United States Securities and Exchange Commission v. Ward, et al.
| UNITED STATES SECURITIES AND EXCHANGE COMMISSION |
| JEFFREY WARD, ANTHONY SPENCER, SEAN KELLY, RED ROCK SECURED, LLC, MORGAN STANLEY SMITH BARNEY, LLC, YNWA CONSULTING, LLC and BANK OF AMERICA, N.A. |
| 25-4342 |
| July 15, 2025 |
| U.S. Court of Appeals, Ninth Circuit |
| Securities, Commodities, Exchange |
Docket Report
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This docket was last retrieved on December 23, 2025. A more recent docket listing may be available from PACER.
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Filing 21
ORDER FILED. Richard R. CLIFTON, Daniel A. BRESS The motions (Docket Entry No. 9 in 25-4341; Docket Entry No. 9 in 25-4342) to stay execution of the judgment pending appeal are denied. The existing briefing schedule remains in effect. [25-4341, 25-4342] [Entered: 12/23/2025 04:00 PM]
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Filing 20
ORDER FILED. These appeals are consolidated. The motions (Docket Entry Nos. 14 & 15 in 25-4341) for suspension of deadlines and extensions of time to respond to the motions to stay execution of the judgment pending appeal are moot. The motions (Docket Entry Nos. 16 & 20 in 25-4341) for an extension of time to file the opening briefs are granted. The opening briefs are due January 20, 2026. The consolidated answering brief is due February 19, 2026. The optional consolidated reply briefs are due 21 days after the consolidated answering brief is served. [25-4341, 25-4342] [Entered: 12/17/2025 03:04 PM]
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Filing 19
ORDER FILED. The motion (Docket Entry No. 18) for an extension of time to file the opening brief is granted. The opening brief is due January 20, 2026. The answering brief is due February 19, 2026. The optional reply brief is due 21 days after the answering brief is served. The motions (Docket Entry Nos. 13 & 14) to stay appellate proceedings and for an extension of time to file the opening brief are denied as moot. [Entered: 12/15/2025 05:00 PM]
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| Filing 18 MOTION to Extend Time to File Brief filed by Appellant Jeffrey Ward. [Entered: 12/12/2025 09:13 AM] |
| Filing 17 REPLY to Response to Motion to Stay Lower Court or Agency Proceedings, Order, or Judgment (DE 16) filed by Appellant Jeffrey Ward. [Entered: 12/10/2025 03:46 PM] |
| Filing 16 RESPONSE to Motion to Stay Lower Court or Agency Proceedings, Order, or Judgment (DE 9) filed by Appellee United States Securities and Exchange Commission. [Entered: 12/03/2025 12:01 PM] |
| Filing 15 On November 13, 2025, the court issued a global order resetting the non-jurisdictional filing deadlines for federally funded attorneys (including FPDs and CJA counsel), that had been stayed by the courts October 1, 2025 Supplemental Administrative Order. If your deadlines were suspended by the October 1 Administrative Order, please review the #Order Resetting Deadlines, available on the courts website, to find your new deadlines. [Entered: 11/14/2025 04:39 PM] |
| Filing 14 MOTION to Extend Time to File Brief filed by Appellant Jeffrey Ward. [Entered: 10/27/2025 06:59 PM] |
| Filing 13 MOTION to Stay Proceedings in this Court filed by Appellee United States Securities and Exchange Commission. [Court entered filing, PDF from DE 12] [Entered: 10/01/2025 09:47 AM] |
| Filing 12 MOTION to Extend Time to Respond to Appellants' motion to stay execution of the judgment pending appeal (DE 9) filed by Appellee United States Securities and Exchange Commission. [Entered: 10/01/2025 07:09 AM] |
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Filing 11
