Securities and Exchange Commission et al v. GPB Capital Holdings, LLC et al
| Securities and Exchange Commission |
| David Gentile, Jeffry Schneider, GPB Capital Holdings, LLC, Ascendant Capital, LLC, Jeffrey Lash and Ascendant Alternative Strategies, LLC |
| Bohnenkamp Living Trust, Joseph T. Gardemal III and People Of The State Of New York |
| United States Attorney's Office for the Eastern District of New York |
| FSC Securities Corp. |
| 1:2021cv00583 |
| February 4, 2021 |
| US District Court for the Eastern District of New York |
| Margo K Brodie |
| Vera M Scanlon |
| Securities/Commodities |
| 12 U.S.C. § 22 Securities Fraud |
| Plaintiff |
Docket Report
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ORDER granting #145 , #163 , #181 Motions for Release of Funds on consent. Ordered by Magistrate Judge Vera M. Scanlon on 10/23/2023. (GS)
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| Filing 181 Letter addressed to Chief Judge Brodie to submit the Monitor's eleventh Quarterly Fee Application by Joseph T. Gardemal III (Buehler, Robert) Modified on 10/23/2023 (GS). |
| Filing 180 Letter addressed to Chief Judge Brodie to submit the Monitor's Monthly Fee Statement for September 2023 by Joseph T. Gardemal III (Buehler, Robert) |
| Filing 179 Letter by Securities and Exchange Commission (Jacobson, Neal) |
| Filing 178 Letter to Honorable Margo K. Brodie regarding update to parties' meet and confer with respect to Defenants' objections to the Report and Recommendation of Magistrate Judge Vera M. Scanlon by David Gentile (Jeremias, Jonathan) |
| Filing 177 Letter regarding meet and confer concerning redactions to the Monitor's quarterly reports by Securities and Exchange Commission (Jacobson, Neal) |
| Filing 176 REPLY in Support re #167 Objection to Report and Recommendations, filed by Ascendant Capital, LLC, Jeffry Schneider. (Colton, Glenn) |
| Filing 175 REPLY in Support re #168 Objection to Report and Recommendations, #157 SUA SPONTE REPORT AND RECOMMENDATIONS re #79 Notice of MOTION to Amend/Correct/Supplement filed by David Gentile, #88 MOTION for Order to Show Cause Application for Order to Show Cause filed by Securities and Exchange Commiss filed by David Gentile. (Jeremias, Jonathan) |
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ORDER terminating #79 Motion to Amend/Correct/Supplement and #88 Motion for Order to Show Cause. Motions will be consolidated with #157 . Ordered by Chief Judge Margo K. Brodie on 9/29/2023. (WV)
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ORDER granting #172 defendants' motion for leave to file additional responses. Defendants are directed to file any additional arguments they believe the Court should consider in order to decide the pending motions before 5:00 PM on September 29, 2023. Ordered by Chief Judge Margo K. Brodie on 9/28/2023. (EA)
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| Filing 174 Letter addressed to Magistrate Judge Scanlon in response to the Court's Order dated September 18, 2023 by Joseph T. Gardemal III (Fellman, Douglas) |
| Filing 173 Letter advising Court of delay in meet and confer concerning redactions to the Monitor's quarterly reports by Securities and Exchange Commission (Jacobson, Neal) |
| Filing 172 Letter MOTION for Leave to File Document by Ascendant Capital, LLC, Jeffry Schneider. (Colton, Glenn) |
| Filing 171 NOTICE by GPB Capital Holdings, LLC re #157 SUA SPONTE REPORT AND RECOMMENDATIONS re #79 Notice of MOTION to Amend/Correct/Supplement filed by David Gentile, #88 MOTION for Order to Show Cause Application for Order to Show Cause filed by Securities and Exchange Commiss Response to Objections to Report and Recommendation (Kopp, Glen) |
| Filing 170 NOTICE by Securities and Exchange Commission re #157 SUA SPONTE REPORT AND RECOMMENDATIONS re #79 Notice of MOTION to Amend/Correct/Supplement filed by David Gentile, #88 MOTION for Order to Show Cause Application for Order to Show Cause filed by Securities and Exchange Commiss Response to Objections to Report and Recommendation (Jacobson, Neal) |
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ORDER. Interested party Bohnenkamp Living Trust ("Bohnenkamp") moved to unseal the monthly fee statements filed by the court-appointed monitor for Defendant GPB Capital Holdings, LLC, Joseph T. Gardemal III (the "Monitor"). See generally ECF Nos. 119 & 122. Plaintiff Securities and Exchange Commission ("Plaintiff") responded, arguing that the motion (1) should be denied on procedural grounds, as Bohnenkamp "failed to seek intervention under Federal Rule of Civil Procedure 24," and (2) should be denied as substantively moot, "as the Monitor disclosed his and his counsel's total fee requests submitted prior to the date of the [m]otion in the Monitor's quarterly report for the third quarter of 2022 filed October 31, 2022, and subsequently has filed his and his counsel's fee requests on the open public docket." ECF No. 136 at 1 (citation omitted). Defendant David Gentile ("Mr. Gentile") joined in Bohnenkamp's motion, requesting (1) "that the Court unseal all prior monthly fee statements," as well as the quarterly fee applications, and (2) that the Court "issue an order directing the Monitor [to] file publicly all future quarterly and monthly fee statements," as, in spite of the Monitor's practice of filing his monthly fee statements and quarterly fee applications publicly since December 21, 2022, pursuant to the Court's July 16, 2021 Order, "the Monitor retains his authority to seal his quarterly and monthly fee statements at any time and without leave of this Court." ECF No. 138 at 1 (citation omitted). Bohnenkamp replied, reiterating its argument as to the