SECURITIES AND EXCHANGE COMMISSION v. Fierro et al
| SECURITIES AND EXCHANGE COMMISSION |
| John D. Fierro and JDF CAPITAL, INC. |
| 3:2020cv02104 |
| February 26, 2020 |
| US District Court for the District of New Jersey |
| Georgette Castner |
| J Brendan Day |
| Lois H Goodman |
| Michael A Shipp |
| Securities/Commodities |
| Both |
Docket Report
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This docket was last retrieved on October 16, 2023. A more recent docket listing may be available from PACER.
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CLERK'S QUALITY CONTROL MESSAGE - The Motion for Permanent Injunction and Entry of Judgment #54 filed by Joshua Braunstein on 10/12/2023 was submitted incorrectly as a Letter. The Clerk's office has refiled the Motion. In the future please be sure to use a Motion event when filing a motion. This submission will remain on the docket unless otherwise ordered by the court. (eaj, )
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Filing 55
MOTION for Permanent Injunction and Entry of Judgment filed by SECURITIES AND EXCHANGE COMMISSION; Please see docket entry #54 for full motion filing. (eaj, )
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Filing 54
Letter from Securities and Exchange Commission. (Attachments: #1 Brief And Motion for Judgments and Imposing Remedies, #2 Exhibit 1 - List of Issuers, #3 Exhibit 2 - Dr. Taveras Second Summary Declaration, #4 Exhibit 3 - GPL Ventures Final Judgment, #5 Exhibit 4 - Crown Bridge Partners Final Judgment, #6 Text of Proposed Order Proposed Order)(BRAUNSTEIN, JOSHUA)
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Filing 53
LETTER ORDER setting briefing schedule for remedies. SEC motion for remedies to be filed by 10/12/2023; Defendant opposition sure 11/10/2023; SEC reply due 11/22/2023. Signed by Judge Georgette Castner on 9/6/2023. (mg)
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CLERK'S QUALITY CONTROL MESSAGE - The #52 Letter submitted by JOSHUA BRAUNSTEIN on 9/5/2023 did not contain a proper electronic signature (s/). PLEASE RESUBMIT THE DOCUMENT WITH THE PROPER ELECTRONIC SIGNATURE (s/ Attorney's Name.) This submission will remain on the docket unless otherwise ordered by the court. (mg)
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Filing 52
Letter from counsel for plaintiff and defendants to Judge Castner proposing remedies briefing schedule. (BRAUNSTEIN, JOSHUA)
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Filing 51
ORDER denying #30 Motion for Summary Judgment; granting #31 Motion for Summary Judgment; and denying #29 Motion in Limine. Signed by Judge Georgette Castner on 6/29/2023. (mlh)
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Filing 50
OPINION filed. Signed by Judge Georgette Castner on 6/29/2023. (mlh)
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Magistrate Judge J. Brendan Day added. Magistrate Judge Lois H. Goodman no longer assigned to case. (jjc, )
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Filing 49
TEXT ORDER: The Court is in receipt of the parties' letters requesting that the Motions for Summary judgment be relisted. (ECF Nos. #46 , #47 .) In light of the Motions for Summary Judgment being relisted with a return date of 10/17/2022, the Motion in Limine (ECF No. #29 ) shall be relisted with a return date of 10/17/2022, and the Court will consider the Motion in Limine in conjunction with or pending the disposition of the Motions for Summary Judgment (ECF Nos. #30 , #31 ). So Ordered by Judge Georgette Castner on 10/27/22. (adi, )
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Reset Deadlines as to #29 MOTION in Limine . Motion set for 10/17/2022 before Judge Georgette Castner. Unless otherwise directed by the Court, this motion will be decided on the papers and no appearances are required. Note that this is an automatically generated message from the Clerk`s Office and does not supersede any previous or subsequent orders from the Court. (adi, )
