Securities and Exchange Commission v. Woods et al
Securities and Exchange Commission |
John J. Woods, Livingston Group Asset Management Company doing business as Southport Capital and Horizon Private Equity, III, LLC |
TD Ameritrade, Inc. and Relevance Capital III, L.P. |
A. Cotten Wright |
1:2021cv03413 |
August 20, 2021 |
US District Court for the Northern District of Georgia |
Steven D Grimberg |
Securities/Commodities |
15 U.S.C. § 77 |
Plaintiff |
Docket Report
This docket was last retrieved on October 18, 2021. A more recent docket listing may be available from PACER.
Document Text |
---|
Filing 78 MOTION Supplement to Motion for Authority to Employ Middleswarth Bowers & Co, LLP, as Accountants for the Receiver to Include Business Valuation Services #36 MOTION Authority to Employ Middlewarth, Bowers & Co., L.L.P. as Accountants for the Receiver by A. Cotten Wright. (Wright, Anna) |
Filing 77 STATUS REPORT Receiver's First Report by A. Cotten Wright. (Wright, Anna) |
![]() |
![]() |
Filing 74 Joint MOTION for Entry of Stipulated Protective Order #73 Notice (Other) by IBERIABANK. (Attachments: #1 Exhibit A - Stipulated Protective Order, #2 Exhibit B - [Proposed] Order on Joint Motion for Entry of Stipulated Protective Order)(Rosenwasser, Steven) Modified on 10/13/2021 to edit event(jkb). |
Filing 73 NOTICE by A. Cotten Wright of Service of Subpoena (Martinez, Michael) |
Filing 72 MOTION for Order Approving Receiver's Liquidation Plan and Related Case Procedures #26 Order on Motion to Appoint Receiver by A. Cotten Wright. (Martinez, Michael) Modified on 10/4/2021 to edit text(jkb). |
Filing 71 MOTION For Authority to Honor Notice of Redemption of Interests in Chattanooga Professional Baseball, LLC with Brief In Support by A. Cotten Wright. (Attachments: #1 Brief Memorandum of Law, #2 Exhibit Exhibit 1 Notice of Redemption and Letter, #3 Exhibit Exhibit 1A CPB Operating Agreement, #4 Exhibit Exhibit 1B Woods Resignation Letter, #5 Exhibit Exhibit 1C IBI Form, #6 Exhibit Exhibit 1D Media, #7 Exhibit Exhibit 1E MLB PDL Letter, #8 Exhibit Exhibit 2 First Bank Letter, #9 Exhibit Exhibit 3 Affidavit of Jason M. Freier)(Wright, Anna) Modified on 10/1/2021 to edit text (jkb). |
RETURN of #69 APPLICATION for Admission of Justin Sveadas Pro Hac Vice. to attorney for correction re: party not listed on docket. (nmb) |
Filing 70 NOTICE of Appearance by Michael L. Martinez on behalf of A. Cotten Wright (Martinez, Michael) |
Filing 69 APPLICATION for Admission of Justin Sveadas Pro Hac Vice.by First Volunteer Bank. (Kuprovska, Kseniya) Documents for this entry are not available for viewing outside the courthouse. |
Filing 68 NOTICE of Appearance by Kseniya Kuprovska on behalf of First Volunteer Bank (Kuprovska, Kseniya) |
Clerk's Certificate of Mailing to Attorney A. Cotten Wright re #67 Order on Motion for Miscellaneous Relief. (jkb) Modified on 9/22/2021 to edit text (jkb). |
![]() |
Filing 66 NOTICE Of Filing by John J. Woods of Disclosures Pursuant to September 1, 2021 Preliminary Injunction Order (Attachments: #1 Exhibit, #2 Exhibit, #3 Exhibit, #4 Exhibit)(Chaiken, David) |
Filing 65 NOTICE of Appearance by Anna Cotten Wright on behalf of A. Cotten Wright (Wright, Anna) |
RETURN of #64 APPLICATION for Admission of Justin Sveadas Pro Hac Vice (Application fee $ 150, receipt number AGANDC-11271103). to attorney for correction re: Local counsel's physical address. (cdg) |
