entry_30341470</guid>
                <pubDate>
            Tue, 01 Jul 2025 00:00:00 -0700
        </pubDate>
    </item>
                        <item>
        <title>
                            <![CDATA[Document 38]]>
                    </title>
                <description>
            <![CDATA[
                MOTION ORDER, denying Motion for a waiver of the requirement to submit paper copies, on behalf of Appellant Allen B. Gottlieb, Appellant Phyllis Gottlieb, Appellants must submit the paper copies of their brief and appendix within seven days of the date of this order, by MP, copy to pro se appellant, FILED. [Entered: 06/12/2025 11:49 AM] [Edited: 06/13/2025 09:05 AM]
            ]]>
        </description>
                    <guid isPermaLink="false">https://dockets.justia.com#entry_30341471</guid>
                <pubDate>
            Thu, 12 Jun 2025 00:00:00 -0700
        </pubDate>
    </item>
                        <item>
        <title>
                            <![CDATA[Document 36]]>
                    </title>
                <description>
            <![CDATA[
                PAPERS, copy of Emergency Notice of Motion Cease and Desist, Dismisse Phyllis's Case, filed in the United States Distirct Court For the Southern District of New York, RECEIVED. [Entered: 05/23/2025 04:21 PM]
            ]]>
        </description>
                    <guid isPermaLink="false">https://dockets.justia.com#entry_28852769</guid>
                <pubDate>
            Fri, 23 May 2025 00:00:00 -0700
        </pubDate>
    </item>
                        <item>
        <title>
                            <![CDATA[Document 35]]>
                    </title>
                <description>
            <![CDATA[
                MOTION, for clarification of SEC's misdirection, on behalf of Appellant Allen B. Gottlieb, FILED. Service date 05/16/2025 by United States Mail. [Entered: 05/21/2025 04:56 PM]
            ]]>
        </description>
                    <guid isPermaLink="false">https://dockets.justia.com#entry_28852770</guid>
                <pubDate>
            Tue, 20 May 2025 00:00:00 -0700
        </pubDate>
    </item>
                        <item>
        <title>
                            <![CDATA[Document 34]]>
                    </title>
                <description>
            <![CDATA[
                DEFECTIVE DOCUMENT, Supplement of 27 returned filing and Evidentiary Hearing February10-11, 2025,, at docket entry 33, on behalf of Appellant Allen B. Gottlieb, FILED. [Entered: 05/07/2025 09:25 AM] [Edited: 05/07/2025 02:54 PM]
            ]]>
        </description>
                    <guid isPermaLink="false">https://dockets.justia.com#entry_28852771</guid>
                <pubDate>
            Wed, 07 May 2025 00:00:00 -0700
        </pubDate>
    </item>
                        <item>
        <title>
                            <![CDATA[Document 33]]>
                    </title>
                <description>
            <![CDATA[
                PAPERS, Supplement of 27 returned filing and Evidentiary Hearing February10-11, 2025, RECEIVED. [Entered: 05/07/2025 09:07 AM] [Edited: 05/07/2025 09:15 AM]
            ]]>
        </description>
                    <guid isPermaLink="false">https://dockets.justia.com#entry_28852772</guid>
                <pubDate>
            Wed, 07 May 2025 00:00:00 -0700
        </pubDate>
    </item>
                        <item>
        <title>
                            <![CDATA[Document 32]]>
                    </title>
                <description>
            <![CDATA[
                DEFECTIVE DOCUMENT, Motion, at docket entry 31, on behalf of Appellant Allen B. Gottlieb, copy to pro se appellant, FILED. [Entered: 05/06/2025 09:25 AM] [Edited: 05/06/2025 09:28 AM]
            ]]>
        </description>
                    <guid isPermaLink="false">https://dockets.justia.com#entry_28852773</guid>
                <pubDate>
            Tue, 06 May 2025 00:00:00 -0700
        </pubDate>
    </item>
                        <item>
        <title>
                            <![CDATA[Document 29]]>
                    </title>
                <description>
            <![CDATA[
                PAPERS, Mail receipt of the Brief, Appendix and Supplemental documents, RECEIVED. [Entered: 05/06/2025 08:58 AM]
            ]]>
        </description>
                    <guid isPermaLink="false">https://dockets.justia.com#entry_28852776</guid>