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Reset Deadlines as to #30 MOTION for Summary Judgment , #31 MOTION for Summary Judgment . Motion set for 10/17/2022 before Judge Georgette Castner. Unless otherwise directed by the Court, this motion will be decided on the papers and no appearances are required. Note that this is an automatically generated message from the Clerk`s Office and does not supersede any previous or subsequent orders from the Court. (jjc, )
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Filing 48
LETTER ORDER granting request to relist motions for summary judgment #30 #31 . Signed by Judge Georgette Castner on 9/19/2022. (jdg)
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Filing 47
Letter from Plaintiff and Defendants on a Joint Basis to the Clerk's Office Regarding Relisting Motions for Summary Judgment re #44 Order on Motion to Strike,. (PETRILLA, ANTONY)
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Filing 46
Letter from Defendants and Plaintiff in Response to the Court's September 7, 2022 Order. (PETRILLA, ANTONY)
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Filing 45
TEXT ORDER: In light of the Order on Defendants' Motion to Strike the Sitra Declaration and Paragraph 25 of the Statement of Material Facts (ECF No. #44 ) (the Order), the Court requests that the parties submit a joint letter advising whether the additional discovery pursuant to the Order will impact the pending Motion in Limine (ECF No. #29 ) and whether the Court should stay the Motion in Limine pending completion of the additional discovery. The joint submission shall not exceed three (3) pages single-spaced and the parties shall submit the joint submission on or before September 16, 2022. So Ordered by Judge Georgette Castner on 9/7/22. (adi, )
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Filing 44
LETTER ORDER denying #34 Motion to Strike Sitra Declaration and Paragraph 25 of Statement of Material Facts ; further ordered that the Clerk's Office is instructed to terminate the parties' summary judgment motion #30 and #31 ; and it is further ordered that after the briefing is completed, counsel are to request that the Clerks Office relist the motions for summary judgment. Signed by Magistrate Judge Lois H. Goodman on 8/25/2022. (jdg)
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Filing 43
TEXT ORDER REASSIGNING CASE. Case reassigned to Judge Georgette Castner for all further proceedings. Judge Michael A. Shipp no longer assigned to case. So Ordered by Chief Judge Freda L. Wolfson on 4/11/2022. (gxh)
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Filing 42
REPLY to Response to Motion filed by JOHN D. FIERRO, JDF CAPITAL, INC. re #34 MOTION to Strike Sitra Declaration and Paragraph 25 of Statement of Material Facts (ASTARITA, MARK)
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Filing 41
MEMORANDUM in Opposition filed by SECURITIES AND EXCHANGE COMMISSION re #34 MOTION to Strike Sitra Declaration and Paragraph 25 of Statement of Material Facts (Attachments: #1 Exhibit A - Declaration of Angie Bailey)(PETRILLA, ANTONY)
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Filing 40
STATEMENT SEC's Reply Statement of Material Facts re: DE 31 SEC Motion for Summary Judgment by SECURITIES AND EXCHANGE COMMISSION. (BRAUNSTEIN, JOSHUA)
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Filing 39
REPLY to Response to Motion filed by All Defendants re #30 MOTION for Summary Judgment (ASTARITA, MARK)
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Filing 38
REPLY BRIEF to Opposition to Motion filed by SECURITIES AND EXCHANGE COMMISSION re #31 MOTION for Summary Judgment (BRAUNSTEIN, JOSHUA)
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Filing 37
REPLY to Response to Motion filed by All Defendants re #29 MOTION in Limine (ASTARITA, MARK)
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Filing 36
MEMORANDUM in Opposition filed by SECURITIES AND EXCHANGE COMMISSION re #30 MOTION for Summary Judgment (Attachments: #1 Statement SEC's Opposition Statement of Material Facts, #2 Exhibit 1 to Opposition Statement of Material Facts, #3 Exhibit A - to SEC's Opposition to Defendants' Motion for Summary Judgment, #4 Exhibit B - to SEC's Opposition to Defendants' Motion for Summary Judgment)(PETRILLA, ANTONY)
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Filing 35
