United States Securities and Exchange Commission v. Beckman et al
Plaintiff: United States Securities and Exchange Commission
Defendant: Jason Bo-Alan Beckman, Oxford Private Client Group, LLC, The, Hollie Beckman and FINRA Claimants
Receiver: RJ Zayed
Case Number: 0:2011cv00574
Filed: March 7, 2011
Court: US District Court for the District of Minnesota
Office: DMN Office
County: Hennepin
Presiding Judge: Michael J. Davis
Presiding Judge: Franklin L. Noel
Nature of Suit: Securities/Commodities/Exchanges
Cause of Action: 15:77
Jury Demanded By: None

Available Case Documents

The following documents for this case are available for you to view or download:

Date Filed Document Text
April 13, 2017 Opinion or Order Filing 654 ORDER AUTHORIZING THE PAYMENT OF FEES INCURRED BY THE RECEIVERS IN THE ASSOCIATED BANK ACTION THAT WERE NECESSARY TO ASSIST THE RECEIVERS IN THEIR DUTIES. Granting 643 Motion for Attorney Fees.(Written Opinion). Signed by Judge Michael J. Davis on 4/13/17. (GRR) cc: Beckman. Modified on 4/13/2017 (lmb).
December 19, 2016 Opinion or Order Filing 632 ORDER AUTHORIZING THE PAYMENT OF FEES INCURRED BY THE RECEIVER THAT WERE NECESSARY TO ASSIST THE RECEIVER IN HIS DUTIES. Granting 623 Motion for Attorney Fees. (Written Opinion) Signed by Judge Michael J. Davis on 12/19/16. (GRR) CC: Beckman. (kt)
July 7, 2015 Opinion or Order Filing 550 ORDER AUTHORIZING THE PAYMENT OF FEES INCURRED BY THE RECEIVER THAT WERE NECESSARY TO ASSIST THE RECEIVER IN HIS DUTIES. Granting 538 Motion for Attorney Fees. (Written Opinion). Signed by Judge Michael J. Davis on 7/7/15. (GRR)
July 1, 2015 Opinion or Order Filing 549 ORDER granting 541 Motion for Attorney Fees. (Written Opinion). Signed by Judge Michael J. Davis on 7/1/15. (GRR)
May 4, 2015 Opinion or Order Filing 531 ORDER. IT IS HEREBY ORDERED that the motion to dismiss certain relief defendants 507 is GRANTED. The SEC's claims against Relief Defendants Clifford Berg and Ellen Berg and Hollie Beckman are hereby dismissed with prejudice. (Written Opinion). Signed by Chief Judge Michael J. Davis on 5/4/15. (GRR)
April 16, 2015 Opinion or Order Filing 526 ORDER. IT IS HEREBY ORDERED that the hearing currently scheduled before this Court on May 14, 2015 in the above referenced cases is cancelled. The Court will reschedule the motions hearing after the Eighth Circuit has issued its decision in the criminal appeals of Defendants Beckman and Kiley. (Written Opinion). Signed by Chief Judge Michael J. Davis on 4/16/15. (GRR)
December 18, 2014 Opinion or Order Filing 502 ORDER AUTHORIZING THE PAYMENT OF FEES INCURRED BY THE RECEIVERS IN THE ASSOCIATED BANK ACTION THAT WERE NECESSARY TO ASSIST THE RECEIVERS IN THEIR DUTIES. Granting 492 Motion for Attorney Fees. (Written Opinion). Signed by Chief Judge Michael J. Davis on 12/18/14. (GRR)
October 15, 2014 Opinion or Order Filing 487 ORDER AUTHORIZING THE PAYMENT OF FEES INCURRED BY THE RECEIVER THAT WERE NECESSARY TO ASSIST THE RECEIVER IN HIS DUTIES. Granting 478 Motion for Attorney Fees. (Written Opinion). Signed by Chief Judge Michael J. Davis on 10/15/14. (GRR)
July 17, 2014 Opinion or Order Filing 463 ORDER AUTHORIZING THE PAYMENT OF FEES INCURRED BY THE RECEIVERS IN THE ASSOCIATED BANK ACTION THAT WERE NECESSARY TO ASSIST THE RECEIVERS IN THEIR DUTIES. Granting 455 Motion for Attorney Fees. (Written Opinion). Signed by Chief Judge Michael J. Davis on 7/17/14. (GRR) cc: Beckman on 7/17/2014 (JAM).
