Securities & Exchange Commission v. Auctus Fund Management, LLC et al
| Securities & Exchange Commission |
| Auctus Fund Management, LLC, Louis J Posner, Alfred Sollami and Auctus Fund LLC |
| Alternative Investment Management Association, Ltd., Trading and Markets Project, Inc. and National Association of Private Fund Managers |
| 1:2023cv11233 |
| June 1, 2023 |
| US District Court for the District of Massachusetts |
| Angel Kelley |
| Securities/Commodities |
| Plaintiff |
Docket Report
RSS Track this Docket
This docket was last retrieved on November 10, 2023. A more recent docket listing may be available from PACER.
| Document Text |
|---|
| Filing 40 MOTION for Leave to File Notice of Supplemental Authority (Unopposed Motion) by Auctus Fund LLC, Auctus Fund Management, LLC, Louis J Posner, Alfred Sollami. (Attachments: #1 Exhibit 1 - (Proposed) Notice of Supplemental Authority)(Walker, Helgi) |
| Filing 39 REPLY to Response to #25 MOTION TO DISMISS FOR FAILURE TO STATE A CLAIM filed by Auctus Fund LLC, Auctus Fund Management, LLC, Louis J Posner, Alfred Sollami. (Goldsmith, Barry) |
| Filing 38 Opposition re #25 MOTION TO DISMISS FOR FAILURE TO STATE A CLAIM filed by Securities & Exchange Commission. (Attachments: #1 Exhibit 1, #2 Exhibit 2)(Moran, Michael) |
| Filing 37 AMICUS BRIEF filed by Alternative Investment Management Association, Ltd., National Association of Private Fund Managers, Trading and Markets Project, Inc. . (Gillett, Gabriel) |
| Filing 36 NOTICE of Appearance by Gabriel K. Gillett on behalf of Alternative Investment Management Association, Ltd., National Association of Private Fund Managers, Trading and Markets Project, Inc. (Gillett, Gabriel) |
| Filing 35 District Judge Angel Kelley: ELECTRONIC ORDER entered GRANTING #31 Unopposed Motion for Leave to File Amici Curiae Brief in Support of Defendants' Motion to Dismiss. 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. (Pacho, Arnold) |
| Filing 34 RESPONSE to Motion re #31 MOTION for Leave to File / Unopposed Motion for Leave to File Amici Curiae Brief in Support of Defendants' Motion to Dismiss filed by Securities & Exchange Commission. (Kelly, Rua) |
| Filing 33 District Judge Angel Kelley: ELECTRONIC ORDER entered GRANTING #29 Motion for Leave to Appear Pro Hac Vice. Added Gabriel K. Gillett. Attorneys admitted Pro Hac Vice must have an individual PACER account, not a shared firm account, to electronically file in the District of Massachusetts. To register for a PACER account, go the Pacer website at # https://pacer.uscourts.gov/register-account. You must put the docket number under ADDITIONAL FILER INFORMATION on your form when registering or it will be rejected.Pro Hac Vice Admission Request Instructions # https://www.mad.uscourts.gov/caseinfo/nextgen-pro-hac-vice.htm.A Notice of Appearance must be entered on the docket by the newly admitted attorney. (Pacho, Arnold) |
| Filing 32 CORPORATE DISCLOSURE STATEMENT by Alternative Investment Management Association, Ltd., National Association of Private Fund Managers, Trading and Markets Project, Inc.. (Pillay, Shoba) |
| Filing 31 MOTION for Leave to File / Unopposed Motion for Leave to File Amici Curiae Brief in Support of Defendants' Motion to Dismiss by Alternative Investment Management Association, Ltd., National Association of Private Fund Managers, Trading and Markets Project, Inc.. (Attachments: #1 Brief of Amici Curiae)(Pillay, Shoba) |
| Filing 30 NOTICE OF ATTORNEY PAYMENT OF FEES as to #29 MOTION for Admission Pro Hac Vice for Gabriel K. Gillett by Amicus Parties Alternative Investment Management Association, Ltd., National Association of Private Fund Managers, Trading and Markets Project, Inc.. Filing fee $ 125, receipt number AMADC-10039258. Payment Type : PRO HAC VICE. (Pillay, Shoba) |
| Filing 29 MOTION for Admission Pro Hac Vice for Gabriel K. Gillett by Alternative Investment Management Association, Ltd., National Association of Private Fund Managers, Trading and Markets Project, Inc..(Pillay, Shoba) Modified ECF event on 9/18/2023. (Pacho, Arnold). |
