Frank Black v. SEC
| FRANK HARMON BLACK and SOUTHEAST INVESTMENTS, N.C., INC. |
| SECURITIES & EXCHANGE COMMISSION and FINANCIAL INDUSTRY REGULATORY AUTHORITY |
| 26-1357 |
| March 31, 2026 |
| U.S. Court of Appeals, Fourth Circuit |
| Other Civil Rights |
Docket Report
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This docket was last retrieved on May 4, 2026. A more recent docket listing may be available from PACER.
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Filing 22
ORDER filed extending briefing order deadlines and administratively terminating Motion to amend/correct [ # 21 ]. Opening brief and appendix due 07/01/2026. Response brief due 08/17/2026. No paper copies required unless case has been tentatively calendared or copies otherwise ordered. Copies to all parties. [1001972664] [26-1357] RP [Entered: 05/04/2026 02:56 PM]
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| Filing 21 MOTION by Frank Harmon Black and Southeast Investments, N.C., INC. to amend/correct briefing schedule. Date and method of service: 05/04/2026 ecf. [1001972416] [26-1357] Aditya Dynar [Entered: 05/04/2026 12:00 PM] |
| Filing 20 Returned mail received from Frank Harmon Black and Southeast Investments, N.C., INC. re [ # 3 ] briefing order , [ # 2 ] docketing Notice. What action was taken to correct address and re-serve document? None, partys are represented by other counsel [1001963843] [26-1357] RP [Entered: 04/21/2026 09:33 AM] |
| Filing 19 APPEARANCE OF COUNSEL by Giuliana Carozza Cipollone for Financial Industry Regulatory Authority. [1001961702] [26-1357] Giuliana Cipollone [Entered: 04/16/2026 09:48 AM] |
| Filing 18 APPEARANCE OF COUNSEL by Amalia Reiss for Financial Industry Regulatory Authority. [1001961689] [26-1357] Amalia Reiss [Entered: 04/16/2026 09:43 AM] |
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Filing 17
ORDER filed denying Motion to consolidate case [ # 9 ]. Copies to all parties. [1001958950] [26-1357] RP [Entered: 04/10/2026 02:20 PM]
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| Filing 16 RESPONSE/ANSWER by SEC to notice requesting response [ # 10 ], Motion to consolidate case [ # 9 ]. Nature of response: in opposition. [1001958846] [26-1357] Caroline Tan [Entered: 04/10/2026 01:06 PM] |
| Filing 15 APPEARANCE OF COUNSEL by Alex Gesch for Financial Industry Regulatory Authority. [1001958552] [26-1357] Alex Gesch [Entered: 04/10/2026 09:25 AM] |
| Filing 14 DISCLOSURE STATEMENT by Financial Industry Regulatory Authority. Was any question on Disclosure Form answered yes? No [1001958546] [26-1357] Amir Tayrani [Entered: 04/10/2026 09:20 AM] |
| Filing 13 APPEARANCE OF COUNSEL by Amir C. Tayrani for Financial Industry Regulatory Authority. [1001958543] [26-1357] Amir Tayrani [Entered: 04/10/2026 09:18 AM] |
| Filing 12 NOTICE re: Transcript Order by Frank Harmon Black and Southeast Investments, N.C., INC.. [1001956485] [26-1357] Aditya Dynar [Entered: 04/07/2026 02:35 PM] |
| Filing 11 APPEARANCE OF COUNSEL by Caroline W. Tan for SEC. [1001955595] [26-1357] Caroline Tan [Entered: 04/06/2026 11:49 AM] |
| Filing 10 NOTICE ISSUED to Financial Industry Regulatory Authority and SEC requesting response to Motion to consolidate cases [ # 9 ]. Response due 04/13/2026. Mailed to: Pitz, Pezzi.[1001955042]. [26-1357] AW [Entered: 04/03/2026 02:33 PM] |
| Filing 9 MOTION by Frank Harmon Black and Southeast Investments, N.C., INC. to consolidate case 25-1718, 26-1278, 26-1307 with 26-1357. Date and method of service: 04/03/2026 ecf. [1001954988] [26-1357] Aditya Dynar [Entered: 04/03/2026 01:21 PM] |
| Filing 8 DOCKETING STATEMENT by Frank Harmon Black and Southeast Investments, N.C., INC... [1001954028] [26-1357] Aditya Dynar [Entered: 04/01/2026 06:08 PM] |
| Filing 7 DISCLOSURE STATEMENT by Southeast Investments, N.C., INC.. Was any question on Disclosure Form answered yes? No [1001954026] [26-1357] Aditya Dynar [Entered: 04/01/2026 06:07 PM] |
| Filing 6 DISCLOSURE STATEMENT by Frank Harmon Black. Was any question on Disclosure Form answered yes? No [1001954024] [26-1357] Aditya Dynar [Entered: 04/01/2026 06:04 PM] |
| Filing 5 APPEARANCE OF COUNSEL by Cameron Halling for Frank Harmon Black and Southeast Investments, N.C., INC.. [1001954021] [26-1357] Cameron Halling [Entered: 04/01/2026 05:54 PM] |
| Filing 4 APPEARANCE OF COUNSEL by Aditya Dynar for Frank Harmon Black and Southeast Investments, N.C., INC.. [1001954019] [26-1357] Aditya Dynar [Entered: 04/01/2026 05:51 PM] |
| Filing 3 BRIEFING ORDER filed. Mailed to: Stephen M. Pezzi, Taylor Pitz and Ruth Campbell Smith. No paper copies required unless case has been tentatively calendared or copies otherwise ordered. All filings must comply with # Appendix Pagination & Brief Citation Guide . [1001952586] Opening Brief and Appendix due 05/11/2026. Response Brief due 06/10/2026. [26-1357] RP [Entered: 03/31/2026 10:57 AM] |
| Filing 2 DOCKETING NOTICE issued Re: [ # 1 ] case. Originating case number: 3:23-cv-00709-MEO-DCK. Mailed to: Stephen M. Pezzi, Taylor Pitz and Ruth Campbell Smith. [1001952579] [26-1357] RP [Entered: 03/31/2026 10:53 AM] |
| Filing 1 Case docketed. Originating case number: 3:23-cv-00709-MEO-DCK. Case manager: RPhillips. [1001952563] [26-1357] RP [Entered: 03/31/2026 10:40 AM] |
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