Securities and Exchange Commission v. American Renal Associates Holdings, Inc. et al
| Securities and Exchange Commission |
| American Renal Associates Holdings, Inc., Jonathan L. Wilcox, Jason M Boucher and Karen J. Smith |
| 1:2022cv10651 |
| April 29, 2022 |
| US District Court for the District of Massachusetts |
| Nathaniel M Gorton |
| Securities/Commodities |
| 15 U.S.C. § 77 Securities Fraud |
| Both |
Docket Report
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This docket was last retrieved on March 23, 2023. A more recent docket listing may be available from PACER.
| Document Text |
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| Filing 51 ANSWER to #1 Complaint with Jury Demand and Affirmative Defenses by Jason M Boucher.(Sylvia, John) |
| Filing 50 AFFIDAVIT in Support re #48 MOTION to Dismiss Counts 1,2,3,4,5,7,9 and 12 of the Complaint (Affidavit of John F. Sylvia) filed by Jason M Boucher. (Attachments: #1 Exhibit A, #2 Exhibit B)(Sylvia, John) |
| Filing 49 MEMORANDUM in Support re #48 MOTION to Dismiss Counts 1,2,3,4,5,7,9 and 12 of the Complaint filed by Jason M Boucher. (Sylvia, John) |
| Filing 48 MOTION to Dismiss Counts 1,2,3,4,5,7,9 and 12 of the Complaint by Jason M Boucher.(Sylvia, John) |
| Filing 47 ANSWER to #1 Complaint by Jonathan L. Wilcox.(Kane, Matthew) |
| Filing 46 AFFIDAVIT in Support re #44 MOTION to Dismiss filed by Jonathan L. Wilcox. (Attachments: #1 Exhibit 1, #2 Exhibit 2, #3 Exhibit 3, #4 Exhibit 4, #5 Exhibit 5, #6 Exhibit 6)(Kane, Matthew) |
| Filing 45 MEMORANDUM in Support re #44 MOTION to Dismiss filed by Jonathan L. Wilcox. (Kane, Matthew) |
| Filing 44 MOTION to Dismiss by Jonathan L. Wilcox.(Kane, Matthew) |
| Filing 43 MEMORANDUM in Support re #42 MOTION TO DISMISS FOR FAILURE TO STATE A CLAIM filed by Karen J. Smith. (Attachments: #1 Exhibit A, #2 Exhibit B, #3 Exhibit C, #4 Exhibit D)(Kotlier, Jonathan) |
| Filing 42 MOTION TO DISMISS FOR FAILURE TO STATE A CLAIM by Karen J. Smith.(Kotlier, Jonathan) |
| Filing 41 Judge Nathaniel M. Gorton: ORDER entered. PROTECTIVE ORDER re #36 Joint MOTION for Protective Order Regarding Confidential Personal Information. Subject, specifically, to the provisions of Local Rule 7.2. (Warnock, Douglas) |
| Filing 40 Judge Nathaniel M. Gorton: ORDER entered ALLOWING #36 Joint MOTION for Protective Order Regarding Confidential Personal Information. (Warnock, Douglas) |
| Filing 39 ELECTRONIC NOTICE Canceling Hearing. The Scheduling Conference set for 7/12/22 is canceled. Parties already have a briefing order in place, and the Notice of the hearing was entered in error. (Lima, Christine) |
| Filing 38 NOTICE of Scheduling Conference Scheduling Conference, to be held by telephone, set for 7/12/2022 11:00 AM in Remote Proceeding : Boston before Judge Nathaniel M. Gorton. (Lima, Christine) |
| Filing 37 Judge Nathaniel M. Gorton: ORDER entered re #35 Joint MOTION for Leave to File Excess Pages and for Briefing Schedule. Motion ALLOWED, in part, and DENIED, in part; the briefing schedule is allowed as requested but the following page limits are imposed: defendant Smith's motion to dismiss, 30 pages; plaintiff's combined opposition, 50 pages; defendant Smith's reply, 15 pages; and the other defendants' replies, 10 pages. Counsel using the Electronic Case Filing System should now file the document for which leave to file has been granted in accordance with the CM/ECF Administrative Procedures. Counsel must include - Leave to file granted on (date of order)- in the caption of the document. (Warnock, Douglas) |