| Filing 28 Amicus Curiae APPEARANCE entered by Shoba Pillay on behalf of Alternative Investment Management Association, Ltd., Trading and Markets Project, Inc., National Association of Private Fund Managers. (Pillay, Shoba) |
| Filing 27 APPENDIX/EXHIBIT re #25 MOTION TO DISMISS FOR FAILURE TO STATE A CLAIM by Auctus Fund LLC, Auctus Fund Management, LLC, Louis J Posner, Alfred Sollami. (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, #10 Exhibit J)(Greenberg, Gary) |
| Filing 26 MEMORANDUM in Support re #25 MOTION TO DISMISS FOR FAILURE TO STATE A CLAIM filed by Auctus Fund LLC, Auctus Fund Management, LLC, Louis J Posner, Alfred Sollami. (Greenberg, Gary) |
| Filing 25 MOTION TO DISMISS FOR FAILURE TO STATE A CLAIM by Auctus Fund LLC, Auctus Fund Management, LLC, Louis J Posner, Alfred Sollami.(Greenberg, Gary) |
| Filing 24 District Judge Angel Kelley: ELECTRONIC ORDER entered GRANTING #23 Joint MOTION for Leave to File Excess Pages for Defendants' Motion to Dismiss. (Pacho, Arnold) |
| Filing 23 Joint MOTION for Leave to File Excess Pages for Defendants' Motion to Dismiss by Auctus Fund LLC, Auctus Fund Management, LLC, Louis J Posner, Alfred Sollami.(Seibald, M.) |
| Filing 22 District Judge Angel Kelley: ELECTRONIC ORDER entered GRANTING #16 Joint Motion for Briefing Schedule for Defendants' Motion to Dismiss. Defendants Motion to Dismiss and accompanying Memorandum of Law September 8, 2023. SECs Opposition to Defendants Motion to Dismiss - October 6, 2023. Defendants Reply in Support of their Motion to Dismiss - October 27, 2023. (Pacho, Arnold) |
| Filing 21 District Judge Angel Kelley: ELECTRONIC ORDER entered GRANTING #15 Motion for Leave to Appear Pro Hac Vice. Added Marshall R. King. Attorneys admitted Pro Hac Vice must have an individual upgraded PACER account, not a shared firm account, to electronically file in the District of Massachusetts. Counsel may need to link their CM/ECF account to their upgraded individual pacer account. Instructions on how to link CM/ECF accounts to upgraded pacer account can be found at # https://www.mad.uscourts.gov/caseinfo/nextgen-current-pacer-accounts.htm#link-account. (Pacho, Arnold) |
| Filing 20 District Judge Angel Kelley: ELECTRONIC ORDER entered GRANTING #14 Motion for Leave to Appear Pro Hac Vice. Added Barry R. Goldsmith. Attorneys admitted Pro Hac Vice must have an individual upgraded PACER account, not a shared firm account, to electronically file in the District of Massachusetts. Counsel may need to link their CM/ECF account to their upgraded individual pacer account. Instructions on how to link CM/ECF accounts to upgraded pacer account can be found at # https://www.mad.uscourts.gov/caseinfo/nextgen-current-pacer-accounts.htm#link-account. (Pacho, Arnold) |
| Filing 19 District Judge Angel Kelley: ELECTRONIC ORDER entered GRANTING #13 Motion for Leave to Appear Pro Hac Vice. Added Brian A. Richman. Attorneys admitted Pro Hac Vice must have an individual PACER account, not a shared firm account, to electronically file in the District of Massachusetts. To register for a PACER account, go the Pacer website at # https://pacer.uscourts.gov/register-account. You must put the docket number on your form when registering or it will be rejected.Pro Hac Vice Admission Request Instructions # https://www.mad.uscourts.gov/caseinfo/nextgen-pro-hac-vice.htm.A Notice of Appearance must be entered on the docket by the newly admitted attorney. (Pacho, Arnold) |
| Filing 18 District Judge Angel Kelley: ELECTRONIC ORDER entered GRANTING #12 Motion for Leave to Appear Pro Hac Vice. Added Helgi C. Walker. Attorneys admitted Pro Hac Vice must have an individual upgraded PACER account, not a shared firm account, to electronically file in the District of Massachusetts. Counsel may need to link their CM/ECF account to their upgraded individual pacer account. Instructions on how to link CM/ECF accounts to upgraded pacer account can be found at # https://www.mad.uscourts.gov/caseinfo/nextgen-current-pacer-accounts.htm#link-account. (Pacho, Arnold) |