                <pubDate>
            Tue, 06 May 2025 00:00:00 -0700
        </pubDate>
    </item>
                        <item>
        <title>
                            <![CDATA[Document 31]]>
                    </title>
                <description>
            <![CDATA[
                MOTION, for summary judgment on grounds of lack of jurisdiction, on behalf of Appellant Allen B. Gottlieb, FILED. Service date 04/30/2025 by United States Mail. [Entered: 05/06/2025 09:10 AM]
            ]]>
        </description>
                    <guid isPermaLink="false">https://dockets.justia.com#entry_28852774</guid>
                <pubDate>
            Mon, 05 May 2025 00:00:00 -0700
        </pubDate>
    </item>
                        <item>
        <title>
                            <![CDATA[Document 30]]>
                    </title>
                <description>
            <![CDATA[
                OPPOSITION, to Motion to dismiss, at docket entry 25, on behalf of Appellant Allen B. Gottlieb, FILED. Service date 04/30/2025 by United States Mail. [Entered: 05/06/2025 09:06 AM]
            ]]>
        </description>
                    <guid isPermaLink="false">https://dockets.justia.com#entry_28852775</guid>
                <pubDate>
            Mon, 05 May 2025 00:00:00 -0700
        </pubDate>
    </item>
                        <item>
        <title>
                            <![CDATA[Document 28]]>
                    </title>
                <description>
            <![CDATA[
                BRIEF, on behalf of Appellant Allen B. Gottlieb, FILED. Service date 04/28/2025 by United States Mail. [Entered: 05/06/2025 08:50 AM]
            ]]>
        </description>
                    <guid isPermaLink="false">https://dockets.justia.com#entry_28852777</guid>
                <pubDate>
            Thu, 01 May 2025 00:00:00 -0700
        </pubDate>
    </item>
                        <item>
        <title>
                            <![CDATA[Document 27]]>
                    </title>
                <description>
            <![CDATA[
                APPENDIX, volume 1 of 1, (pp. 1 - 108), on behalf of Appellant Allen B. Gottlieb, FILED. Service date 04/28/2025 by United States Mail. [Entered: 05/06/2025 08:49 AM]
            ]]>
        </description>
                    <guid isPermaLink="false">https://dockets.justia.com#entry_28852778</guid>
                <pubDate>
            Thu, 01 May 2025 00:00:00 -0700
        </pubDate>
    </item>
                        <item>
        <title>
                            <![CDATA[Document 26]]>
                    </title>
                <description>
            <![CDATA[
                CURED DEFECTIVE DOCUMENT, Motion, at entry 25, on behalf of Appellee United States Securities & Exchange Commission, FILED. [Entered: 04/30/2025 09:39 AM]
            ]]>
        </description>
                    <guid isPermaLink="false">https://dockets.justia.com#entry_28852779</guid>
                <pubDate>
            Wed, 30 Apr 2025 00:00:00 -0700
        </pubDate>
    </item>
                        <item>
        <title>
                            <![CDATA[Document 25]]>
                    </title>
                <description>
            <![CDATA[
                MOTION, to dismiss, on behalf of Appellee United States Securities & Exchange Commission, FILED. Service date 04/28/2025 by Overnight Mail. [Entered: 04/29/2025 08:50 PM] [Edited: 05/02/2025 09:36 AM]
            ]]>
        </description>
                    <guid isPermaLink="false">https://dockets.justia.com#entry_28852780</guid>
                <pubDate>
            Tue, 29 Apr 2025 00:00:00 -0700
        </pubDate>
    </item>
                        <item>
        <title>
                            <![CDATA[Document 24]]>
                    </title>
                <description>
            <![CDATA[
                NEW CASE MANAGER, Dennisse Pizarro-Lebron, ASSIGNED. [Entered: 04/29/2025 03:00 PM]
            ]]>
        </description>
                    <guid isPermaLink="false">https://dockets.justia.com#entry_28852781</guid>
                <pubDate>
            Tue, 29 Apr 2025 00:00:00 -0700
        </pubDate>
    </item>
                        <item>
        <title>
                            <![CDATA[Document 23]]>
                    </title>
                <description>