BRIEF in Opposition filed by JOHN D. FIERRO, JDF CAPITAL, INC. re #31 MOTION for Summary Judgment (Attachments: #1 Declaration John Fierro, #2 Text of Proposed Order, #3 Statement Opposition to Rule 56.1 Statrment)(ASTARITA, MARK)
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Filing 34
MOTION to Strike Sitra Declaration and Paragraph 25 of Statement of Material Facts by JOHN D. FIERRO, JDF CAPITAL, INC.. Responses due by 2/22/2022 (Attachments: #1 Text of Proposed Order, #2 Brief, #3 Exhibit A, #4 Exhibit B)(ASTARITA, MARK)
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Set Deadlines as to #34 MOTION to Strike Sitra Declaration and Paragraph 25 of Statement of Material Facts. Motion set for 3/7/2022 before Judge Michael A. Shipp. Unless otherwise directed by the Court, this motion will be decided on the papers and no appearances are required. Note that this is an automatically generated message from the Clerk`s Office and does not supersede any previous or subsequent orders from the Court. (jdb, )
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Filing 33
MEMORANDUM in Opposition filed by SECURITIES AND EXCHANGE COMMISSION re #29 MOTION in Limine (PETRILLA, ANTONY)
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Text Minute Entry for proceedings held before Magistrate Judge Lois H. Goodman: Telephone Conference held on 1/24/2022. (ijf, )
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Reset Deadlines as to #30 MOTION for Summary Judgment , #29 MOTION in Limine , #31 MOTION for Summary Judgment . Motion reset for 2/22/2022 before Judge Michael A. Shipp. Unless otherwise directed by the Court, this motion will be decided on the papers and no appearances are required. Note that this is an automatically generated message from the Clerk`s Office and does not supersede any previous or subsequent orders from the Court. (jdb, )
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Filing 32
Rule 7.1(d)(5) Letter for an automatic extension of the return date of a dispositive motion re #31 MOTION for Summary Judgment , #30 MOTION for Summary Judgment , #29 MOTION in Limine filed Jointly. (ASTARITA, MARK)
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Set Deadlines as to #30 MOTION for Summary Judgment , #31 MOTION for Summary Judgment . Motion set for 2/7/2022 before Judge Michael A. Shipp. Unless otherwise directed by the Court, this motion will be decided on the papers and no appearances are required. Note that this is an automatically generated message from the Clerk`s Office and does not supersede any previous or subsequent orders from the Court. (jdb)
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Filing 31
MOTION for Summary Judgment by SECURITIES AND EXCHANGE COMMISSION. Responses due by 1/24/2022 (Attachments: #1 Brief Memorandum in Support of SEC's Motion for Summary Judgment, #2 Statement Local Rule 56.1 Statement of Material Facts, #3 Text of Proposed Order Proposed Order, #4 Exhibit 1 - Excerpts Fierro SEC Testimony 7.13.2017_Redacted, #5 Exhibit 2 - Excerpts Marshall Pickett SEC Testimony 6.1.2016_Redacted, #6 Exhibit 3 - Marshall Pickett sample script 5-20-2015, #7 Exhibit 4 - Excerpts Fierro SEC Testimony 2.12.2019, #8 Exhibit 5 - Excerpts Fierro Deposition 8.20.2021, #9 Exhibit 6 - BARZ convertible note 3-2-2015 redacted, #10 Exhibit 7 - PKGM Convertible Note 5-8-2015 redacted, #11 Exhibit 8 - Ex 8 -- SRCO Convertible Note 8-25-2014 redacted, #12 Exhibit 9 - 30 conversion notices for SWET, #13 Exhibit 10 - Excerpt from Fierro Background Questionnaire 6-28-2017 redacted, #14 Exhibit 11 - Download of JDF website 2-6-2018, #15 Exhibit 12 - Taveras Declaration_SEC v Fierro_Redacted, #16 Exhibit 13 - Term Sheet for Cibolan Gold, #17 Exhibit 14 - Signed Declaration of Stephanie Arnold 5-8-2019, #18 Exhibit 15 - Excerpts Christopher Boey SEC Testimony 6.4.2019, #19 Exhibit 16 - Fierro Email 12-08-2014, #20 Exhibit 17 - Pickett sends status update to Fierro re cold calls 2015, #21 Exhibit 18 - JDF sends term sheet to 5Barz 2-13-2015, #22 Exhibit 19 - Signed Declaration of J Scott Sitra of BLUU 4-5-2019, #23 Exhibit 20 - Excerpts Principe SEC Testimony 9.8.2017)(BRAUNSTEIN, JOSHUA) Modified on 9/20/2022 (jdg, ). Modified on 9/22/2022 (jjc, ).