| Filing 36 Joint MOTION for Protective Order Regarding Confidential Personal Information by Securities and Exchange Commission. (Attachments: #1 Text of Proposed Order Proposed Confidentiality Order, #2 Exhibit Agreement to be Bound)(Bruckmann, Christopher) |
| Filing 35 Joint MOTION for Leave to File Excess Pages and for Briefing Schedule by Karen J. Smith.(Kotlier, Jonathan) |
| Filing 34 ELECTRONIC NOTICE of Case Assignment. Judge Nathaniel M. Gorton 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 Judith G. Dein. (Danieli, Chris) |
| Filing 33 Case transferred in from District of New York Southern; Case Number 1:21-cv-10366. |
| CASE TRANSFERRED OUT ELECTRONICALLY from the U.S.D.C. Southern District of New York to the United States District Court - District of District of Massachusetts. (ate) |
| Transmission to Office of the Clerk of Court. Transmitted re: #32 Memorandum & Opinion, to the Office of the Clerk of Court for processing. (ate) |
Filing 32
OPINION AND ORDER re: #19 MOTION to Transfer Case . filed by Karen J. Smith. For the foregoing reasons, Defendants' motion to transfer venue is GRANTED. The Clerk of Court is directed to close the motion at Docket Number 19 and to transfer this case to the District of Massachusetts. (Signed by Judge J. Paul Oetken on 4/20/2022) (ate) Modified on 4/21/2022 (ate).
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| Filing 31 REPLY MEMORANDUM OF LAW in Support re: #19 MOTION to Transfer Case . . Document filed by Karen J. Smith..(Kotlier, Jonathan) |
| Filing 30 DECLARATION of Pei Y. Chung in Opposition re: #19 MOTION to Transfer Case .. Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit 1, #2 Exhibit 2, #3 Exhibit 3, #4 Exhibit 4, #5 Exhibit 5, #6 Exhibit 6, #7 Exhibit 7, #8 Exhibit 8, #9 Exhibit 9, #10 Exhibit 10, #11 Exhibit 11, #12 Exhibit 12, #13 Exhibit 13, #14 Exhibit 14, #15 Exhibit 15, #16 Exhibit 16).(Bruckmann, Christopher) |
| Filing 29 MEMORANDUM OF LAW in Opposition re: #19 MOTION to Transfer Case . . Document filed by Securities and Exchange Commission..(Bruckmann, Christopher) |
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Filing 28
STIPULATION TO EXTEND TIME TO ANSWER OR RESPOND TO PLAINTIFF'S COMPLAINT: IT IS HEREBY STIPULATED, by and between the undersigned attorneys for the parties hereto, that: On December 6, 2021, Plaintiff filed its complaint against the above- named defendants in the above-captioned action. (ECF #1) On January 14, 2022, Defendants Jason M. Boucher, Karen J. Smith and Jonathan L. Wilcox (the "Individual Defendants") filed a Joint Motion to Transfer Venue for this case to the District of Massachusetts (the "Motion to Transfer"). In light of the pending Motion to Transfer, the time for the Individual Defendants to answer or otherwise respond to Plaintiffs Complaint is hereby extended as follows: If the Motion to Transfer is denied, thirty days from the date of this Court'sdecision on the Motion to Transfer; or If the Motion to Transfer is granted, thirty days from the date this case is docketed in the District of Massachusetts. So Ordered. Motions terminated: #27 FIRST LETTER MOTION for Extension of Time to File Answer re: #1 Complaint addressed to Judge J. Paul Oetken from John F. Sylvia dated January 20, 2022. filed by Jason M. Boucher. (Signed by Judge J. Paul Oetken on 1/21/2022) (js)