Filing 64 APPLICATION for Admission of Justin Sveadas Pro Hac Vice (Application fee $ 150, receipt number AGANDC-11271103).by First Volunteer Bank. (Kapperman, Cameron) Documents for this entry are not available for viewing outside the courthouse. |
Filing 63 MOTION for Authority to Employ Stretto, Inc. as Consultant for the Receiver Pursuant to Services Agreement by A. Cotten Wright. (Patterson, William) |
APPROVAL by Clerks Office re: #54 APPLICATION for Admission of A. Cotten Wright Pro Hac Vice. Attorney A. Cotten Wright added appearing on behalf of A. Cotten Wright (cdg) Modified on 9/22/2021 to edit text(jkb). |
![]() |
0APPROVAL by Clerks Office re: #62 APPLICATION for Admission of Ryan Loofbourrow Pro Hac Vice (Application fee $ 150, receipt number AGANDC-11259066).. Attorney Ryan Patrick Loofbourrow added appearing on behalf of Relevance Capital III, L.P. (nmb) |
![]() |
![]() |
APPROVAL by Clerks Office re: #55 APPLICATION for Admission of Michael L. Martinez Pro Hac Vice. Attorney Michael L. Martinez added appearing on behalf of A. Cotten Wright (cdg) |
Filing 62 APPLICATION for Admission of Ryan Loofbourrow Pro Hac Vice (Application fee $ 150, receipt number AGANDC-11259066).by Relevance Capital III, L.P.. (Swindle, Andrew) Documents for this entry are not available for viewing outside the courthouse. |
Filing 61 NOTICE of Appearance by Andrew M. Swindle on behalf of Relevance Capital III, L.P. (Swindle, Andrew) |
Filing 60 NOTICE by Relevance Capital III, L.P. re #25 Preliminary Injunction Non-Party Relevance Capital III, L.P.'s Certified Statement of Horizon Private Equity III LP's Assets (Swindle, Andrew) |
Filing 59 NOTICE by Securities and Exchange Commission of withdrawal of counsel by consent (Mayes, Joshua) |
Filing 58 WAIVER OF SERVICE Returned Executed by Securities and Exchange Commission. Horizon Private Equity, III, LLC waiver mailed on 9/14/2021, answer due 11/15/2021. (Roback, Harry) |
Filing 57 WAIVER OF SERVICE Returned Executed by Securities and Exchange Commission. Livingston Group Asset Management Company waiver mailed on 9/2/2021, answer due 11/1/2021. (Roback, Harry) |
Filing 56 WAIVER OF SERVICE Returned Executed by Securities and Exchange Commission. John J. Woods waiver mailed on 9/3/2021, answer due 11/2/2021. (Roback, Harry) |
Filing 55 APPLICATION for Admission of Michael L. Martinez Pro Hac Vice.by A. Cotten Wright. (Patterson, William) Documents for this entry are not available for viewing outside the courthouse. |
Filing 54 APPLICATION for Admission of A. Cotten Wright Pro Hac Vice.by A. Cotten Wright. (Patterson, William) Documents for this entry are not available for viewing outside the courthouse. |
![]() |
![]() |
![]() |
Filing 50 NOTICE of Appearance by Cameron Kapperman on behalf of First Volunteer Bank (Kapperman, Cameron) |
![]() |
![]() |
![]() |
RETURN of #32 APPLICATION for Admission of Michael L. Martinez Pro Hac Vice (Application fee $ 150, receipt number AGANDC-11243164). to attorney for correction re: Incorrect Form. (nmb) |
RETURN of #31 APPLICATION for Admission of A. Cotten Wright Pro Hac Vice (Application fee $ 150, receipt number AGANDC-11243137). to attorney for correction re: Incorrect Form. (nmb) |