ORDER FILED. Streamlined Request for Extension of Time to File Brief (DE 10) granted. Amended briefing schedule: Opening Brief Due (Appellant) 11/3/2025, Answering Brief Due (Appellee) 12/3/2025. Optional Reply Brief due 21 days after service of Answering Brief. All briefs shall be served and filed pursuant to FRAP 31 and 9th Cir. R. 31-2.1. [Entered: 09/29/2025 03:07 PM]
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| Filing 10 Streamlined Request for Extension of Time to File Brief filed by Appellant Jeffrey Ward. [Entered: 09/29/2025 11:40 AM] |
| Filing 9 MOTION to Stay Lower Court or Agency Proceedings/Order/Judgment filed by Appellant Jeffrey Ward. [Entered: 09/25/2025 01:11 PM] |
| Filing 8 RELEASED FROM MEDIATION (text only). This case is released from the Mediation Program. Counsel are requested to contact the Circuit Mediator should circumstances develop that warrant settlement discussions. The briefing schedule previously set by the court remains in effect. [25-4341, 25-4342, 25-4346] [Entered: 08/06/2025 04:23 PM] |
| Filing 7 NOTICE of Transcript Designation filed by Appellant Jeffrey Ward. [Entered: 07/25/2025 09:20 AM] |
| Filing 6 MEDIATION ORDER: By 8/5/2025, counsel to email Circuit Mediator regarding settlement potential. Include Ninth Circuit case name and number in subject line. This communication will be kept confidential, if requested, and should not be filed with the court. The existing briefing schedule remains in effect. SEE ORDER FOR DETAILS. [Entered: 07/24/2025 12:22 PM] |
| Filing 5 MEDIATION QUESTIONNAIRE filed by Appellant Jeffrey Ward. To submit pertinent confidential information directly to the Circuit Mediators, please email #[email protected] and include the case name and number in the subject line. Confidential submissions may include any information relevant to mediation of the case and settlement potential, including, but not limited to, settlement history, ongoing or potential settlement discussions, non-litigated party related issues, other pending actions, and timing considerations that may impact mediation efforts. [Entered: 07/21/2025 05:33 PM] |
| Filing 4 Attorney Paul Gerard Alvarez as Counsel for Appellee substituted for Attorney Stephen Kam. [Entered: 07/17/2025 09:31 AM] |
| Filing 3 NOTICE OF APPEARANCE by Paul Gerard Alvarez for Appellee United States Securities and Exchange Commission replacing Stephen Kam. [Entered: 07/17/2025 03:49 AM] |
| Filing 2 SCHEDULE NOTICE. Mediation Questionnaire due (Appellant) 7/21/2025, Appeal Transcript Order Due (Appellant) 7/25/2025, Appeal Transcript Due (Appellant) 8/25/2025, Appeal Opening Brief Due (Appellant) 10/3/2025, Appeal Answering Brief Due (Appellee) 11/3/2025. For appeal no. 25-4342, 2:23-cv-03682-RGK-PVC. All briefs shall be served and filed pursuant to FRAP 31 and 9th Cir. R. 31-2.1. Failure of the petitioner(s)/appellant(s) to comply with this briefing schedule will result in automatic dismissal of the appeal. See 9th Cir. R. 42-1. [Entered: 07/15/2025 11:55 AM] |
| Filing 1 CASE OPENED. A copy of your notice of appeal / petition filed in 2:23-cv-03682-RGK-PVC has been received in the Clerk's office of the United States Court of Appeals for the Ninth Circuit. The U.S. Court of Appeals docket number 25-4342 has been assigned to this case. All communications with the court must indicate this Court of Appeals docket number. Please carefully review the docket to ensure the name(s) and contact information are correct. It is your responsibility to alert the court if your contact information changes. Resources Available For more information about case processing and to assist you in preparing your brief, please review the Case Opening Information (for #attorneys and #pro se litigants) and review the #Appellate Practice Guide. Attorneys should consider contacting the court's #Appellate Mentoring Program for help with the brief and argument. [Entered: 07/15/2025 11:53 AM] |
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