Securities and Exchange Commission v Sargent, et al.
Plaintiff: Securities and Exchange Commission
Defendant: Patrick Giordano, Frederick M Mintz, Henry B Sargent, Alan P Fraade, Joseph J Tomasek and Pro Se Party Alan P Fraade
Case Number: 1:2019cv11416
Filed: June 27, 2019
Court: US District Court for the District of Massachusetts
Presiding Judge: William G Young
Nature of Suit: Securities/Commodities
Jury Demanded By: Plaintiff
Docket Report

This docket was last retrieved on August 2, 2019. A more recent docket listing may be available from PACER.

Date Filed Document Text
August 2, 2019 Filing 25 Judge William G. Young: ELECTRONIC ORDER entered granting #20 Motion for leave to electronically file Pro Se ; granting #21 Motion for leave to electronically file Pro Se. The court grants permission on the condition that the plaintiff satisfies all applicable training and other requirements for pro se litigants as stated in the CM/ECF Administrative Procedures, Page 5. The plaintiff is directed to complete the registration form accessible at https://public.mad.uscourts.gov/ecfreg.html (Paine, Matthew)
July 31, 2019 Filing 24 Judge William G. Young: ELECTRONIC ORDER entered re #23 Assented to MOTION for Extension of Time to September 16, 2019 to Answer or Otherwise Respond #1 Complaint. Allowed. There shall be no further continuance. (Paine, Matthew)
July 30, 2019 Filing 23 Assented to MOTION for Extension of Time to September 16, 2019 to Answer or Otherwise Respond #1 Complaint, by Patrick Giordano.(Cornell, Timothy) (Modified on 7/31/2019 to Correct Docket Text and CM/ECF Filing Event) (Paine, Matthew).
July 30, 2019 Filing 22 NOTICE of Appearance by Deena R. Bernstein on behalf of Securities and Exchange Commission (Bernstein, Deena)
July 30, 2019 Filing 21 MOTION for Leave to file electronically Pro Se by Alan P Fraade. (Attachments: #1 Cover Letter)(Paine, Matthew)
July 30, 2019 Filing 20 MOTION for Leave to file electronically Pro Se by Frederick M Mintz.(Paine, Matthew) (Additional attachment(s) added on 7/30/2019: #1 Cover Letter) (Paine, Matthew).
July 29, 2019 Filing 19 NOTICE of Appearance by Timothy M. Cornell on behalf of Patrick Giordano (Cornell, Timothy)
July 26, 2019 Filing 18 Judge William G. Young: ELECTRONIC ORDER entered granting #17 Assented to MOTION for Extension of Time to August 30, 2019 to answer or otherwise respond. (Paine, Matthew)
July 25, 2019 Filing 17 Assented to MOTION for Extension of Time to August 30, 2019 to answer or otherwise respond to the Complaint by Alan P Fraade, Frederick M Mintz, Henry B Sargent.(Danovitch, David) (Modified on 7/26/2019 to Correct CM/ECF Filing Event) (Paine, Matthew).
July 19, 2019 Filing 16 Judge William G. Young: ELECTRONIC ORDER entered granting #15 Assented to MOTION for Extension of Time to August 30, 2019 to Answer or Otherwise Respond to Complaint (Paine, Matthew)
July 18, 2019 Filing 15 Assented to MOTION for Extension of Time to August 30, 2019 to Answer or Otherwise Respond to Complaint by Joseph J Tomasek.(Moreau, Jason)
July 18, 2019 Filing 14 NOTICE of Appearance by John A. Sten on behalf of Joseph J Tomasek (Sten, John)
July 18, 2019 Filing 13 NOTICE of Appearance by Jason C. Moreau on behalf of Joseph J Tomasek (Moreau, Jason)
July 3, 2019 Filing 12 Judge William G. Young: ELECTRONIC ORDER entered granting #11 Motion for Leave to Appear Pro Hac Vice. Added Peter R. Ginsberg. Attorneys admitted Pro Hac Vice must register for electronic filing if the attorney does not already have an ECF account in this district. To register go to the Court website at www.mad.uscourts.gov. Select Case Information, then Electronic Filing (CM/ECF) and go to the CM/ECF Registration Form. (Paine, Matthew)
July 3, 2019 Filing 11 MOTION for Leave to Appear Pro Hac Vice for admission of Peter R. Ginsberg Filing fee: $ 100, receipt number 0101-7765102 by Henry B Sargent. (Attachments: #1 Affidavit in Support of Motion)(Danovitch, David)
July 2, 2019 Filing 10 WAIVER OF SERVICE Returned Executed by Henry B Sargent. Henry B Sargent waiver sent on 6/28/2019, answer due 8/27/2019. (Paine, Matthew)
July 2, 2019 Filing 9 Set/Reset Deadlines: Due to Filing Error (Paine, Matthew)
July 2, 2019 Filing 8 SUMMONS Returned Executed Joseph J Tomasek served on 7/1/2019, answer due 7/22/2019. (Huntington, Franklin)
July 2, 2019 Filing 7 SUMMONS Returned Executed Alan P Fraade served on 6/28/2019, answer due 7/19/2019. (Huntington, Franklin)
July 2, 2019 Filing 6 SUMMONS Returned Executed Frederick M Mintz served on 6/28/2019, answer due 7/19/2019. (Huntington, Franklin)
July 2, 2019 Filing 5 SUMMONS Returned Executed Henry B Sargent served on 6/28/2019, answer due 7/19/2019. (Huntington, Franklin)
July 1, 2019 Filing 4 NOTICE of Appearance by David E. Danovitch on behalf of Henry B Sargent (Danovitch, David)
June 27, 2019 Filing 3 Summons Issued as to All Defendants. 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. (Vieira, Leonardo)
June 27, 2019 Filing 2 ELECTRONIC NOTICE of Case Assignment. Judge William G. Young 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. (Danieli, Chris)
June 27, 2019 Filing 1 COMPLAINT against Patrick Giordano, Alan P Fraade, Frederick M Mintz, henry b sargent, Joseph J Tomasek (Fee Status: US Government), filed by Securities and Exchange Commission. (Attachments: #1 Civil Cover Sheet, #2 Category Form)(Huntington, Franklin) Modified on 6/27/2019 to fix docket text (Vieira, Leonardo).