Filing 49 TRANSCRIPT of Proceedings held on 8/24/21 (TRO/Other Emergency Relief), before Judge Steven D. Grimberg. Court Reporter/Transcriber Alicia B. Bagley. A full directory of court reporters and their contact information can be found at www.gand.uscourts.gov/directory-court-reporters. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 9/30/2021. Redacted Transcript Deadline set for 10/12/2021. Release of Transcript Restriction set for 12/8/2021. (Attachments: #1 Notice of Filing Transcript) (pjm) (Additional attachment(s) added on 10/5/2021: #2 Verification of Financial Arrangements) (kac). |
Filing 48 CERTIFICATE OF SERVICE re #25 Preliminary Injunction, #26 Order on Motion to Appoint Receiver filed by A. Cotten Wright (Patterson, William) Modified on 9/22/2021 to edit text(jkb). |
Filing 47 MOTION to Amend #26 Order on Motion to Appoint Receiver by A. Cotten Wright. (Attachments: #1 proposed Order)(Patterson, William) Modified on 9/22/2021 to edit text (jkb). |
Filing 46 MOTION to Amend #25 Preliminary Injunction by A. Cotten Wright. (Attachments: #1 proposed order)(Patterson, William) Modified on 9/22/2021 to edit text (jkb). |
Filing 45 NOTICE Of Filing by TD Ameritrade, Inc. re #25 Preliminary Injunction TD Ameritrade, Inc.'s Statement of Accounts (Coleman, Keisha) |
Filing 44 Consent MOTION for Relief from #25 Preliminary Injunction to Permit Vehicle Sale by John J. Woods. (Attachments: #1 Text of Proposed Order)(Chaiken, David) |
Filing 43 NOTICE of Appearance by William Russell Patterson, Jr on behalf of A. Cotten Wright (Patterson, William) Modified on 9/22/2021 to edit text (jkb). |
Filing 42 NOTICE of Appearance by Steven Rosenwasser on behalf of IBERIABANK (Rosenwasser, Steven) |
Filing 41 PROPOSED ORDER Order for Authority to Employ Middleswarth, Bowers & Co. L.L.P. as Accountants for the Receiver re: #36 MOTION Authority to Employ Middlewarth, Bowers & Co., L.L.P. as Accountants for the Receiver . (Patterson, William) |
Filing 40 PROPOSED ORDER Order for Authority to Employ Grier Wright Martinez as General Counsel to the Receiver re: #35 MOTION for Authority to Employ Grier Wright Martinez, PA as General Counsel to the Receiver . (Patterson, William) |
Filing 39 PROPOSED ORDER Order for Authority to Employ Ragsdale, Beals, Seigler, Patterson & Gray, LLP as Local Counsel to the Receiver re: #34 MOTION Motion to Employ Ragsdale, Beals, Seigler, Patterson & Gray, LLP as Local Counsel to the Receiver . (Patterson, William) |
Filing 38 NOTICE by A. Cotten Wright re #25 Preliminary Injunction, #26 Order on Motion to Appoint Receiver Certificate of Service of Orders (Patterson, William) Modified on 9/22/2021 to edit text (jkb). |
Filing 37 CERTIFICATE of Compliance re #34 MOTION Motion to Employ Ragsdale, Beals, Seigler, Patterson & Gray, LLP as Local Counsel to the Receiver (Patterson, William) |
Filing 36 MOTION Authority to Employ Middlewarth, Bowers & Co., L.L.P. as Accountants for the Receiver by A. Cotten Wright. (Patterson, William) Modified on 9/22/2021 (jkb). |
Filing 35 MOTION for Authority to Employ Grier Wright Martinez, PA as General Counsel to the Receiver by A. Cotten Wright. (Patterson, William) Modified on 9/22/2021 to edit text(jkb). |
Filing 34 MOTION Motion to Employ Ragsdale, Beals, Seigler, Patterson & Gray, LLP as Local Counsel to the Receiver by A. Cotten Wright. (Patterson, William) Modified on 9/22/2021 to edit text(jkb). |
Filing 33 NOTICE Of Filing Certification setting forth balance in any account in the name of Defendants Woods or Horizon by IBERIABANK re #25 Preliminary Injunction (Rosenwasser, Steven) |
