Securities and Exchange Commission v. Commonwealth Equity Services, LLC
Plaintiff: Securities and Exchange Commission
Defendant: Commonwealth Equity Services, LLC
Case Number: 1:2019cv11655
Filed: August 1, 2019
Court: US District Court for the District of Massachusetts
Presiding Judge: Allison D Burroughs
Referring Judge: M Page Kelley
Nature of Suit: Securities/Commodities
Cause of Action: 12:22
Jury Demanded By: Plaintiff
Docket Report

This docket was last retrieved on September 27, 2019. A more recent docket listing may be available from PACER.

Date Filed Document Text
September 27, 2019 Filing 11 Judge Allison D. Burroughs: ELECTRONIC ORDER entered granting #9 Motion for Leave to Appear Pro Hac Vice Added Elizabeth L. Davis. 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. Pursuant to Local Rule 83.5.3, local counsel shall also file an appearance in this matter. Further, local counsel shall review all filings and shall personally appear in Court for any hearings or conferences, unless expressly excused by the Court for good cause. (McDonagh, Christina)
September 27, 2019 Filing 10 Judge Allison D. Burroughs: ELECTRONIC ORDER entered granting #8 Motion for Leave to Appear Pro Hac Vice Added Thomas A. Ferrigno. 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. Pursuant to Local Rule 83.5.3, local counsel shall also file an appearance in this matter. Further, local counsel shall review all filings and shall personally appear in Court for any hearings or conferences, unless expressly excused by the Court for good cause. (McDonagh, Christina)
September 26, 2019 Filing 9 MOTION for Leave to Appear Pro Hac Vice for admission of Elizabeth L. Davis Filing fee: $ 100, receipt number 0101-7897114 by Commonwealth Equity Services, LLC. (Attachments: #1 Affidavit)(Crimmins, Stephen)
September 26, 2019 Filing 8 MOTION for Leave to Appear Pro Hac Vice for admission of Thomas A. Ferrigno Filing fee: $ 100, receipt number 0101-7897076 by Commonwealth Equity Services, LLC. (Attachments: #1 Affidavit)(Crimmins, Stephen)
September 26, 2019 Filing 7 NOTICE of Appearance by Stephen J. Crimmins on behalf of Commonwealth Equity Services, LLC (Crimmins, Stephen)
August 8, 2019 Filing 6 WAIVER OF SERVICE Returned Executed by Securities and Exchange Commission. Commonwealth Equity Services, LLC waiver sent on 8/1/2019, answer due 9/30/2019. (Harper, Richard)
August 2, 2019 Filing 5 ELECTRONIC NOTICE of Case Re-Assignment. Judge Allison D. Burroughs 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 Jennifer C. Boal. (Finn, Mary)
August 2, 2019 Filing 4 Magistrate Judge M. Page Kelley: ORDER entered. ORDER OF RECUSAL.(Belmont, Kellyann)
August 1, 2019 Filing 3 Summons Issued as to Commonwealth Equity Services, LLC. 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. (Currie, Haley)
August 1, 2019 Filing 2 NOTICE of Case Assignment. Magistrate Judge M. Page Kelley assigned to case. Plaintiff's counsel, or defendant's counsel if this case was initiated by the filing of a Notice of Removal, are directed to the Notice and Procedures regarding Consent to Proceed before the Magistrate Judge which can be downloaded #here. These documents will be mailed to counsel not receiving notice electronically. Pursuant to General Order 09-3, until the Court receives for filing either a consent to the Magistrate Judge's jurisdiction or the reassignment of the case to a District Judge, the initial assignment of a civil case to the Magistrate Judge is a referral to the Magistrate Judge under 28 USC 636(b) for all pretrial non-dispositive matters and Report and Recommendations, but not for the Rule 16(b) scheduling conference. (Finn, Mary)
August 1, 2019 Filing 1 COMPLAINT against Commonwealth Equity Services, LLC d/b/a Commonwealth Financial Network (Fee Status: US Government), filed by Securities and Exchange Commission. (Attachments: #1 Civil Cover Sheet, #2 Category Form, #3 Summons)(Harper, Richard)

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Defendant: Commonwealth Equity Services, LLC
Represented By: Thomas Ferrigno
Represented By: Elizabeth L. Davis
Represented By: Stephen J. Crimmins
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Plaintiff: Securities and Exchange Commission
Represented By: Richard Mann Harper, II
Represented By: Alfred A. Day
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