Securities and Exchange Commission v. Cetera Advisors LLC
Plaintiff: Securities and Exchange Commission
Defendant: CETERA ADVISORS LLC and Cetera Advisor Networks LLC
Case Number: 1:2019cv02461
Filed: August 29, 2019
Court: US District Court for the District of Colorado
Presiding Judge: Michael E Hegarty
Nature of Suit: Securities, Commodities, Exchange
Cause of Action: 15 U.S.C. ยง 0080
Jury Demanded By: Plaintiff
Docket Report

This docket was last retrieved on September 25, 2020. A more recent docket listing may be available from PACER.

Date Filed Document Text
October 18, 2019 Filing 22 NOTICE of Entry of Appearance by Malinda Pileggi on behalf of Securities and Exchange CommissionAttorney Malinda Pileggi added to party Securities and Exchange Commission(pty:pla) (Pileggi, Malinda)
October 18, 2019 Filing 21 NOTICE of Entry of Appearance by Andrew C. Shoenthal on behalf of Securities and Exchange CommissionAttorney Andrew C. Shoenthal added to party Securities and Exchange Commission(pty:pla) (Shoenthal, Andrew)
October 17, 2019 Opinion or Order Filing 20 MINUTE ORDER granting #18 Motion for Extension of Time to Answer or Otherwise Respond by Magistrate Judge Michael E. Hegarty on 10/17/2019. Cetera Advisor Networks LLC answer due 12/10/2020; Cetera Advisors LLC answer due 12/10/2020. Consent Form due by 12/20/2019. Proposed Scheduling Order due 12/19/2019. Scheduling Conference is VACATED and RESET to 1/14/2020 10:00 AM in Courtroom A 501 before Magistrate Judge Michael E. Hegarty. (tsher, ) Modified on 10/21/2019 to correct answer deadlines (tsher, ).
October 16, 2019 Filing 19 ADVISORY NOTICE OF NONCOMPLIANCE WITH COURT RULES/PROCEDURES re: #16 Notice of Entry of Appearance and #17 Notice of Entry of Appearance filed by attorney Phillip M. Goldberg. The s/signature did not match the filers name on the account for which the login and password are registered. DO NOT REFILE THE DOCUMENT. Action to take - future documents must be filed pursuant to D.C.COLO.LCivR 5.1(a) and 4.3(c) of the Electronic Case Filing Procedures (Civil cases).(Text Only Entry) (tsher, )
October 16, 2019 Filing 18 Joint MOTION for Extension of Time to File Answer or Otherwise Respond to SEC's Amended Complaint and to Reset Additional Dates Set By the September 17, 2019 Minute Order by Defendants Cetera Advisor Networks LLC, Cetera Advisors LLC. (Attachments: #1 Proposed Order (PDF Only))(Goldberg, Phillip)
October 16, 2019 Filing 17 NOTICE of Entry of Appearance of Joshua L. Harris by Phillip M. Goldberg on behalf of Cetera Advisor Networks LLC, Cetera Advisors LLC (Goldberg, Phillip)
October 16, 2019 Filing 16 NOTICE of Entry of Appearance of Margaret Gembala Nelson by Phillip M. Goldberg on behalf of Cetera Advisor Networks LLC, Cetera Advisors LLC (Goldberg, Phillip)
October 16, 2019 Filing 15 NOTICE of Entry of Appearance by Phillip M. Goldberg on behalf of All Defendants Attorney Phillip M. Goldberg added to party Cetera Advisor Networks LLC(pty:dft), Attorney Phillip M. Goldberg added to party Cetera Advisors LLC(pty:dft) (Goldberg, Phillip)
October 15, 2019 Filing 14 WAIVER OF SERVICE Returned Executed by Securities and Exchange Commission. Cetera Advisor Networks LLC waiver sent on 10/11/2019, answer due 12/10/2019. (Martin, Christopher)
October 11, 2019 Filing 13 SUMMONS issued by Clerk. (Attachments: #1 Magistrate Judge Consent Form) (tsher, )
October 11, 2019 Filing 12 SUMMONS REQUEST as to Cetera Advisor Networks LLC re #11 Amended Complaint by Plaintiff Securities and Exchange Commission. (Martin, Christopher)
October 11, 2019 Filing 11 AMENDED COMPLAINT against Cetera Advisors LLC, Cetera Advisor Networks LLC, filed by Securities and Exchange Commission.(Martin, Christopher)
October 11, 2019 Filing 10 NOTICE re #1 Complaint, (Notice of Filing Amended Complaint) by Plaintiff Securities and Exchange Commission (Attachments: #1 Exhibit A- Reline Amended Complaint)(Martin, Christopher)
September 17, 2019 Opinion or Order Filing 9 MINUTE ORDER by Magistrate Judge Michael E. Hegarty on 9/17/2019. Consent Form due by 10/29/2019. Scheduling Conference is VACATED and RESET to 11/18/2019 01:30 PM in Courtroom A 501 before Magistrate Judge Michael E. Hegarty. (tsher, )
September 6, 2019 Filing 8 WAIVER OF SERVICE Returned Executed by Securities and Exchange Commission. Cetera Advisors LLC waiver sent on 9/4/2019, answer due 11/4/2019. (Kasper, Gregory)
September 4, 2019 Filing 7 NOTICE of Entry of Appearance by Gregory Alan Kasper on behalf of Securities and Exchange CommissionAttorney Gregory Alan Kasper added to party Securities and Exchange Commission(pty:pla) (Kasper, Gregory)
September 4, 2019 Opinion or Order Filing 6 MINUTE ORDER by Magistrate Judge Michael E. Hegarty on 9/4/2019. Consent Form due by 10/15/2019. Scheduling Conference set for 11/4/2019 10:00 AM in Courtroom A 501 before Magistrate Judge Michael E. Hegarty. (tsher, )
September 3, 2019 Filing 5 Magistrate Judge consent form issued pursuant to D.C.COLO.LCivR 40.1, direct assignment of civil actions to full time magistrate judges. (athom, )
September 3, 2019 Filing 4 MEMORANDUM RETURNING CASE by Senior Judge Blackburn. This case is randomly reassigned to Magistrate Judge Michael E. Hegarty. All future pleadings should be designated as 19-cv-02461-MEH. (athom, )
August 30, 2019 Filing 3 SUMMONS issued by Clerk. (Attachments: #1 Magistrate Judge Consent Form) (agarc, )
August 29, 2019 Filing 2 Case assigned to Judge Robert E. Blackburn and drawn to Magistrate Judge Nina Y. Wang. Text Only Entry. (agarc, )
August 29, 2019 Filing 1 COMPLAINT against CETERA ADVISORS LLC Attorney Christopher Everett Martin added to party Securities and Exchange Commission(pty:pla), filed by Securities and Exchange Commission. (Attachments: #1 Civil Cover Sheet, #2 Summons)(Martin, Christopher)

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Defendant: CETERA ADVISORS LLC
Represented By: Phillip M. Goldberg
Represented By: Margaret G. Nelson
Represented By: Joshua Lamar Harris
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Defendant: Cetera Advisor Networks LLC
Represented By: Phillip M. Goldberg
Represented By: Margaret G. Nelson
Represented By: Joshua Lamar Harris
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Plaintiff: Securities and Exchange Commission
Represented By: Christopher Everett Martin
Represented By: Gregory Alan Kasper
Represented By: Andrew C. Shoenthal
Represented By: Malinda Pileggi
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