Filing 32 APPLICATION for Admission of Michael L. Martinez Pro Hac Vice (Application fee $ 150, receipt number AGANDC-11243164).by A. Cotten Wright. (Attachments: #1 Certificate of Compliance)(Patterson, William) Documents for this entry are not available for viewing outside the courthouse. Modified on 9/22/2021 to edit text(jkb). |
Filing 31 APPLICATION for Admission of A. Cotten Wright Pro Hac Vice (Application fee $ 150, receipt number AGANDC-11243137).by A. Cotten Wright. (Attachments: #1 Certificate of Compliance)(Patterson, William) Documents for this entry are not available for viewing outside the courthouse. Modified on 9/22/2021 to edit text(jkb). |
Filing 30 CERTIFICATE of Compliance (Kline, Gerald) |
Filing 29 CERTIFICATE of Compliance (Chaiken, David) |
Filing 28 CERTIFICATE of Compliance of Stephen D. Councill (Councill, Stephen) |
Filing 27 NOTICE Of Filing Proposed asset freeze carve-out language re #25 Preliminary Injunction (jkb) |
![]() |
![]() |
Filing 24 CERTIFICATE of Compliance of M. Graham Loomis (Loomis, Madison) |
Filing 23 CERTIFICATE of Compliance of Harry Roback (Roback, Harry) |
Filing 22 NOTICE by Securities and Exchange Commission of Recommendation of Receiver (Mayes, Joshua) |
![]() |
Entered in error. Set Deadlines/Hearings: Discovery ends on 8/30/2021. (jkb) Modified on 8/30/2021 to edit text (jkb). |
Filing 20 Unopposed MOTION for Extension of Time to Submit Proposed Order re: #17 Order on Motion for TRO,, Motion Hearing, by Horizon Private Equity, III, LLC, John J. Woods. (Attachments: #1 Text of Proposed Order)(Chaiken, David) |
![]() |
Filing 18 Amended MOTION for Leave to File Matters Under Seal re: #15 Notice of Filing, #16 MOTION for Leave to File Matters Under Seal re: #15 Notice of Filing, with Brief In Support by John J. Woods. (Attachments: #1 Brief Memorandum in Support of Motion to File Under Seal, #2 Text of Proposed Order Proposed Order)(Councill, Stephen) |
Filing 17 Minute Entry for proceedings held before Judge Steven D. Grimberg: granting in part and denying in part #2 Motion for TRO; Motion Hearing held on 8/24/2021 re #2 MOTION for Temporary Restraining Order filed by Securities and Exchange Commission. (Court Reporter Alicia Bagley)(jkb) |
Filing 16 MOTION for Leave to File Matters Under Seal re: #15 Notice of Filing, with Brief In Support by John J. Woods. (Attachments: #1 Brief Memorandum in Support of Motion to File Under Seal, #2 Text of Proposed Order Proposed Order)(Councill, Stephen) |
Filing 15 SEALED NOTICE Of Filing Declaration of John J. Woods by John J. Woods (Attachments: #1 Exhibit A, #2 Exhibit B, #3 Exhibit C, #4 Exhibit D, #5 Exhibit E, #6 Exhibit F, #7 Exhibit G, #8 Exhibit H, #9 Exhibit I)(Councill, Stephen) Modified on 8/26/2021 To remove provisionally (jkb). |
Filing 14 NOTICE Of Filing Declaration of John J. Woods by John J. Woods (Attachments: #1 Exhibit A, #2 Exhibit B, #3 Exhibit C, #4 Exhibit D, #5 Exhibit E, #6 Exhibit F, #7 Exhibit G, #8 Exhibit H, #9 Exhibit I)(Councill, Stephen) |
Filing 13 AFFIDAVIT of Joshua Mayes by Securities and Exchange Commission. (Attachments: #1 Exhibit 1. Jennifer Greene Email to TD Ameritrade, #2 Exhibit 2. Julie Jones Email to Horizon Investor, #3 Exhibit 3. Email re Julie and Horizon Annuity Contract)(Mayes, Joshua) |
Filing 12 NOTICE of Appearance by Stephen D. Councill on behalf of John J. Woods (Councill, Stephen) |
Filing 11 AFFIDAVIT Jennifer Greene by Livingston Group Asset Management Company. (Attachments: #1 Affidavit Julie Jones Affidavit, #2 Affidavit Clay Parker Affidavit)(Kline, Gerald) |