April 11, 2014 Opinion or Order Filing 452 ORDER AUTHORIZING THE PAYMENT OF FEES INCURRED BY THE RECEIVERS IN THE ASSOCIATED BANK ACTION THAT WERE NECESSARY TO ASSIST THE RECEIVERS IN THEIR DUTIES. Granting 444 Motion for Attorney Fees. (Written Opinion). Signed by Chief Judge Michael J. Davis on 4/11/14. (GRR)
January 27, 2014 Opinion or Order Filing 438 ORDER GRANTING PARTIAL LIFT OF ASSET FREEZE TO PERMIT PAYMENT OF DEFENSE COSTS. IT IS HEREBY ORDERED THAT: 1. Everest Indemnity Insurance Company's motion 422 is GRANTED. 2. The asset freeze imposed by this Court's Order dated Mar ch 8, 2011 9 is partially lifted to permit Everest Indemnity Insurance Company to pay defense fees and costs in the total amount of $234,055.74. SO ORDERED. (Written Opinion). Signed by Chief Judge Michael J. Davis on 1/27/14. (GRR) CC: Beckman. (kt)
January 16, 2014 Opinion or Order Filing 433 ORDER APPROVING SIXTH INTERIM DISTRIBUTION AND THIRD AMENDED FINAL CLAIMS LIST. Granting 429 Motion. (Written Opinion). Signed by Chief Judge Michael J. Davis on 1/16/14. (GRR) cc: Jason Bo-Alan Beckman on 1/16/2014 (MMP).
December 20, 2013 Opinion or Order Filing 420 ORDER AUTHORIZING THE PAYMENT OF FEES INCURRED BY THE RECEIVERS IN THE ASSOCIATED BANK ACTION THAT WERE NECESSARY TO ASSIST THE RECEIVERS IN THEIR DUTIES. Granting 416 Motion for Attorney Fees. (Written Opinion). Signed by Chief Judge Michael J. Davis on 12/20/13. (GRR) cc: Jason Bo-Alan Beckman on 12/20/2013 (MMP).
October 4, 2013 Opinion or Order Filing 411 ORDER AUTHORIZING THE PAYMENT OF FEES INCURRED BY THE RECEIVERS IN THE ASSOCIATED BANK ACTION THAT WERE NECESSARY TO ASSIST THE RECEIVERS IN THEIR DUTIES. Granting 404 Motion for Attorney Fees. (Written Opinion). Signed by Chief Judge Michael J. Davis on 10/4/13. (GRR)
August 12, 2013 Opinion or Order Filing 402 ORDER APPROVING SETTLEMENT AGREEMENT WITH ARCH INSURANCE COMPANY. Granting 399 Motion for Approval of Settlement. (Written Opinion). Signed by Chief Judge Michael J. Davis on 8/12/13. (GRR) cc: Jason Bo-Alan Beckman on 8/12/2013 (MMP).
July 1, 2013 Opinion or Order Filing 398 ORDER AUTHORIZING THE PAYMENT OF FEES INCURRED BY THE RECEIVERS IN THE ASSOCIATED BANK ACTION THAT WERE NECESSARY TO ASSIST THE RECEIVERS IN THEIR DUTIES. Granting 393 Motion for Attorney Fees. (Written Opinion). Signed by Chief Judge Michael J. Davis on 7/1/13. (GRR) cc: Jason Bo-Alan Beckman. Modified on 7/1/2013 (lmb).
June 7, 2013 Opinion or Order Filing 388 SECOND AMENDED ORDER APPROVING FIFTH INTERIM DISTRIBUTION. (Written Opinion). Signed by Chief Judge Michael J. Davis on 6/7/13. (GRR) cc: Jason Bo-Alan Beckman on 6/7/2013 (jam).