            <![CDATA[
                DEFECTIVE DOCUMENT, Motion, at docket entry 22, on behalf of Appellee United States Securities & Exchange Commission, FILED. [Entered: 04/29/2025 08:25 AM]
            ]]>
        </description>
                    <guid isPermaLink="false">https://dockets.justia.com#entry_28852782</guid>
                <pubDate>
            Tue, 29 Apr 2025 00:00:00 -0700
        </pubDate>
    </item>
                        <item>
        <title>
                            <![CDATA[Document 22]]>
                    </title>
                <description>
            <![CDATA[
                MOTION, to dismiss, on behalf of Appellee United States Securities & Exchange Commission, FILED. Service date 04/28/2025 by Overnight Mail. [Entered: 04/28/2025 04:22 PM]
            ]]>
        </description>
                    <guid isPermaLink="false">https://dockets.justia.com#entry_28852783</guid>
                <pubDate>
            Mon, 28 Apr 2025 00:00:00 -0700
        </pubDate>
    </item>
                        <item>
        <title>
                            <![CDATA[Document 21]]>
                    </title>
                <description>
            <![CDATA[
                PAPERS, duplicate forms with the correct docket number and notice of motion directed to the SDNY, RECEIVED. [Entered: 04/24/2025 09:10 AM]
            ]]>
        </description>
                    <guid isPermaLink="false">https://dockets.justia.com#entry_28852784</guid>
                <pubDate>
            Thu, 24 Apr 2025 00:00:00 -0700
        </pubDate>
    </item>
                        <item>
        <title>
                            <![CDATA[Document 20]]>
                    </title>
                <description>
            <![CDATA[
                ATTORNEY, Theodore Weiman for Appellee United States Securities & Exchange Commission, ADDED. [Entered: 04/14/2025 03:00 PM]
            ]]>
        </description>
                    <guid isPermaLink="false">https://dockets.justia.com#entry_28852785</guid>
                <pubDate>
            Mon, 14 Apr 2025 00:00:00 -0700
        </pubDate>
    </item>
                        <item>
        <title>
                            <![CDATA[Document 15]]>
                    </title>
                <description>
            <![CDATA[
                NOTICE OF APPEARANCE AS SUBSTITUTE COUNSEL/ADDITIONAL COUNSEL, on behalf of United States Securities & Exchange Commission, FILED. [Entered: 04/14/2025 10:47 AM]
            ]]>
        </description>
                    <guid isPermaLink="false">https://dockets.justia.com#entry_28852790</guid>
                <pubDate>
            Mon, 14 Apr 2025 00:00:00 -0700
        </pubDate>
    </item>
                        <item>
        <title>
                            <![CDATA[Document 19]]>
                    </title>
                <description>
            <![CDATA[
                ORAL ARGUMENT STATEMENT LR 34.1 (a), on behalf of Appellant Phyllis Gottlieb, FILED. Service date 04/06/2025 by United States Mail. [Entered: 04/14/2025 02:58 PM]
            ]]>
        </description>
                    <guid isPermaLink="false">https://dockets.justia.com#entry_28852786</guid>
                <pubDate>
            Fri, 11 Apr 2025 00:00:00 -0700
        </pubDate>
    </item>
                        <item>
        <title>
                            <![CDATA[Document 18]]>
                    </title>
                <description>
            <![CDATA[
                LR 31.2 SCHEDULING NOTIFICATION, on behalf of Appellant Allen B. Gottlieb, Appellant Phyllis Gottlieb, informing Court of proposed due date 04/25/2025, RECEIVED. Service date 04/06/2025 by United States Mail. [Entered: 04/14/2025 02:55 PM]
            ]]>
        </description>
                    <guid isPermaLink="false">https://dockets.justia.com#entry_28852787</guid>
                <pubDate>
            Fri, 11 Apr 2025 00:00:00 -0700
        </pubDate>
    </item>
                        <item>
        <title>
                            <![CDATA[Document 17]]>
                    </title>
                <description>
            <![CDATA[
                FORM D-P, on behalf of Appellant Phyllis Gottlieb, FILED. Service date 04/06/2025 by United States Mail. [Entered: 04/14/2025 02:51 PM]
            ]]>
        </description>
                    <guid isPermaLink="false">https://dockets.justia.com#entry_28852788</guid>
