SECURITIES AND EXCHANGE COMMISSION v. SMITH et al
| SECURITIES AND EXCHANGE COMMISSION |
| BROAD REACH PARTNERS, LLC, BRENDA A. SMITH, BRISTOL ADVISORS, LLC and BROAD REACH CAPITAL, LP |
| 2:2019cv17213 |
| August 27, 2019 |
| US District Court for the District of New Jersey |
| Madeline Cox Arleo |
| Leda D Wettre |
| Securities/Commodities |
| 15 U.S.C. ยง 77 |
| Plaintiff |
Docket Report
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This docket was last retrieved on October 7, 2019. A more recent docket listing may be available from PACER.
| Document Text |
|---|
| Filing 10 SUMMONS Returned Executed on Brenda A. Smith by SECURITIES AND EXCHANGE COMMISSION. (sm) |
| Filing 9 SUMMONS Returned Executed by SECURITIES AND EXCHANGE COMMISSION. BRENDA A. SMITH served on 9/30/2019, answer due 10/21/2019. (Attachments: #1 Certificate of Service)(DONNELLY, JOHN) |
| Filing 7 PRELIMINARY INJUNCTION FREEZING ASSETS and GRANTING OTHER RELIEF re #6 Notice. etc. Signed by Judge Madeline Cox Arleo on 9/10/2019. (dam, ) |
| Filing 8 SUMMONS Returned Executed by SECURITIES AND EXCHANGE COMMISSION. BRENDA A. SMITH served on 9/6/2019, answer due 9/27/2019. (dam, ) |
| Filing 6 NOTICE by SECURITIES AND EXCHANGE COMMISSION re #3 Order,,, OF DEFENDANTS FAILURE TO SHOW CAUSE AND PROPOSED ORDER GRANTING PRELIMINARY INJUNCTION AND EXTENDING OTHER RELIEF (Attachments: #1 Text of Proposed Order, #2 Certificate of Service)(DONNELLY, JOHN) |
| Filing 5 NOTICE of Appearance by MARK RAYMOND SYLVESTER on behalf of SECURITIES AND EXCHANGE COMMISSION (SYLVESTER, MARK) |
| Filing 4 SUMMONS Returned Executed by SECURITIES AND EXCHANGE COMMISSION. BRENDA A. SMITH served on 8/27/2019, answer due 9/17/2019. (sm) |
Filing 3
TEMPORARY RESTRAINING ORDER FREEZING ASSETS, GRANTING OTHER RELIEF AND ORDER TO SHOW CAUSE. U.S. Marshals shall serve Ms. Smith via hand today on behalf of all defendants; this Order is issued as of 3:30 p.m. on 8/27/2019, unless for good cause shown, defendants request, on short notice, that the restraints be modified or dissolved; Defendants show cause to the Court at 11:00 a.m. on 9/10/2019 on the 4th Floor of the Martin Luther King Building and United States Courthouse, 50 Walnut Street, Newark, NJ why this Court should not enter a preliminary injunction and order preliminary relief against them; a copy of this Order and the papers supporting the Commission's application shall be served on Defendants or their attorney who agrees to accept service on their behalf as soon as practicable with notice to the Court, etc. Signed by Judge Madeline Cox Arleo on 8/27/2019. (sm) (Main Document 3 replaced on 8/28/2019 -- missing page 7) (sm).
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| Filing 2 SUMMONS ISSUED as to BRISTOL ADVISORS, LLC, BROAD REACH CAPITAL, LP, BROAD REACH PARTNERS, LLC, BRENDA A. SMITH. Attached is the official court Summons, please fill out Defendant and Plaintiffs attorney information and serve. (qa, ) |
| Filing 1 COMPLAINT against BRISTOL ADVISORS, LLC, BROAD REACH CAPITAL, LP, BROAD REACH PARTNERS, LLC, BRENDA A. SMITH with JURY DEMAND, filed by SECURITIES AND EXCHANGE COMMISSION. (Attachments: #1 Declaration Scott A. Thompson, #2 Ex Parte Motion for Temporary Restraining Order, #3 Memorandum of Law, #4 Text of Proposed Order (Redacted), #5 Declaration Dustin E. Ruta, #6 Exhibit 1, #7 Exhibit 2, #8 Exhibit 3, #9 Exhibit 4, #10 Exhibit 5, #11 Exhibit 6, #12 Exhibit 7, #13 Exhibit 8, #14 Exhibit 9, #15 Exhibit 10, #16 Exhibit 11, #17 Exhibit 12, #18 Exhibit 13, #19 Exhibit 14, #20 Exhibit 15, #21 Exhibit 16, #22 Exhibit 17, #23 Exhibit 18, #24 Exhibit 19, #25 Exhibit 20, #26 Exhibit 21, #27 Exhibit 22, #28 Exhibit 23, #29 Exhibit 24, #30 Exhibit 25, #31 Exhibit 26, #32 Exhibit 27, #33 Exhibit 28, #34 Exhibit 29, #35 Exhibit 30, #36 Exhibit 31, #37 Exhibit 32, #38 Exhibit 33, #39 Exhibit 34, #40 Exhibit 35, #41 Exhibit 36, #42 Exhibit 37, #43 Exhibit 38, #44 Exhibit 39, #45 Exhibit 40, #46 Exhibit 41, #47 Exhibit 42, #48 Exhibit 43, #49 Exhibit 44, #50 Cover Letter, #51 Civil Cover Sheet)(qa, ) |
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