April 19, 2013 Opinion or Order Filing 382 ORDER APPROVING SETTLEMENT AGREEMENT AND GRANTING PARTIAL LIFT OF ASSET FREEZE. IT IS HEREBY ORDERED: 1. Everest Indemnity Insurance Company's motion is GRANTED 358 . 2. The Court approves the Confidential Settlement Agreement and Releas e between Ronald Stolpman and Respondent Paul Wood and his insurer, Everest Specialty Underwriters, LLC, that is filed at SEC v. Beckman et al., Civil no. 11-cv-574 (Doc. No. 361-1, Exhibit A). 3. The Court grants a partial lift of the asset freeze imposed by this Court's Order dated March 8, 2011 9 to permit Everest Indemnity Insurance Company to pay the settlement amount. Upon receipt of this Order, and pursuant to the terms of the Confidential Settlement Agreement and Release, Everest Indemnity Insurance Company shall pay to Ronald Stolpman the sum of forty thousand dollars ($40,000.00).SO ORDERED. (Written Opinion). Signed by Chief Judge Michael J. Davis on 4/19/13. (GRR)
April 11, 2013 Opinion or Order Filing 379 ORDER. IT IS HEREBY ORDERED THAT the Receiver's Motion to Retain Outside Counsel for Purposes of Pursuing Claims Against Third Parties 374 is GRANTED. (Written Opinion). Signed by Chief Judge Michael J. Davis on 4/11/13. (GRR)
March 22, 2013 Opinion or Order Filing 366 ORDER APPROVING SETTLEMENT AGREEMENT WITH SCOTTSDALE INSURANCE. IT IS HEREBY ORDERED AS FOLLOWS: 1. The Receiver's motion is GRANTED. 2. The Court approves the Settlement Agreement and Release of All Claims 355 between the Receiver and Scottsdale Insurance Company. (Written Opinion). Signed by Chief Judge Michael J. Davis on 3/22/13. (GRR)
February 4, 2013 Opinion or Order Filing 354 STIPULATED PROTECTIVE ORDER.(Written Opinion). Signed by Chief Judge Michael J. Davis on 2/4/13. (GRR)
January 24, 2013 Opinion or Order Filing 352 ORDER AUTHORIZING THE PAYMENT OF FEES INCURRED BY THE RECEIVER THAT WERE NECESSARY TO ASSIST THE RECEIVER IN HIS DUTIES. Granting 347 Motion for Attorney Fees. (Written Opinion). Signed by Chief Judge Michael J. Davis on 1/24/13. (GRR)
January 2, 2013 Opinion or Order Filing 345 ORDER APPROVING SETTLEMENT AGREEMENT AND GRANTING PARTIAL LIFT OF ASSET FREEZE TO PERMIT PAYMENT OF SETTLEMENT. Granting 335 Motion for Approval of Settlement.(Written Opinion). Signed by Chief Judge Michael J. Davis on 1/2/13. (GRR)
December 14, 2012 Opinion or Order Filing 344 ORDER AUTHORIZING THE PAYMENT OF FEES INCURRED BY THE RECEIVER THAT WERE NECESSARY TO ASSIST THE RECEIVER IN HIS DUTIES. Granting 333 Motion for Attorney Fees. (Written Opinion). Signed by Chief Judge Michael J. Davis on 12/14/12. (GRR)
November 1, 2012 Opinion or Order Filing 329 ORDER AUTHORIZING THE PAYMENT OF FEES INCURRED BY THE RECEIVER THAT WERE NECESSARY TO ASSIST THE RECEIVER IN HIS DUTIES. Granting 324 Motion for Attorney Fees. (Written Opinion). Signed by Chief Judge Michael J. Davis on 11/1/12. (GRR)
August 16, 2012 Opinion or Order Filing 319 ORDER. IT IS HEREBY ORDERED that the Motion to Lift Asset Freeze Order to Permit Payment of Defense Costs 182 is DENIED.(Written Opinion). Signed by Chief Judge Michael J. Davis on 8/16/12. (GRR)
July 19, 2012 Opinion or Order Filing 309 ORDER. IT IS HEREBY ORDERED that the motion for relief of property and hardship 306 is DENIED.(Written Opinion). Signed by Chief Judge Michael J. Davis on 7/19/12. (GRR)
April 12, 2012 Opinion or Order Filing 291 ORDER AUTHORIZING THE PAYMENT OF FEES INCURRED BY THE RECEIVER THAT WERE NECESSARY TO ASSIST THE RECEIVER IN HIS DUTIES. Granting 286 Motion for Attorney Fees. (Written Opinion). Signed by Chief Judge Michael J. Davis on 4/12/12. (GRR)