Filing 10 NOTICE of Appearance by Gerald B. Kline on behalf of Livingston Group Asset Management Company (Kline, Gerald) |
Filing 9 NOTICE of Appearance by David M. Chaiken on behalf of Horizon Private Equity, III, LLC (Chaiken, David) |
Filing 8 NOTICE of Appearance by David M. Chaiken on behalf of John J. Woods (Chaiken, David) |
![]() |
![]() |
Filing 5 Electronic Summons Issued as to Livingston Group Asset Management Company. (dmb) |
Filing 4 Electronic Summons Issued as to John J. Woods. (dmb) |
Filing 3 Electronic Summons Issued as to Horizon Private Equity, III, LLC. (dmb) |
Filing 2 MOTION for Temporary Restraining Order IMMEDICATE HEARING REQUESTED with Brief In Support by Securities and Exchange Commission. (Attachments: #1 Brief, #2 Rule 65, #3 Proposed Order for TRO, #4 Order Appointing Receiver, #5 Affidavit of Tiffany Kunkle, #6 Affidavit of Kathryn Campbell, #7 Exhibit A to Campbell Dec, #8 Exhibit B to Campbell Dec, #9 Exhibit C to Campbell Dec, #10 Exhibit D to Campbell Dec, #11 Exhibit E to Campbell Dec, #12 Exhibit F to Campbell Dec, #13 Exhibit G to Campbell Dec, #14 Exhibit H to Campbell Dec, #15 Affidavit of Bruce Goldstein (former Southport employee), #16 Exhibit A to Goldstein Dec (1 of 3), #17 Exhibit A to Goldstein Dec (2 of 3), #18 Exhibit A to Goldstein Dec (3 of 3), #19 Exhibit B to Goldstein Dec, #20 Exhibit C to Goldstein Dec, #21 Exhibit D to Goldstein Dec, #22 Exhibit E to Goldstein Dec, #23 Exhibit F to Goldstein Dec, #24 Exhibit G to Goldstein Dec, #25 Exhibit H to Goldstein Dec, #26 Exhibit I to Goldstein Dec, #27 Exhibit J to Goldstein Dec, #28 Affidavit of Melissa Mitchell (SEC Investigator), #29 Exhibit 1 to Mitchell Dec, #30 Exhibit 2 to Mitchell Dec, #31 Exhibit 3 to Mitchell Dec, #32 Exhibit 4 to Mitchell Dec, #33 Exhibit 5 to Mitchell Dec, #34 Exhibit 6 to Mitchell Dec, #35 Affidavit of Kenneth Himmler (former Southport consultant), #36 Exhibit A to Himmler Dec, #37 Exhibit B to Himmler Dec, #38 Affidavit of Kee Han (SEC Examiner), #39 Exhibit Exhibits to Han Dec, #40 Affidavit of Jan Gorman (investor), #41 Affidavit of Eugene Lyle (investor), #42 Affidavit of Sharon Goad (investor), #43 Affidavit of James Peele (investor), #44 Affidavit of Steven Worley (investor), #45 Affidavit of David Goad (investor), #46 Affidavit of Jerry Monnett)(dmb). Added MOTION to Appoint Receiver on 9/1/2021 (adg). |
Filing 1 COMPLAINT with Jury Demand filed by Securities and Exchange Commission. (Attachments: #1 Civil Cover Sheet)(dmb) Please visit our website at http://www.gand.uscourts.gov/commonly-used-forms to obtain Pretrial Instructions and Pretrial Associated Forms which includes the Consent To Proceed Before U.S. Magistrate form. |
Submission of #2 MOTION for Temporary Restraining Order to District Judge Steven D. Grimberg. (dmb) |
Access additional case information on PACER
Use the links below to access additional information about this case on the US Court's PACER system. A subscription to PACER is required.
Access this case on the Georgia Northern District Court's Electronic Court Filings (ECF) System
- Search for Party Aliases
- Associated Cases
- Attorneys
- Case File Location
- Case Summary
- Docket Report
- History/Documents
- Parties
- Related Transactions
- Check Status
Disclaimer: Justia Dockets & Filings provides public litigation records from the federal appellate and district courts. These filings and docket sheets should not be considered findings of fact or liability, nor do they necessarily reflect the view of Justia.