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| Filing 27 FIRST LETTER MOTION for Extension of Time to File Answer re: #1 Complaint addressed to Judge J. Paul Oetken from John F. Sylvia dated January 20, 2022. Document filed by Jason M. Boucher..(Sylvia, John) |
| Filing 26 LETTER addressed to Judge J. Paul Oetken from Jonathan L. Kotlier dated 01/18/2022 re: Amended Memorandum of Law in Support of Motion to Transfer Venue. Document filed by Karen J. Smith..(Kotlier, Jonathan) |
| Filing 25 AMENDED MEMORANDUM OF LAW in Support re: #19 MOTION to Transfer Case . . Document filed by Karen J. Smith..(Kotlier, Jonathan) |
| Filing 24 DECLARATION of Karen J. Smith in Support re: #19 MOTION to Transfer Case .. Document filed by Karen J. Smith..(Kotlier, Jonathan) |
| Filing 23 DECLARATION of Jason M. Boucher in Support re: #19 MOTION to Transfer Case .. Document filed by Karen J. Smith..(Kotlier, Jonathan) |
| Filing 22 DECLARATION of Jonathan Wilcox in Support re: #19 MOTION to Transfer Case .. Document filed by Karen J. Smith..(Kotlier, Jonathan) |
| Filing 21 DECLARATION of Jonathan L. Kotlier in Support re: #19 MOTION to Transfer Case .. Document filed by Karen J. Smith. (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).(Kotlier, Jonathan) |
| Filing 20 MEMORANDUM OF LAW in Support re: #19 MOTION to Transfer Case . . Document filed by Karen J. Smith..(Kotlier, Jonathan) |
| Filing 19 MOTION to Transfer Case . Document filed by Karen J. Smith..(Kotlier, Jonathan) |
| ***NOTICE TO ATTORNEY TO RE-FILE DOCUMENT - DEFICIENT DOCKET ENTRY ERROR. Notice to Attorney Jonathan L Kotlier to RE-FILE Document #18 Declaration in Support of Motion. ERROR(S): Linked to a Deficient Docket Entry. (lb) |
| ***NOTICE TO ATTORNEY TO RE-FILE DOCUMENT - DEFICIENT DOCKET ENTRY ERROR. Notice to Attorney Jonathan L Kotlier to RE-FILE Document #17 MOTION to Transfer Case .. ERROR(S): Supporting Documents are filed separately, each receiving their own document #. (lb) |
| Filing 18 FILING ERROR - DEFICIENT DOCKET ENTRY - DECLARATION of Jonathan L. Kotlier in Support re: #17 MOTION to Transfer Case .. Document filed by Karen J. Smith..(Kotlier, Jonathan) Modified on 1/18/2022 (lb). |
| Filing 17 FILING ERROR - DEFICIENT DOCKET ENTRY - MOTION to Transfer Case . Document filed by Karen J. Smith. (Attachments: #1 Memorandum in Support of Individual Defendants' Motion to Transfer Venue, #2 Declaration of Jonathan L. Kotlier in Support of Individual Defendants' Motion to Transfer Venue, #3 Declaration of Jonathan Wilcox in Support of Motion to Transfer, #4 Declaration of Jason M. Boucher in Support of Motion to Transfer Venue, #5 Declaration of Karen J. Smith in Support of Individual Defendants' Motion to Transfer Venue).(Kotlier, Jonathan) Modified on 1/18/2022 (lb). |
| Filing 16 WAIVER OF SERVICE RETURNED EXECUTED. Karen J. Smith waiver sent on 12/6/2021, answer due 2/4/2022. Document filed by Securities and Exchange Commission..(Bruckmann, Christopher) |
| Filing 15 WAIVER OF SERVICE RETURNED EXECUTED. Jason M. Boucher waiver sent on 12/6/2021, answer due 2/4/2022. Document filed by Securities and Exchange Commission..(Bruckmann, Christopher) |
| Filing 14 WAIVER OF SERVICE RETURNED EXECUTED. Jonathan L. Wilcox waiver sent on 12/6/2021, answer due 2/4/2022. Document filed by Securities and Exchange Commission..(Bruckmann, Christopher) |
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Filing 13
ORDER granting #10 Motion to Appear Pro Hac Vice. GRANTED. SO ORDERED. (HEREBY ORDERED by Judge J. Paul Oetken)(Text Only Order) (bh)