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Filing 30
MOTION for Summary Judgment by JOHN D. FIERRO, JDF CAPITAL, INC.. Responses due by 2/7/2022 (Attachments: #1 Statement Of Material Facts Not In Dispute, #2 Text of Proposed Order, #3 Declaration of John Fierro, #4 Declaration of Mark Hunter, Esq., #5 Exhibit 1 - Transcript of Fierro Deposition, #6 Exhibit 2 - Schedule of Losses, #7 Exhibit 3 - SEC Feasibility Report, #8 Exhibit 4 - House Hearing Excerpts, #9 Brief in Support of Motion For Summary Judgment)(ASTARITA, MARK) Modified on 9/22/2022 (jjc, ).
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Filing 29
MOTION in Limine by JOHN D. FIERRO, JDF CAPITAL, INC.. (Attachments: #1 Text of Proposed Order, #2 Brief, #3 Exhibit A - Plaintiff's Rule 26 Disclosures, #4 Exhibit B - First Set of Interrogatories, #5 Exhibit C - Request for Admissions, #6 Exhibit D - Plaintiff Response to First Interrogatories, #7 Exhibit E - Response to Request for Admissions, #8 Exhibit F - Supplemental Response to Request for Interrogatories, #9 Exhibit G - Supplemental Response to Request for Admissions, #10 Exhibit H - Amended Supplemental Response to Request for Admissions, #11 Exhibit I - Plaintiff's Supplemental Initial Disclosures, #12 Exhibit J- Nesbitt Deposition Transcript, #13 Exhibit K - Tavaras Deposition Transcript)(ASTARITA, MARK)
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Set Deadlines as to #29 MOTION in Limine . Motion set for 2/7/2022 before Judge Michael A. Shipp. Unless otherwise directed by the Court, this motion will be decided on the papers and no appearances are required. Note that this is an automatically generated message from the Clerk`s Office and does not supersede any previous or subsequent orders from the Court. (jdb)
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Filing 28
TEXT ORDER setting a Telephone Conference for 1/24/2022 at 12:00 p.m. with Magistrate Judge Lois H. Goodman. The Court will provide counsel with dial in information via email prior to the scheduled conference. So Ordered by Magistrate Judge Lois H. Goodman on 12/23/2021. (ijf, )
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Filing 27
Minute Entry for proceedings held before Magistrate Judge Lois H. Goodman: Telephone Conference held on 10/19/2021. (DS, )
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Filing 26
AMENDED PRETRIAL SCHEDULING ORDER: Telephone Status Conference set for 10/19/2021 03:30 PM before Magistrate Judge Lois H. Goodman. Fact discovery is to remain open through 10/29/2021. Dispositive motions may be filed by no later than March 11, 2022. Signed by Magistrate Judge Lois H. Goodman on 09/03/2021. (jdb)
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Text Minute Entry for proceedings held before Magistrate Judge Lois H. Goodman: Telephone Conference held on 8/24/2021. (ijf, )
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Filing 25
TEXT ORDER directing plaintiff to make an informal request for the information it needs as to reasonable expenses by 7/16/21. Defendant is to respond to that request by 8/16/21. Telephone Conference set for 8/24/21 at noon with Magistrate Judge Lois H. Goodman. Plaintiff's counsel is directed to provide dial in information by 8/23/2021. So Ordered by Magistrate Judge Lois H. Goodman on 7/16/2021. (ijf, )
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Text Minute Entry for proceedings held before Magistrate Judge Lois H. Goodman: Settlement Conference held on 7/14/2021 via zoom videoconference. (ijf, )
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Text Minute Entry for proceedings held before Magistrate Judge Lois H. Goodman: Telephone Conference held on 7/7/2021. (ijf, )
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ATTENTION COUNSEL: The Telephone Conference scheduled for 6/22/2021 with Magistrate Judge Lois H. Goodman has been rescheduled to 7/7/2021 at 11:00 a.m. (ijf, )