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 Massachusetts District Court's Electronic Court Filings (ECF) System

Search for this case: Securities and Exchange Commission v Sargent, et al.
Search News [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ]
Search Web [ Legal Web | Google | Bing | Yahoo | Ask ]
Plaintiff: Securities and Exchange Commission
Represented By: Franklin C. Huntington, IV
Represented By: Deena R. Bernstein
Search News [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ]
Search Finance [ Google Finance | Yahoo Finance | Hoovers | SEC Edgar Filings ]
Search Web [ Legal Web | Google | Bing | Yahoo | Ask ]
Defendant: Patrick Giordano
Represented By: Timothy M. Cornell
Search News [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ]
Search Finance [ Google Finance | Yahoo Finance | Hoovers | SEC Edgar Filings ]
Search Web [ Legal Web | Google | Bing | Yahoo | Ask ]
Defendant: Frederick M Mintz
Search News [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ]
Search Finance [ Google Finance | Yahoo Finance | Hoovers | SEC Edgar Filings ]
Search Web [ Legal Web | Google | Bing | Yahoo | Ask ]
Defendant: Henry B Sargent
Represented By: Peter R. Ginsberg
Represented By: David E. Danovitch
Search News [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ]
Search Finance [ Google Finance | Yahoo Finance | Hoovers | SEC Edgar Filings ]
Search Web [ Legal Web | Google | Bing | Yahoo | Ask ]
Defendant: Alan P Fraade
Search News [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ]
Search Finance [ Google Finance | Yahoo Finance | Hoovers | SEC Edgar Filings ]
Search Web [ Legal Web | Google | Bing | Yahoo | Ask ]
Defendant: Joseph J Tomasek
Represented By: John A. Sten
Represented By: Jason C. Moreau
Search News [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ]
Search Finance [ Google Finance | Yahoo Finance | Hoovers | SEC Edgar Filings ]
Search Web [ Legal Web | Google | Bing | Yahoo | Ask ]
Defendant: Pro Se Party Alan P Fraade
Search News [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ]
Search Finance [ Google Finance | Yahoo Finance | Hoovers | SEC Edgar Filings ]
Search Web [ Legal Web | Google | Bing | Yahoo | Ask ]

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.


Why Is My Information Online?