Securities and Exchange Commission v. Knox et al
| Securities and Exchange Commission |
| WB21 US Inc, Michael T. Gastauer, Wintercap SA Inc., Silverton SA Inc., B2 Cap Inc., Roger Knox, Wintercap SA, C Capital Corp, WB21 NA Inc., Simone Gastauer Foehr, Raimund Gastauer, B21 Ltd., WB21 DMCC and Shamal Internaional FZE |
| 1:2018cv12058 |
| October 2, 2018 |
| US District Court for the District of Massachusetts |
| Richard G Stearns |
| Securities/Commodities |
| 15 U.S.C. § 77 |
| Plaintiff |
Docket Report
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| Filing 62 Judge Richard G. Stearns: ELECTRONIC ORDER entered granting #61 Motion for Leave to File Excess Pages in support of Motion for Default Judgment. (Pacho, Arnold) |
| Filing 61 MOTION for Leave to File Excess Pages in support of motion for default judgment by Securities and Exchange Commission.(Shields, Kathleen) |
| Filing 60 Notice of Service of Process filed by Securities and Exchange Commission. Individual(s)/Entities served: Simone Gastauer Foehr. (Attachments: #1 Exhibit A)(Shields, Kathleen) |
| Filing 59 Mail dkt. #51 sent to Silverton SA Inc. c/o Michael Gastauer returned to sender - "moved". (Pacho, Arnold) |
| Filing 58 Copy re #57 Preliminary Injunction mailed to Roger Knox on 11/16/2018. (Pacho, Arnold) |
| Filing 57 Judge Richard G. Stearns: ORDER entered. Preliminary Injunction, Asset Freeze, and Order for Other Equitable Relief. (Pacho, Arnold) |
| Filing 56 Judge Richard G. Stearns: ELECTRONIC ORDER entered granting #55 Motion to Amend Preliminary Injunction. (Pacho, Arnold) |
| Filing 55 MOTION to Amend Preliminary Injunction by Securities and Exchange Commission. (Attachments: #1 Text of Proposed Order Amended Preliminary Injunction)(Shields, Kathleen) |
| Filing 54 AMENDED COMPLAINT against All Defendants, filed by Securities and Exchange Commission.(Shields, Kathleen) |
| Filing 53 Copy re #51 Notice: Clerk's Entry of Default mailed to addresses provided on proof of service. Sent via certified mail receipt numbers: (# 7002 0510 0004 1358 7258 - Wilmington, DE) (# 7002 0510 0004 1358 7241 - Albany, NY) (# 7002 0510 0004 1358 7395 - Palo Alto, CA). (Pacho, Arnold) |
| Filing 52 Judge Richard G. Stearns: ORDER entered. STANDING ORDER on motions for default judgment re #51 Notice: Clerk's Entry of Default. (Pacho, Arnold) |
| Filing 51 NOTICE: Clerk's ENTRY OF DEFAULT as to B2 Cap Inc., C Capital Corp, Silverton SA Inc., WB21 NA Inc., WB21 US Inc, Wintercap SA Inc. (Pacho, Arnold) |
| Filing 50 Judge Richard G. Stearns: ELECTRONIC ORDER entered granting #49 Motion for Entry of Default as to defendants WB21 US Inc., Silverton SA Inc., WB21 NA Inc., C Capital Corp., Wintercap SA Inc., and B2 Cap Inc. (Pacho, Arnold) |
| Filing 49 MOTION for Entry of Default as to defendants WB21 US Inc., Silverton SA Inc., WB21 NA Inc., C Capital Corp., Wintercap SA Inc., and B2 Cap Inc. by Securities and Exchange Commission.(Shields, Kathleen) (Additional attachment(s) added on 11/7/2018: #1 Exhibit A) (Pacho, Arnold). |
| Filing 47 Copy of #46 Preliminary Injunction mailed to Roger Knox on 10/26/2018. (Pacho, Arnold) |
| Filing 46 Judge Richard G. Stearns: ORDER entered. Preliminary Injunction, Asset Freeze, and Order for Other Equitable Relief. (Pacho, Arnold) |
| Filing 45 Electronic Clerk's Notes for proceedings held before Judge Richard G. Stearns: granting #34 Motion for Preliminary Injunction; Motion Hearing held on 10/26/2018 re #34 MOTION for Preliminary Injunction Asset Freeze, and Order for Other Equitable Relief filed by Securities and Exchange Commission. The court agreed that, if appropriate, it would entertain motions to modify the injunction by defendants once service is made and/or counsel enter appearances. (Court Reporter: James Gibbons at jamesgibbonsrpr@gmail.com.)(Attorneys present: Rebecca Israel, Kathleen Shields, and Jonathan Allen for the SEC; William Connolly, Roger Knox's appointed counsel in the criminal case appeared only in that regard.) (Zierk, Marsha) |