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Filing 24
PRETRIAL SCHEDULING ORDER: Settlement Conference set for 7/14/2021 10:00 AM before Magistrate Judge Lois H. Goodman. Telephone Status Conference set for 6/22/2021 02:00 PM before Magistrate Judge Lois H. Goodman. Any motion to amend the pleadings or join new parties must be with leave of Court and filed no later than June 25, 2021. Fact discovery is to remain open through August 31, 2021. Signed by Magistrate Judge Lois H. Goodman on 04/23/2021. (jdb)
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Text Minute Entry for proceedings held before Magistrate Judge Lois H. Goodman: Initial Pretrial Conference held on 3/22/2021 via Telephone Conference. (if, )
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Filing 23
Order Initial Conference set via Telephone Conference for 3/22/2021 02:00 PM before Magistrate Judge Lois H. Goodman. The Court will provide counsel with dial in information via email. Signed by Magistrate Judge Lois H. Goodman on 1/22/2021. (if, )
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Filing 22
Corporate Disclosure Statement by JDF CAPITAL, INC.. (ASTARITA, MARK)
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Filing 21
ANSWER to Complaint with JURY DEMAND by JOHN D. FIERRO, JDF CAPITAL, INC..(ASTARITA, MARK)
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Clerk`s Text Order - The document #20 Application for Clerk's Order to Ext Answer/Proposed Order submitted by JDF CAPITAL, INC., JOHN D. FIERRO has been GRANTED. The answer due date has been set for 01/14/2021. (jdb)
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Filing 20
Application and Proposed Order for Clerk's Order to extend time to answer as to All Defendants. Attorney MARK J. ASTARITA for JOHN D. FIERRO,MARK J. ASTARITA for JDF CAPITAL, INC. added. (ASTARITA, MARK)
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Filing 19
ORDER denying Defendants' #12 Motion to Dismiss for failure to state a claim. Signed by Judge Michael A. Shipp on 12/17/2020. (jmh)
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Filing 18
MEMORANDUM OPINION filed. Signed by Judge Michael A. Shipp on 12/17/2020. (jmh)
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Filing 17
Letter from SEC. (Attachments: #1 Exhibit SEC v. Almagarby - Order Granting Motion for Summary Judgment, #2 Exhibit SEC v. Keener - Order Denying Motion to Dismiss)(BRAUNSTEIN, JOSHUA)
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Filing 16
Certification of Mark J. Astarita, Esquire on behalf of JOHN D. FIERRO, JDF CAPITAL, INC. Re #15 Reply to Response to Motion,,. (ASTARITA, MARK)
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Filing 15
REPLY to Response to Motion filed by JOHN D. FIERRO, JDF CAPITAL, INC. re #12 MOTION to Dismiss for Failure to State a Claim (Attachments: #1 Text of Proposed Order)(ASTARITA, MARK)
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Filing 14
MEMORANDUM in Opposition filed by SECURITIES AND EXCHANGE COMMISSION re #12 MOTION to Dismiss for Failure to State a Claim (BRAUNSTEIN, JOSHUA)
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Filing 13
MEMORANDUM in Support filed by All Defendants re #12 MOTION to Dismiss for Failure to State a Claim (Attachments: #1 Exhibit A, #2 Exhibit B, #3 Exhibit C, #4 Exhibit D, #5 Exhibit E, #6 Exhibit F, #7 Exhibit G)(ASTARITA, MARK)
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Filing 12
MOTION to Dismiss for Failure to State a Claim by All Defendants. Responses due by 6/22/2020 (ASTARITA, MARK)
