Security and Exchange Commission v. Sugranes et al
Plaintiff: Security and Exchange Commission
Defendant: Ramiro Sugranes Hernandez, Ramiro Jose Sugranes, UCB Financial Advisers, Inc., UCB Financial Services Limited and Thelma Lanzas De Sugranes
Case Number: 1:2021cv22152
Filed: June 10, 2021
Court: US District Court for the Southern District of Florida
Presiding Judge: Marcia G Cooke
Referring Judge: John J O'Sullivan
Nature of Suit: Securities/Commodities
Cause of Action: 15 U.S.C. ยง 0077
Jury Demanded By: Defendant
Docket Report

This docket was last retrieved on July 22, 2021. A more recent docket listing may be available from PACER.

Date Filed Document Text
July 22, 2021 Filing 33 Corporate Disclosure Statement by Ramiro Jose Sugranes, UCB Financial Advisers, Inc., UCB Financial Services Limited identifying Other Affiliate Lina Maria Garcia, Other Affiliate UCB Financial Adviser Limited, Other Affiliate Miguel Rishmague, Other Affiliate Odde J. Rishmague, Other Affiliate UCB Holdings Corp., Other Affiliate Golden Eagle Trust for UCB Financial Advisers, Inc. (Hunter, Mark)
July 20, 2021 Filing 32 ANSWER and Affirmative Defenses to Complaint with Jury Demand by Ramiro Jose Sugranes, UCB Financial Advisers, Inc., UCB Financial Services Limited. (Hunter, Mark)
July 20, 2021 Filing 31 ANSWER and Affirmative Defenses to Complaint with Jury Demand by Thelma Lanzas De Sugranes, Ramiro Sugranes Hernandez. (Cox, Jeffrey)
July 9, 2021 Filing 30 NOTICE of Compliance by Ramiro Jose Sugranes, UCB Financial Advisers, Inc., UCB Financial Services Limited re #24 Order on Motion for Preliminary Injunction, (Hunter, Mark)
July 9, 2021 Filing 29 NOTICE of Compliance by Thelma Lanzas De Sugranes, Ramiro Sugranes Hernandez re #24 Order on Motion for Preliminary Injunction, (Cox, Jeffrey)
June 30, 2021 Filing 28 NOTICE of Attorney Appearance by James D. Sallah on behalf of Thelma Lanzas De Sugranes, Ramiro Sugranes Hernandez. Attorney James D. Sallah added to party Thelma Lanzas De Sugranes(pty:dft), Attorney James D. Sallah added to party Ramiro Sugranes Hernandez(pty:dft). (Sallah, James)
June 25, 2021 Opinion or Order Filing 27 ENDORSED ORDER granting #26 Motion for Extension of Time. Signed by Judge Marcia G. Cooke on 6/25/2021. (bai)
June 25, 2021 Filing 26 Unopposed MOTION for Extension of Time to move, answer, or otherwise respond filed jointly with Relief Defendants re #1 Complaint, by Ramiro Jose Sugranes, UCB Financial Advisers, Inc., UCB Financial Services Limited. Responses due by 7/9/2021 (Hunter, Mark)
June 25, 2021 Filing 25 CERTIFICATE OF SERVICE by Security and Exchange Commission re #1 Complaint, PLAINTIFF'S NOTICE OF SERVICE OF SUMMONS AND COMPLAINT ON RELIEF DEFENDANTS RAMIRO SUGRANES HERNANDEZ AND THELMA LANZAS DE SUGRANES (Attachments: #1 Exhibit A- Email)(Martin, Christopher)
June 25, 2021 Opinion or Order Filing 24 ORDER GRANTING UNOPPOSED MOTION FOR PRELIMINARY INJUNCTION, ASSET FREEZE, AND OTHER RELIEF AND CANCELLING PRELIMINARY INJUNCTION HEARING re #19 Motion for Preliminary Injunction. Signed by Judge Marcia G. Cooke on 6/25/2021. See attached document for full details. (ebz) Modified text on 6/25/2021 (ebz).