                <pubDate>
            Fri, 11 Apr 2025 00:00:00 -0700
        </pubDate>
    </item>
                        <item>
        <title>
                            <![CDATA[Document 16]]>
                    </title>
                <description>
            <![CDATA[
                ACKNOWLEDGMENT AND NOTICE OF APPEARANCE, on behalf of Appellant Phyllis Gottlieb, FILED. Service date 04/06/2025 by United States Mail. [Entered: 04/14/2025 02:49 PM]
            ]]>
        </description>
                    <guid isPermaLink="false">https://dockets.justia.com#entry_28852789</guid>
                <pubDate>
            Fri, 11 Apr 2025 00:00:00 -0700
        </pubDate>
    </item>
                        <item>
        <title>
                            <![CDATA[Document 14]]>
                    </title>
                <description>
            <![CDATA[
                FORM D-P, on behalf of Appellant Allen B. Gottlieb, Appellant Phyllis Gottlieb, FILED. Service date 04/04/2025 by United States Mail. [Entered: 04/11/2025 03:36 PM]
            ]]>
        </description>
                    <guid isPermaLink="false">https://dockets.justia.com#entry_28852791</guid>
                <pubDate>
            Fri, 11 Apr 2025 00:00:00 -0700
        </pubDate>
    </item>
                        <item>
        <title>
                            <![CDATA[Document 13]]>
                    </title>
                <description>
            <![CDATA[
                ACKNOWLEDGMENT AND NOTICE OF APPEARANCE, on behalf of Appellant Allen B. Gottlieb, Appellant Phyllis Gottlieb, FILED. Service date 04/04/2025 by United States Mail. [Entered: 04/11/2025 03:32 PM]
            ]]>
        </description>
                    <guid isPermaLink="false">https://dockets.justia.com#entry_28852792</guid>
                <pubDate>
            Fri, 11 Apr 2025 00:00:00 -0700
        </pubDate>
    </item>
                        <item>
        <title>
                            <![CDATA[Document 12]]>
                    </title>
                <description>
            <![CDATA[
                ACKNOWLEDGMENT AND NOTICE OF APPEARANCE, on behalf of Appellee United States Securities & Exchange Commission, FILED. Service date 04/11/2025 by Overnight Mail. [Entered: 04/11/2025 12:20 PM]
            ]]>
        </description>
                    <guid isPermaLink="false">https://dockets.justia.com#entry_28852793</guid>
                <pubDate>
            Fri, 11 Apr 2025 00:00:00 -0700
        </pubDate>
    </item>
                        <item>
        <title>
                            <![CDATA[Document 11]]>
                    </title>
                <description>
            <![CDATA[
                ATTORNEY, Brooke Wagner for Appellee United States Securities & Exchange Commission, ADDED. [Entered: 04/11/2025 11:46 AM]
            ]]>
        </description>
                    <guid isPermaLink="false">https://dockets.justia.com#entry_28852794</guid>
                <pubDate>
            Fri, 11 Apr 2025 00:00:00 -0700
        </pubDate>
    </item>
                        <item>
        <title>
                            <![CDATA[Document 10]]>
                    </title>
                <description>
            <![CDATA[
                NOTICE OF APPEARANCE AS SUBSTITUTE COUNSEL/ADDITIONAL COUNSEL, on behalf of United States Securities & Exchange Commission, FILED. [Entered: 04/11/2025 10:56 AM]
            ]]>
        </description>
                    <guid isPermaLink="false">https://dockets.justia.com#entry_28852795</guid>
                <pubDate>
            Fri, 11 Apr 2025 00:00:00 -0700
        </pubDate>
    </item>
                        <item>
        <title>
                            <![CDATA[Document 9]]>
                    </title>
                <description>
            <![CDATA[
                NOTICE, to Appellee United States Securities & Exchange Commission, for failure to file an appearance, SENT. [Entered: 04/10/2025 08:36 PM]
            ]]>
        </description>
                    <guid isPermaLink="false">https://dockets.justia.com#entry_28852796</guid>
                <pubDate>
            Thu, 10 Apr 2025 00:00:00 -0700
        </pubDate>
    </item>
                        <item>
        <title>
                            <![CDATA[Document 8]]>
                    </title>