March 23, 2012 Opinion or Order Filing 281 ORDER ENTERING SECOND AMENDED FINAL CLAIMS LIST. IT IS HEREBY ORDERED THAT the motion is GRANTED. The Recognized Claim Amounts for the 723 claimants identified in the Receiver's Second Amended Final Claims List, 273 (Mar. 9, 2012), are h ereby entered as the final claim amounts for civil restitution in the civil cases of SEC v. Cook et al., 09-cv-3333 (D. Minn.), CFTC v. Cook et al., 09-cv-3332 (D. Minn.) and SEC v. Beckman et al., 11-cv-574 (D. Minn.). No other individual or entity shall be entitled to civil restitution in these cases barring further Order of this Court. (Written Opinion). Signed by Chief Judge Michael J. Davis on 3/23/12. (GRR)
February 24, 2012 Opinion or Order Filing 263 ORDER AUTHORIZING THE PAYMENT OF FEES INCURRED BY THE RECEIVER THAT WERE NECESSARY TO ASSIST THE RECEIVER IN HIS DUTIES. Granting 252 Motion for Attorney Fees.(Written Opinion). Signed by Chief Judge Michael J. Davis on 2/24/12. (GRR)
December 16, 2011 Opinion or Order Filing 241 ORDER AUTHORIZING THE PAYMENT OF FEES INCURRED BY THE RECEIVER THAT WERE NECESSARY TO ASSIST THE RECEIVER IN HIS DUTIES. Granting 236 Motion for Attorney Fees. (Written Opinion). Signed by Chief Judge Michael J. Davis on 12/15/11. (GRR)
December 15, 2011 Opinion or Order Filing 239 ORDER. IT IS HEREBY ORDERED that the motion to lift the stay 225 is DENIED(Written Opinion). Signed by Chief Judge Michael J. Davis on 12/15/11. (GRR)
November 23, 2011 Opinion or Order Filing 235 ORDER AUTHORIZING THE PAYMENT OF FEES INCURRED BY THE RECEIVER THAT WERE NECESSARY TO ASSIST THE RECEIVER IN HIS DUTIES 227 . (Written Opinion). Signed by Chief Judge Michael J. Davis on 11/23/11. (GRR)
October 21, 2011 Opinion or Order Filing 223 ORDER AUTHORIZING THE PAYMENT OF FEES INCURRED BY THE RECEIVER THAT WERE NECESSARY TO ASSIST THE RECEIVER IN HIS DUTIES 217 . (Written Opinion). Signed by Chief Judge Michael J. Davis on 10/21/11. (GRR)
October 19, 2011 Opinion or Order Filing 220 ORDER. IT IS HEREBY ORDERED THAT the Receiver's Motion to Retain Outside Counsel for Purposes of Pursuing Claims Against Third Parties 212 is GRANTED. (Written Opinion). Signed by Chief Judge Michael J. Davis on 10/19/11. (GRR)
September 21, 2011 Opinion or Order Filing 214 ORDER. IT IS HEREBY ORDERED that the Motion to Intervene 195 is DENIED. (Written Opinion). Signed by Chief Judge Michael J. Davis on 9/21/11. (GRR)
September 16, 2011 Opinion or Order Filing 211 ORDER RELEASING PLYMOUTH PROPERTY FROM RECEIVERSHIP AND ASSET FREEZE ORDER 165 . (Written Opinion). Signed by Chief Judge Michael J. Davis on 9/16/11. (GRR)
September 6, 2011 Opinion or Order Filing 185 ORDER AUTHORIZING THE PAYMENT OF FEES INCURRED BY THE RECEIVER THAT WERE NECESSARY TO ASSIST THE RECEIVER IN HIS DUTIES 157 . (Written Opinion). Signed by Chief Judge Michael J. Davis on 9/6/11. (GRR)
August 12, 2011 Opinion or Order Filing 156 ORDER AUTHORIZING THE PAYMENT OF FEES INCURRED BY THE RECEIVER THAT WERE NECESSARY TO ASSIST THE RECEIVER IN HIS DUTIES 142 . (Written Opinion). Signed by Chief Judge Michael J. Davis on 8/12/11. (GRR)
July 22, 2011 Opinion or Order Filing 151 ORDER ENTERING FIRST AMENDED FINAL CLAIMS LIST. Granting 130 Motion to Alter/Amend/Supplement Pleadings. (Written Opinion). Signed by Chief Judge Michael J. Davis on 7/22/11. (GRR)
June 27, 2011 Opinion or Order Filing 127 ORDER AUTHORIZING THE PAYMENT OF FEES INCURRED BY THE RECEIVER THAT WERE NECESSARY TO ASSIST THE RECEIVER IN HIS DUTIES 113 . (Written Opinion). Signed by Chief Judge Michael J. Davis on 6/27/11. (GRR)