June 25, 2021 Filing 23 SUMMONS (Affidavit) Returned Executed on #1 Complaint, with a 21 day response/answer filing deadline pursuant to Fed. R. Civ. P. 12 by Security and Exchange Commission. Ramiro Jose Sugranes served on 6/15/2021, answer due 7/6/2021. (Martin, Christopher)
June 25, 2021 Filing 22 SUMMONS (Affidavit) Returned Executed on #1 Complaint, with a 21 day response/answer filing deadline pursuant to Fed. R. Civ. P. 12 by Security and Exchange Commission. UCB Financial Services Limited served on 6/16/2021, answer due 7/7/2021. (Martin, Christopher)
June 25, 2021 Filing 21 SUMMONS (Affidavit) Returned Executed on #1 Complaint, with a 21 day response/answer filing deadline pursuant to Fed. R. Civ. P. 12 by Security and Exchange Commission. UCB Financial Advisers, Inc. served on 6/15/2021, answer due 7/6/2021. (Martin, Christopher)
June 22, 2021 Filing 20 NOTICE of Attorney Appearance by Jeffrey L. Cox on behalf of Thelma Lanzas De Sugranes, Ramiro Sugranes Hernandez. Attorney Jeffrey L. Cox added to party Thelma Lanzas De Sugranes(pty:dft), Attorney Jeffrey L. Cox added to party Ramiro Sugranes Hernandez(pty:dft). (Cox, Jeffrey)
June 22, 2021 Filing 19 Unopposed MOTION for Preliminary Injunction Asset Freeze, and Other Relief Against Defendants Ramiro Jose Sugranes, UCB Financial Advisers, Inc., and UCB Financial Services Limited, and Relief Defendants Ramiro Sugranes Hernandez and Thelma Lanzas De Sugranes by Security and Exchange Commission. (Attachments: #1 Exhibit A- Signed Consents, #2 Exhibit B- Proposed Order)(Martin, Christopher)
June 18, 2021 Filing 18 NOTICE of Attorney Appearance by Sharifa Giselle Hunter on behalf of Ramiro Jose Sugranes, UCB Financial Advisers, Inc., UCB Financial Services Limited. Attorney Sharifa Giselle Hunter added to party Ramiro Jose Sugranes(pty:dft), Attorney Sharifa Giselle Hunter added to party UCB Financial Advisers, Inc.(pty:dft), Attorney Sharifa Giselle Hunter added to party UCB Financial Services Limited(pty:dft). (Hunter, Sharifa)
June 18, 2021 Filing 17 NOTICE of Attorney Appearance by Robert Charles Harris on behalf of Ramiro Jose Sugranes, UCB Financial Advisers, Inc., UCB Financial Services Limited. Attorney Robert Charles Harris added to party Ramiro Jose Sugranes(pty:dft), Attorney Robert Charles Harris added to party UCB Financial Advisers, Inc.(pty:dft), Attorney Robert Charles Harris added to party UCB Financial Services Limited(pty:dft). (Harris, Robert)
June 18, 2021 Filing 16 NOTICE of Attorney Appearance by Jenny Daphne Johnson-Sardella on behalf of Ramiro Jose Sugranes, UCB Financial Advisers, Inc., UCB Financial Services Limited. Attorney Jenny Daphne Johnson-Sardella added to party Ramiro Jose Sugranes(pty:dft), Attorney Jenny Daphne Johnson-Sardella added to party UCB Financial Advisers, Inc.(pty:dft), Attorney Jenny Daphne Johnson-Sardella added to party UCB Financial Services Limited(pty:dft). (Johnson-Sardella, Jenny)
June 18, 2021 Filing 15 NOTICE of Attorney Appearance by Mark David Hunter on behalf of Ramiro Jose Sugranes, UCB Financial Advisers, Inc., UCB Financial Services Limited. Attorney Mark David Hunter added to party Ramiro Jose Sugranes(pty:dft), Attorney Mark David Hunter added to party UCB Financial Advisers, Inc.(pty:dft), Attorney Mark David Hunter added to party UCB Financial Services Limited(pty:dft). (Hunter, Mark)
June 17, 2021 Filing 14 CLERK'S NOTICE of Compliance by unsealing this case pursuant to DE #13 Order (mc)
June 17, 2021 Opinion or Order Filing 13 ORDER granting #12 Motion to Unseal. The seal in this matter is lifted. The Clerk shall place all pleadings, exhibits, and Orders that have been filed or entered in this case on the publicly available docket. Signed by Judge Marcia G. Cooke on 6/17/2021. See attached document for full details. (mc)
June 16, 2021 Filing 12 MOTION to Unseal Case by Security and Exchange Commission. Responses due by 6/30/2021 (Attachments: #1 Text of Proposed Order)(jmd)
June 14, 2021 Opinion or Order Filing 11 ORDER OF REFERRAL AND ORDER REGARDING COURT PRACTICES AND PROCEDURES. This case is REFERRED to Ch. Magistrate Judge John J. O'Sullivan for Pretrial Non-Dispositive Matters. Signed by Judge Marcia G. Cooke on 6/14/2021. See attached document for full details. (mc)