                <description>
            <![CDATA[
                ORDER, dated 04/10/2025, dismissing appeal by 05/01/2025, unless Appellants Allen B. Gottlieb and Phyllis Gottlieb, submit Form D-P, copy to pro se appellants, FILED. [Entered: 04/10/2025 08:04 PM]
            ]]>
        </description>
                    <guid isPermaLink="false">https://dockets.justia.com#entry_28852797</guid>
                <pubDate>
            Thu, 10 Apr 2025 00:00:00 -0700
        </pubDate>
    </item>
                        <item>
        <title>
                            <![CDATA[Document 7]]>
                    </title>
                <description>
            <![CDATA[
                ORDER, dated 04/10/2025, dismissing appeal by 05/01/2025, unless Appellants Allen B. Gottlieb and Phyllis Gottlieb, submit an Acknowledgment and Notice of Appearance Form, copy to pro se appellants, FILED. [Entered: 04/10/2025 07:29 PM]
            ]]>
        </description>
                    <guid isPermaLink="false">https://dockets.justia.com#entry_28852798</guid>
                <pubDate>
            Thu, 10 Apr 2025 00:00:00 -0700
        </pubDate>
    </item>
                        <item>
        <title>
                            <![CDATA[Document 6]]>
                    </title>
                <description>
            <![CDATA[
                INSTRUCTIONAL FORMS, to Pro Se Appellants, SENT. [Entered: 03/26/2025 04:35 PM]
            ]]>
        </description>
                    <guid isPermaLink="false">https://dockets.justia.com#entry_28204921</guid>
                <pubDate>
            Wed, 26 Mar 2025 00:00:00 -0700
        </pubDate>
    </item>
                        <item>
        <title>
                            <![CDATA[Document 5]]>
                    </title>
                <description>
            <![CDATA[
                CIVIL APPEAL, on behalf of Appellant Allen B. Gottlieb, Phyllis Gottlieb, received on 03/25/2025, OPENED. [Entered: 03/26/2025 04:33 PM]
            ]]>
        </description>
                    <guid isPermaLink="false">https://dockets.justia.com#entry_28204922</guid>
                <pubDate>
            Wed, 26 Mar 2025 00:00:00 -0700
        </pubDate>
    </item>
                        <item>
        <title>
                            <![CDATA[Document 4]]>
                    </title>
                <description>
            <![CDATA[
                ELECTRONIC INDEX, in lieu of record, FILED. [Entered: 03/26/2025 04:30 PM]
            ]]>
        </description>
                    <guid isPermaLink="false">https://dockets.justia.com#entry_28204923</guid>
                <pubDate>
            Tue, 25 Mar 2025 00:00:00 -0700
        </pubDate>
    </item>
                        <item>
        <title>
                            <![CDATA[Document 3]]>
                    </title>
                <description>
            <![CDATA[
                PAYMENT OF DOCKETING FEE, on behalf of Appellant Allen B. Gottlieb, Phyllis Gottlieb, district court receipt #38410, FILED. [Entered: 03/26/2025 04:27 PM]
            ]]>
        </description>
                    <guid isPermaLink="false">https://dockets.justia.com#entry_28204924</guid>
                <pubDate>
            Tue, 25 Mar 2025 00:00:00 -0700
        </pubDate>
    </item>
                        <item>
        <title>
                            <![CDATA[Document 2]]>
                    </title>
                <description>
            <![CDATA[
                DISTRICT COURT ORDER, dated 03/17/2025, RECEIVED. [Entered: 03/26/2025 04:25 PM]
            ]]>
        </description>
                    <guid isPermaLink="false">https://dockets.justia.com#entry_28204925</guid>
                <pubDate>
            Tue, 25 Mar 2025 00:00:00 -0700
        </pubDate>
    </item>
                        <item>
        <title>
                            <![CDATA[Document 1]]>
                    </title>
                <description>
            <![CDATA[
                NOTICE OF CIVIL APPEAL, with district court docket, on behalf of Appellant Allen B. Gottlieb, Phyllis Gottlieb, FILED. [Entered: 03/26/2025 04:24 PM]
            ]]>
        </description>
                    <guid isPermaLink="false">https://dockets.justia.com#entry_28204926</guid>
                <pubDate>
            Tue, 25 Mar 2025 00:00:00 -0700
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