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Set Deadlines as to #12 MOTION to Dismiss for Failure to State a Claim. Motion set for 7/6/2020 before Judge Michael A. Shipp. Unless otherwise directed by the Court, this motion will be decided on the papers and no appearances are required. Note that this is an automatically generated message from the Clerk`s Office and does not supersede any previous or subsequent orders from the Court. (jmh)
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Filing 11
Notice of Request by Pro Hac Vice Mark Hunter to receive Notices of Electronic Filings. ( Pro Hac Vice fee $ 150 receipt number BNJDC-10658091.) (ASTARITA, MARK)
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Filing 10
ORDER granting #9 Motion for Leave to Appear Pro Hac Vice as to Mark David Hunter, Esq. Signed by Magistrate Judge Lois H. Goodman on 04/08/2020. (jmh)
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Pro Hac Vice counsel, MARK DAVID HUNTER, has been added to receive Notices of Electronic Filing. Pursuant to L.Civ.R. 101.1, only local counsel are entitled to sign and file papers, enter appearances and receive payments on judgments, decrees or orders. (jmh)
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Filing 9
MOTION for Leave to Appear Pro Hac Vice of Mark Hunter by All Defendants. (Attachments: #1 Certification of Local Counsel, #2 Text of Proposed Order for Admission Pro Hac Vice)(ASTARITA, MARK)
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Filing 8
NOTICE of Appearance by MARK J. ASTARITA on behalf of All Defendants (ASTARITA, MARK)
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Set Deadlines as to #9 MOTION for Leave to Appear Pro Hac Vice of Mark Hunter. Motion set for 5/4/2020 before Magistrate Judge Lois H. Goodman. Unless otherwise directed by the Court, this motion will be decided on the papers and no appearances are required. Note that this is an automatically generated message from the Clerk`s Office and does not supersede any previous or subsequent orders from the Court. (jmh)
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Filing 7
WAIVER OF SERVICE Returned Executed by SECURITIES AND EXCHANGE COMMISSION. JDF CAPITAL, INC. waiver sent on 3/30/2020, answer due 5/29/2020. (BRAUNSTEIN, JOSHUA)
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Filing 6
WAIVER OF SERVICE Returned Executed by SECURITIES AND EXCHANGE COMMISSION. JOHN D. FIERRO waiver sent on 3/30/2020, answer due 5/29/2020. (BRAUNSTEIN, JOSHUA)
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Filing 5
NOTICE of Appearance by ANTONY RICHARD PETRILLA on behalf of SECURITIES AND EXCHANGE COMMISSION (PETRILLA, ANTONY)
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Filing 4
SUMMONS ISSUED as to JOHN D. FIERRO, JDF CAPITAL, INC.. Attached is the official court Summons, please fill out Defendant and Plaintiffs attorney information and serve. (abr)
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Judge Michael A. Shipp and Magistrate Judge Lois H. Goodman added. (abr)
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Filing 3
Request for Summons to be Issued by SECURITIES AND EXCHANGE COMMISSION as to JDF CAPITAL, INC.. (BRAUNSTEIN, JOSHUA)
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Filing 2
Request for Summons to be Issued by SECURITIES AND EXCHANGE COMMISSION as to John D. Fierro. (BRAUNSTEIN, JOSHUA)
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Filing 1
COMPLAINT against John D. Fierro, JDF CAPITAL, INC. with JURY DEMAND, filed by SECURITIES AND EXCHANGE COMMISSION. (Attachments: #1 Civil Cover Sheet)(BRAUNSTEIN, JOSHUA)
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CLERK'S QUALITY CONTROL MESSAGE - The case you electronically filed has been processed, however, the following deficiencies were found: Party Information is to be entered in CAPITAL LETTERS. The Clerk's Office has made the appropriate changes. Please refer to the Attorney Case Opening Guide for processing electronically filed cases. (jjc, )
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