June 14, 2021 Opinion or Order Filing 10 ORDER granting #5 Emergency Ex Parte Motion for a Temporary Restraining Order, Asset Freeze, and Other Relief. (Show Cause Hearing set for 6/28/2021 at 09:30 AM via Zoom before Judge Marcia G. Cooke). Signed by Judge Marcia G. Cooke on 6/14/2021. See attached document for full details. (mc)
June 11, 2021 Opinion or Order Filing 9 ORDER granting #3 Motion to Seal Case and file Under Seal its Complaint, Emergency Ex Parte Motion for Temporary Restraining Order, Asset Freeze, and Other Relief, and Other Documents; granting #4 Motion for Leave to File its Emergency Ex Parte Motion and Memorandum of Law for Temporary Restraining Order, Asset Freeze, and Other Relief in Excess of the 20-Page Limit. Signed by Judge Marcia G. Cooke on 6/11/2021. See attached document for full details. (mc)
June 11, 2021 Filing 8 Summons Issued as to Thelma Lanzas De Sugranes, Ramiro Jose Sugranes, Ramiro Sugranes Hernandez, UCB Financial Advisers, Inc., UCB Financial Services Limited. (mc)
June 10, 2021 Filing 7 DECLARATION of Jeffrey Oraker in Support of #5 EMERGENCY EX PARTE MOTION and Memorandum of Law for Temporary Restraining Order, Asset Freeze, and Other Relief by Security and Exchange Commission (mc)
June 10, 2021 Filing 6 CERTIFICATION of Pursuant to Rule 65(b) of the Federal Rules of Civil Procedures by Security and Exchange Commission re #5 EMERGENCY EX PARTE MOTION and Memorandum of Law for Temporary Restraining Order, Asset Freeze, and Other Relief Order (mc)
June 10, 2021 Filing 5 EMERGENCY EX PARTE MOTION and Memorandum of Law for Temporary Restraining Order, Asset Freeze, and Other Relief by Security and Exchange Commission. (Responses due by 6/24/2021) (Attachments: #1 Exhibit A, #2 Exhbit B, #3 Declaration Erin E. Smith, #4 Exhibit 1, #5 Text of Proposed Order)(mc)
June 10, 2021 Filing 4 MOTION for Leave to File its Emergency Ex Parte Motion and Memorandum of Law for Temporary Restraining Order, Asset Freeze, and Other Relief in Excess of the 20-Page Limit by Security and Exchange Commission. (Attachments: #1 Text of Proposed Order)(mc)
June 10, 2021 Filing 3 MOTION to Seal Case and file Under Seal its Complaint, Emergency Ex Parte Motion for Temporary Restraining Order, Asset Freeze, and Other Relief, and Other Documents by Security and Exchange Commission. (Attachments: #1 Text of Proposed Order)(mc)
June 10, 2021 Filing 2 Clerks Notice of Judge Assignment to Judge Marcia G. Cooke. Pursuant to 28 USC 636(c), the parties are hereby notified that the U.S. Magistrate Judge John J. O'Sullivan is available to handle any or all proceedings in this case. If agreed, parties should complete and file the Consent form found on our website. It is not necessary to file a document indicating lack of consent. (mc)
June 10, 2021 Filing 1 COMPLAINT against Thelma Lanzas De Sugranes, Ramiro Jose Sugranes, Ramiro Sugranes Hernandez, UCB Financial Advisers, Inc., UCB Financial Services Limited. Filing fees $ 402.00. USA Filer - No Filing Fee Required, filed by Security and Exchange Commission. (Attachments: #1 Civil Cover Sheet)(mc)

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Defendant: Ramiro Sugranes Hernandez
Represented By: Jeffrey L. Cox
Represented By: James D. Sallah
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Defendant: Ramiro Jose Sugranes
Represented By: Sharifa Giselle Hunter
Represented By: Mark David Hunter
Represented By: Robert Charles Harris
Represented By: Jenny Daphne Johnson-Sardella
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Defendant: UCB Financial Advisers, Inc.
Represented By: Sharifa Giselle Hunter
Represented By: Mark David Hunter
Represented By: Robert Charles Harris
Represented By: Jenny Daphne Johnson-Sardella
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Defendant: UCB Financial Services Limited
Represented By: Sharifa Giselle Hunter
Represented By: Mark David Hunter
Represented By: Robert Charles Harris
Represented By: Jenny Daphne Johnson-Sardella
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Defendant: Thelma Lanzas De Sugranes
Represented By: Jeffrey L. Cox
Represented By: James D. Sallah
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Plaintiff: Security and Exchange Commission
Represented By: Christopher E. Martin
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