| Filing 44 Judge Richard G. Stearns: ORDER entered granting #43 Motion to Withdraw as Attorney. Attorney Philip G. Cormier and Syrie Fried terminated. (Zierk, Marsha) |
| Filing 43 MOTION to Withdraw as Attorney by Roger Knox.(Cormier, Philip) |
| Filing 42 ELECTRONIC NOTICE Resetting Hearing on Motion #34 MOTION for Preliminary Injunction Asset Freeze, and Order for Other Equitable Relief : Motion Hearing set for 10/26/2018 02:00 PM in Courtroom 21 before Judge Richard G. Stearns. (Maynard, Timothy) |
| Filing 41 ELECTRONIC NOTICE Resetting Hearing on Motion #34 MOTION for Preliminary Injunction Asset Freeze, and Order for Other Equitable Relief : Motion Hearing set for 10/30/2018 02:00 PM in Courtroom 21 before Judge Richard G. Stearns. (Maynard, Timothy) |
| Filing 40 Judge Richard G. Stearns: ORDER entered denying #25 without prejudice Motion to modify TRO to permit defendant to pay legal fee expenses. (Zierk, Marsha) |
| Filing 39 Judge Richard G. Stearns: ELECTRONIC ORDER entered granting #32 Motion for Modification to the existing temporary restraining Order (TRO) with regard to defendant Roger Knox as agreed to by the SEC and Knox. See Dkt #32. Knox's obligations pursuant to Sections IX and XIII of the TRO be extended to October 22, 2018, with the exception that Knox must provide the SEC with a written list of all "bank accounts, brokerage accounts, investments, business interests, loans, lines of credit, and real and personal property wherever situated," and the location of any funds or other assets by October 15, 2018. See Dkt. No. 9, at IX.1, IX.6, and IX.7; and Knox's obligations pursuant to Section X of the TRO be extended to October 25, 2018. (Zierk, Marsha) |
| Filing 38 RESPONSE TO COURT ORDER by Roger Knox . (Attachments: #1 Exhibit 1 - Affidavit to Criminal Complaint)(Cormier, Philip) |
| Filing 37 ELECTRONIC NOTICE Setting Hearing on Motion #34 MOTION for Preliminary Injunction Asset Freeze, and Order for Other Equitable Relief : Motion Hearing set for 10/30/2018 02:00 PM in Courtroom 21 before Judge Richard G. Stearns. (Maynard, Timothy) |
| Filing 36 Judge Richard G. Stearns: ELECTRONIC ORDER entered. The Temporary Restraining Order enter on October 2, 2018, [Dkt #9], is extended and remains in full force and effect until this court can hear the Security and Exchange Commission's motion for preliminary injunction [Dkt #34] and enter a ruling. The Clerk will set a hearing on the Motion for Preliminary Injunction for October 30, 2018, at 2:00 p.m. in Courtroom 21.(Zierk, Marsha) |
| Filing 35 MEMORANDUM in Support re #34 MOTION for Preliminary Injunction Asset Freeze, and Order for Other Equitable Relief filed by Securities and Exchange Commission. (Israel, Rebecca) |
| Filing 34 MOTION for Preliminary Injunction Asset Freeze, and Order for Other Equitable Relief by Securities and Exchange Commission. (Attachments: #1 Text of Proposed Order)(Israel, Rebecca) |
| Filing 33 Opposition re #25 MOTION re #9 Order Modification of Temporary Restraining Order as to Roger Knox filed by Securities and Exchange Commission. (Forni, Eric) |
| Filing 32 Joint MOTION to Modify THE TEMPORARY RESTRAINING ORDER AS TO ROGER KNOX by Securities and Exchange Commission.(Forni, Eric) |
| Filing 30 Judge Richard G. Stearns: ELECTRONIC ORDER entered granting #29 Motion to Seal Document. (Pacho, Arnold) |
| Filing 29 MOTION to Seal Document by Roger Knox.(Cormier, Philip) |
| Filing 28 SUMMONS Returned Executed Wintercap SA served on 10/5/2018, answer due 10/26/2018. (Shields, Kathleen) |
| Filing 27 SUMMONS Returned Executed Roger Knox served on 10/5/2018, answer due 10/26/2018. (Shields, Kathleen) |