| Filing 17 District Judge Angel Kelley: ELECTRONIC ORDER entered GRANTING #11 Motion for Leave to Appear Pro Hac Vice. Added M. Jonathan Seibald. Attorneys admitted Pro Hac Vice must have an individual upgraded PACER account, not a shared firm account, to electronically file in the District of Massachusetts. Counsel may need to link their CM/ECF account to their upgraded individual pacer account. Instructions on how to link CM/ECF accounts to upgraded pacer account can be found at # https://www.mad.uscourts.gov/caseinfo/nextgen-current-pacer-accounts.htm#link-account. (Pacho, Arnold) |
| Filing 16 Joint MOTION for Proposed Briefing Schedule for Defendants' Motion to Dismiss by Auctus Fund LLC, Auctus Fund Management, LLC, Louis J Posner, Alfred Sollami.(Greenberg, Gary) |
| Filing 15 MOTION for Leave to Appear Pro Hac Vice for admission of Marshall R. King Filing fee: $ 125, receipt number AMADC-9897924 by Auctus Fund LLC, Auctus Fund Management, LLC, Louis J Posner, Alfred Sollami. (Attachments: #1 Declaration)(Greenberg, Gary) |
| Filing 14 MOTION for Leave to Appear Pro Hac Vice for admission of Barry R. Goldsmith Filing fee: $ 125, receipt number AMADC-9897759 by Auctus Fund LLC, Auctus Fund Management, LLC, Louis J Posner, Alfred Sollami. (Attachments: #1 Declaration)(Greenberg, Gary) |
| Filing 13 MOTION for Leave to Appear Pro Hac Vice for admission of Brian A. Richman Filing fee: $ 125, receipt number AMADC-9897750 by Auctus Fund LLC, Auctus Fund Management, LLC, Louis J Posner, Alfred Sollami. (Attachments: #1 Declaration)(Greenberg, Gary) |
| Filing 12 MOTION for Leave to Appear Pro Hac Vice for admission of Helgi C. Walker Filing fee: $ 125, receipt number AMADC-9897733 by Auctus Fund LLC, Auctus Fund Management, LLC, Louis J Posner, Alfred Sollami. (Attachments: #1 Declaration)(Greenberg, Gary) |
| Filing 11 MOTION for Leave to Appear Pro Hac Vice for admission of Jonathan Seibald Filing fee: $ 125, receipt number AMADC-9897640 by Auctus Fund LLC, Auctus Fund Management, LLC, Louis J Posner, Alfred Sollami. (Attachments: #1 Declaration)(Greenberg, Gary) |
| Filing 10 NOTICE of Appearance by Gary R. Greenberg on behalf of Auctus Fund LLC, Auctus Fund Management, LLC, Louis J Posner, Alfred Sollami (Greenberg, Gary) |
| Filing 9 WAIVER OF SERVICE Returned Executed by Securities & Exchange Commission. Auctus Fund LLC waiver sent on 6/6/2023, answer due 8/7/2023. (Kelly, Rua) |
| Filing 8 WAIVER OF SERVICE Returned Executed by Securities & Exchange Commission. Alfred Sollami waiver sent on 6/6/2023, answer due 8/7/2023. (Kelly, Rua) |
| Filing 7 WAIVER OF SERVICE Returned Executed by Securities & Exchange Commission. Louis J Posner waiver sent on 6/6/2023, answer due 8/7/2023. (Kelly, Rua) |
| Filing 6 WAIVER OF SERVICE Returned Executed by Securities & Exchange Commission. Auctus Fund Management, LLC waiver sent on 6/6/2023, answer due 8/7/2023. (Kelly, Rua) |
| Filing 5 NOTICE of Appearance by Michael Paul Franck on behalf of Securities & Exchange Commission (Franck, Michael) |
| Filing 4 NOTICE of Appearance by Michael C. Moran on behalf of Securities & Exchange Commission (Moran, Michael) |
| Filing 3 Summons Issued as to Auctus Fund LLC, Auctus Fund Management, LLC, Louis J Posner, Alfred Sollami. 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. (Dore, Samantha) |
| Filing 2 ELECTRONIC NOTICE of Case Assignment. District Judge Angel Kelley 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) |
| Filing 1 COMPLAINT against All Defendants (Fee Status: US Government), filed by Securities & Exchange Commission. (Attachments: #1 Exhibit A to Complaint, #2 Civil Cover Sheet, #3 Category Form)(Kelly, Rua) |
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 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.