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| Transmission to Finance Unit (Cashiers). Transmitted re: #11 Judgment,,,,,,,,,,,,,,, to the Finance Unit (Cashiers) for case processing..(tg) |
| >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #10 MOTION for Pei Yuan Chung to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (bcu) |
| Filing 12 NOTICE OF APPEARANCE by Jonathan Brian Austin on behalf of Securities and Exchange Commission..(Austin, Jonathan) |
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Filing 11
FINAL JUDGMENT AS TO DEFENDANT AMERICAN RENAL ASSOCIATES HOLDINGS, INC.: IT IS HEREBY ORDERED, ADJUDGED, AND DECREED that Defendant is permanently restrained and enjoined from violating, directly or indirectly, Section 10(b) of the Securities Exchange Act of 1934 (the "Exchange Act") [15 U.S.C. 78j(b)] and Rule 10b-5 promulgated thereunder [17 C.F.R. 240.10b-5], by using any means or instrumentality of interstate commerce, or of the mails, or of any facility of any national securities exchange, in connection with the purchase or sale of any security: (As further set forth by this Order). IT IS HEREBY FURTHER ORDERED, ADJUDGED, AND DECREED that Defendant is permanently restrained and enjoined from violating Section 17(a) of the Securities Act of 1933 (the "Securities Act") [15 U.S.C. 77q(a)] in the offer or sale of any security by the use of any means or instruments of transportation or communication in interstate commerce or by use of the mails, directly or indirectly: (As further set forth by this Order). IT IS HEREBY ORDERED, ADJUDGED and DECREED that Defendant is permanently restrained and enjoined from violating Section 13(a) of the Exchange Act [15 U.S.C. 78m(a)] and Rules 12b-20, 13a-1, 13a-11 and 13a-13 thereunder [17 C.F.R. 240.12b-20, 240.13a-1, 240.13a-11 and 240.13a-13] by filing or causing to be filed with the Commission annual, current or other periodic reports with respect to Defendant, its subsidiaries and affiliates, or any other issuer, which contain any untrue statement of material fact or omit to state any material fact necessary in order to make the statements made, in light of the circumstances under which they were made, not misleading or which omit any material fact required to be contained therein. IT IS FURTHER ORDERED, ADJUDGED, AND DECREED that, as provided in Federal Rule of Civil Procedure 65(d)(2), the foregoing paragraph also binds the following who receive actual notice of this Final Judgment by personal service or otherwise: (a) Defendant's officers, agents, servants, employees, and attorneys; and (b) other persons in active concert or participation with Defendant or with anyone described in (a). IT IS HEREBY FURTHER ORDERED, ADJUDGED, AND DECREED that Defendant is permanently restrained and enjoined from violating Sections 13(b)(2)(A) and 13(b)(2)(B) of the Exchange Act [15 U.S.C. 78m(b)(2)(A) and 78m(b)(2)(B)] by failing: (As further set forth by this Order). IT IS HEREBY FURTHER ORDERED, ADJUDGED, AND DECREED that Defendant is liable for a civil penalty in the amount of $2,000,000 pursuant to Section 20(d) of the Securities Act [15 U.S.C. 77t(d)] and Section 21(d)(3) of the Exchange Act [15 U.S.C. 78u(d)(3)]. Defendant shall satisfy this obligation by paying $2,000,000 to the Securities and Exchange Commission within 30 days after entry of this Final Judgment. (As further set forth by this Order). IT IS FURTHER ORDERED, ADJUDGED, AND DECREED that the Consent is incorporated herein with