June 23, 2011 Opinion or Order Filing 125 ORDER. IT IS HEREBY ORDERED THAT the motion is GRANTED 93 . (1) The Receiver is authorized to conduct a private sale of the real estate properties of (1) 2400 Paseo del Lago, Mission, Texas 78573 and (2) 7432 Golf Drive, Mission, Texas 78572 in ac cordance with 28 U.S.C. § 2001(b). (2) The Court hereby appoints Joseph W. Holand, Holand & Associates, LLC as the realtor for the sale of the real property located at 2400 Paseo del Lago, Mission, Texas 78573. (3) The Court hereby appoints Jo seph W. Holand, Holand & Associates, LLC as the realtor for the sale of the real property located at 7432 Golf Drive, Mission, Texas 78572. (4) Upon reaching an agreement to sell the real estate properties of (1) 2400 Paseo del Lago, Mission, Texas 78573 and (2) 7432 Golf Drive, Mission, Texas 78572, the Receiver shall publish notice of the sales and file a motion or motions with this Court seeking confirmation of the sales in accordance with 28 U.S.C. § 2001(b). (Written Opinion). Signed by Chief Judge Michael J. Davis on 6/23/11. (GRR)
June 6, 2011 Opinion or Order Filing 110 ORDER. IT IS HEREBY ORDERED:The Court will defer ruling on this motion 65 for ninety (90) days. The parties shall appear before the Court on Friday, September 9, 2011, at 11:00 a.m. to determine whether the Receiver has filed claims against NRP and Western. The $3.4 million settlement proceeds at issue here shall remain in escrow pending the Courts decision on this motion.(Written Opinion). Signed by Chief Judge Michael J. Davis on 6/6/11. (GRR)
May 17, 2011 Opinion or Order Filing 84 ORDER AUTHORIZING THE PAYMENT OF FEES INCURRED BY THE RECEIVER THAT WERE NECESSARY TO ASSIST THE RECEIVER IN HIS DUTIES. Granting 70 Motion for Attorney Fees. (Written Opinion). Signed by Chief Judge Michael J. Davis on 5/17/11. (GRR)
April 13, 2011 Opinion or Order Filing 51 ORDER CONFIRMING RELEASE OF PALM CITY PROPERTY FROM RECEIVERSHIP AND ASSET FREEZE ORDER. IT IS HEREBY ORDERED THAT the motion 30 is GRANTED. (Written Opinion). Signed by Chief Judge Michael J. Davis on 4/13/11. (GRR)
March 11, 2011 Opinion or Order Filing 21 ORDER OF ASSET FREEZE AND OTHER ANCILLARY RELIEF AS TO RELIEF DEFENDANT HOLLIE BECKMAN. (Written Opinion). Signed by Chief Judge Michael J. Davis on 3/11/11. (GRR)
March 8, 2011 Opinion or Order Filing 9 ORDER IMPOSING ASSET FREEZE AND OTHER ANCILLARY RELIEF AND SETTING HEARING ON MOTION FOR PRELIMINARY INJUNCTION 2 . (Written Opinion). Signed by Chief Judge Michael J. Davis on 3/8/11. (GRR) Modified on 3/8/2011 (TSS).
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Search for this case: United States Securities and Exchange Commission v. Beckman et al
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Plaintiff: United States Securities and Exchange Commission
Represented By: James S Alexander
Represented By: John E Birkenheier
Represented By: Adolph J Dean, Jr.
Represented By: Justin M Delfino
Represented By: Steven L Klawans
Represented By: Steven C Seeger
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Defendant: Jason Bo-Alan Beckman
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Defendant: Oxford Private Client Group, LLC, The
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Defendant: Hollie Beckman
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Defendant: FINRA Claimants
Represented By: Terrence J Fleming
Represented By: Christopher A Grgurich
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Receiver: RJ Zayed
Represented By: Brian W Hayes
Represented By: Samuel T Lockner
Represented By: Tara C Norgard
Represented By: Russell J Rigby
Represented By: R J Zayed
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