| Filing 26 NOTICE of Appearance by Kathleen Burdette Shields on behalf of Securities and Exchange Commission (Shields, Kathleen) |
| Filing 25 MOTION re #9 Order Modification of Temporary Restraining Order by Roger Knox. (Attachments: #1 Affidavit)(Cormier, Philip) |
| Filing 24 NOTICE of Appearance by Philip G. Cormier on behalf of Roger Knox (Cormier, Philip) |
| Filing 23 NOTICE of Appearance by Syrie D. Fried on behalf of Roger Knox (Fried, Syrie) |
| Filing 22 SUMMONS Returned Executed Wintercap SA Inc. served on 10/3/2018, answer due 10/24/2018. (Forni, Eric) |
| Filing 21 SUMMONS Returned Executed C Capital Corp served on 10/3/2018, answer due 10/24/2018. (Forni, Eric) |
| Filing 20 SUMMONS Returned Executed WB21 NA Inc. served on 10/3/2018, answer due 10/24/2018. (Forni, Eric) |
| Filing 19 SUMMONS Returned Executed B2 Cap Inc. served on 10/3/2018, answer due 10/24/2018. (Forni, Eric) |
| Filing 18 SUMMONS Returned Executed WB21 US Inc served on 10/3/2018, answer due 10/24/2018. (Forni, Eric) |
| Filing 17 SUMMONS Returned Executed B21 Ltd. served on 10/3/2018, answer due 10/24/2018. (Forni, Eric) |
| Filing 16 SUMMONS Returned Executed Simone Gastauer Foehr served on 10/3/2018, answer due 10/24/2018. (Forni, Eric) |
| Filing 15 SUMMONS Returned Executed Raimund Gastauer served on 10/3/2018, answer due 10/24/2018. (Forni, Eric) |
| Filing 14 SUMMONS Returned Executed Silverton SA Inc. served on 10/3/2018, answer due 10/24/2018. (Forni, Eric) |
| Filing 13 SUMMONS Returned Executed Michael T. Gastauer served on 10/3/2018, answer due 10/24/2018. (Forni, Eric) |
| Filing 12 Judge Richard G. Stearns: ELECTRONIC ORDER entered granting #11 Motion to Unseal Case. (Pacho, Arnold) |
| Filing 11 MOTION to Unseal Case by Securities and Exchange Commission. (Pacho, Arnold) |
| Filing 10 Summons Issued as to B2 Cap Inc., C Capital Corp, Michael T. Gastauer, Roger Knox, Silverton SA Inc., WB21 NA Inc., WB21 US Inc, Wintercap SA, Wintercap SA Inc.. Counsel receiving this notice electronically should download this summons, complete one for each defendant and serve it in accordance with Fed.R.Civ.P. 4 and LR 4.1. Summons will be mailed to plaintiff(s) not receiving notice electronically for completion of service. (Rynne, Michelle) |
| Filing 9 Judge Richard G. Stearns: ORDER entered ALLOWING #3 Emergency Ex Parte MOTION for Temporary Restraining Order, Order Freezing Assets and Order for other Equitable Relief filed by Securities and Exchange Commission (Rynne, Michelle) |
| Filing 8 Judge Richard G. Stearns: ELECTRONIC ORDER entered granting #7 Motion to Seal Case (Rynne, Michelle) |
| Filing 7 MOTION to Seal Case by Securities and Exchange Commission.(Rynne, Michelle) |
| Filing 6 Proposed Order re #3 Motion for Temporary Restraining Order submitted by Securities and Exchange Commission. (Rynne, Michelle) |
| Filing 5 DECLARATION of Trevor T. Donelan re #3 MOTION for Temporary Restraining Order by Securities and Exchange Commission. (Rynne, Michelle) |
| Filing 4 MEMORANDUM in Support re #3 MOTION for Temporary Restraining Order filed by Securities and Exchange Commission. (Rynne, Michelle) |
| Filing 3 Emergency Ex Parte MOTION for Temporary Restraining Order, Order Freezing Assets and Order for other Equitable Relief by Securities and Exchange Commission.(Rynne, Michelle) |
| Filing 2 ELECTRONIC NOTICE of Case Assignment. Judge Richard G. Stearns assigned to case. If the trial Judge issues an Order of Reference of any matter in this case to a Magistrate Judge, the matter will be transmitted to Magistrate Judge Marianne B. Bowler. (Rynne, Michelle) |
| Filing 1 COMPLAINT against All Defendants, filed by Securities and Exchange Commission. (Attachments: #1 Civil Cover Sheet)(Rynne, Michelle) |
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