the same force and effect as if fully set forth herein, and that Defendant shall comply with all of the undertakings and agreements set forth therein. IT IS FURTHER ORDERED, ADJUDGED, AND DECREED that this Court shall retain jurisdiction of this matter for the purposes of enforcing the terms of this Final Judgment. There being no just reason for delay, pursuant to Rule 54(b) of the Federal Rules of Civil Procedure, the Clerk is ordered to enter this Final Judgment forthwith and without further notice. (Signed by Judge J. Paul Oetken on 12/8/2021) (tg)
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| Filing 10 MOTION for Pei Yuan Chung to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Securities and Exchange Commission. (Attachments: #1 Affidavit Affidavit and Certificate of Good Standing, #2 Text of Proposed Order).(Chung, Pei) |
| Filing 9 PROPOSED JUDGMENT. Document filed by Securities and Exchange Commission. (Attachments: #1 Consent to Judgment by American Renal Associates Holdings, Inc.).(Bruckmann, Christopher) Proposed Judgment to be reviewed by Clerk's Office staff. |
| Filing 8 ELECTRONIC SUMMONS ISSUED as to Karen J. Smith. (vf) |
| Filing 7 ELECTRONIC SUMMONS ISSUED as to Jason M. Boucher. (vf) |
| Filing 6 ELECTRONIC SUMMONS ISSUED as to Jonathan L. Wilcox. (vf) |
| ***NOTICE TO COURT REGARDING PROPOSED JUDGMENT. Document No. #9 Proposed Judgment was reviewed and approved as to form. (km) |
| ***NOTICE TO ATTORNEY REGARDING PARTY MODIFICATION. Notice to attorney Christopher Mark Bruckmann. The party information for the following party/parties has been modified: Securities and Exchange Commisison. The information for the party/parties has been modified for the following reason/reasons: party name contained a typographical error. (vf) |
| Magistrate Judge Stewart D. Aaron is so designated. Pursuant to 28 U.S.C. Section 636(c) and Fed. R. Civ. P. 73(b)(1) parties are notified that they may consent to proceed before a United States Magistrate Judge. Parties who wish to consent may access the necessary form at the following link: #https://nysd.uscourts.gov/sites/default/files/2018-06/AO-3.pdf. (vf) |
| CASE OPENING INITIAL ASSIGNMENT NOTICE: The above-entitled action is assigned to Judge J. Paul Oetken. Please download and review the Individual Practices of the assigned District Judge, located at #https://nysd.uscourts.gov/judges/district-judges. Attorneys are responsible for providing courtesy copies to judges where their Individual Practices require such. Please download and review the ECF Rules and Instructions, located at #https://nysd.uscourts.gov/rules/ecf-related-instructions..(vf) |
| Case Designated ECF. (vf) |
| Filing 5 REQUEST FOR ISSUANCE OF SUMMONS as to Karen J. Smith, re: #1 Complaint. Document filed by Securities and Exchange Commission.(Bruckmann, Christopher) |
| Filing 4 REQUEST FOR ISSUANCE OF SUMMONS as to Jason M. Boucher, re: #1 Complaint. Document filed by Securities and Exchange Commission.(Bruckmann, Christopher) |
| Filing 3 REQUEST FOR ISSUANCE OF SUMMONS as to Jonathan L. Wilcox, re: #1 Complaint. Document filed by Securities and Exchange Commission.(Bruckmann, Christopher) |
| Filing 2 CIVIL COVER SHEET filed..(Bruckmann, Christopher) |
| Filing 1 COMPLAINT against American Renal Associates Holdings, Inc., Jason M. Boucher, Karen J. Smith, Jonathan L. Wilcox. Document filed by Securities and Exchange Commission.(Bruckmann, Christopher) |
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