monthly fee statements and taking issue with the redactions imposed by the Monitor in his April 28, 2023 quarterly report at ECF No. 137. See ECF No. 140 at 1.As a preliminary matter, the Court dispenses with Plaintiff's argument as to the alleged procedural impropriety of Bohnenkamp's motion, as Mr. Gentile, a party to this action, has joined in the motion.As to the sealing of the monthly fee statements and quarterly fee applications, Paragraph 33(b) of the Amended Order Appointing Monitor (the "Amended Order") provides that, "[o]n or before the twentieth (20th) day of each month, following the month for which compensation is sought, the Monitor and Retained Personnel shall...file a Monthly Fee Statement with the Court." ECF No. 39 para. 33(b). Paragraph 34 of the Amended Order provides that, "[w]ithin forty-five (45) days after the end of each calendar quarter, the Monitor and Retained Personnel shall apply to the Court for compensation and expense reimbursement from the Subject Assets (the 'Quarterly Fee Applications')." ECF No. 39 para. 34. The District Court entered a subsequent Order permitting "the Monitor [to]...file the monthly fee statements and quarterly fee applications described in the Court's April 14, 2021 amended order appointing the Monitor under seal...until further order of the Court." 7/16/2021 Order. Bohnenkamp's motion to unseal the Monitor's monthly fee statements, and Mr. Gentile's motion to unseal the Monitor's monthly fee statements and quarterly fee applications, are granted as unopposed, with the exception that certain redactions may be allowed on further consideration and the process as to the April 28, 2023 filing, as set forth below. On or before September 27, 2023, the Monitor is to file a letter either (1) stating that he seeks to redact information from the currently sealed monthly fee statements and quarterly fee applications, in which case he is to file the proposed redactions, or (2) stating that he does not seek such redactions. If the Monitor takes the former position, on or before October 5, 2023, opposition thereto must be filed. No replies are permitted. If any proposed redactions are extensive, the Court may require the Monitor to submit an itemized log justifying the proposed redactions. Unsealing will then take place subsequent to resolution of any disputes as to proposed redactions. If the Monitor takes the latter position, the Court will unseal the currently sealed monthly fee statements and quarterly fee applications subsequent to the Monitor's September 27, 2023 filing.As to the redactions in the April 28, 2023 quarterly report at ECF No. 137, Paragraph 23 of the Amended Order provides that, "[w]ithin 30 days after the end of each calendar quarter, the Monitor shall file with the Court under seal or in redacted form to protect sensitive, proprietary information, and serve on the SEC and GPB, a full report reflecting (to the best of the Monitor's knowledge as of the period covered by the report) the status of the reviews contemplated in paragraphs 8 through 14 (the 'Quarterly Report')." ECF No. 39 para. 23. The parties, the Monitor, and Bohnenkamp are to confer in an effort to resolve any disputes as to the redactions in the Monitor's quarterly reports, as well as to discuss a procedure for addressing any such disputes in relation to quarterly reports previously filed and to be filed in the future. If any disputed redactions are extensive, the Court may require the Monitor to submit an itemized log justifying the proposed redactions. On or before September 27, 2023, the parties, the Monitor, and Bohnenkamp are to file a joint letter informing the Court of the outcome of their conferral.Ordered by Magistrate Judge Vera M. Scanlon on 9/18/2023. (JR)
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| Filing 169 Letter addressed to Chief Judge Brodie to submit the Monitor's Monthly Fee Statement for August 2023 by Joseph T. Gardemal III (Buehler, Robert) |
| Filing 168 OBJECTION to #157 Report and Recommendations filed by David Gentile. (Attachments: #1 Declaration Jeremias, #2 Exhibit 1, #3 Exhibit 2, #4 Exhibit 3, #5 Exhibit 4, #6 Exhibit 5, #7 Exhibit 6, #8 Exhibit 7, #9 Exhibit 8, #10 Exhibit 9, #11 Exhibit 10, #12 Exhibit 11, #13 Declaration Kirkham) (Jeremias, Jonathan) |
| Filing 167 OBJECTION to #157 Report and Recommendations filed by Ascendant Capital, LLC, Jeffry Schneider. (Attachments: #1 Declaration of Glenn C. Colton, #2 Exhibit A, #3 Exhibit B, #4 Exhibit C, #5 Exhibit D, #6 Exhibit E) (Colton, Glenn) |
| Filing 166 Letter dated August 21, 2023 to Thomas and Pamela Wolthoff from Judge Brodie, in response to their August 1 Letter. (FP) |
| Filing 164 Letter addressed to Chief Judge Brodie to submit the Monitor's Monthly Fee Statement for July 2023 by Joseph T. Gardemal III (Buehler, Robert) |
| Filing 163 Letter addressed to Chief Judge Brodie to submit the Monitor's Tenth Quarterly Fee Application by Joseph T. Gardemal III (Buehler, Robert) |
| Filing 162 Letter re Plaintiff's intended scope of litigation injunction by Securities and Exchange Commission (Jacobson, Neal) |
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ORDER re #159 and #160 defendants' motion for an extension of time to file. The parties are directed to file their objections to #157 Magistrate Judge Vera M. Scanlon's sua sponte report and recommendation on or before September 8, 2023. Ordered by Chief Judge Margo K. Brodie on 8/4/2023. (EA)
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| Filing 161 Letter in response to Magistrate's Report and Recommendation by Securities and Exchange Commission (Attachments: #1 Exhibit Blacklined Order, #2 Exhibit Proposed Order) (Jacobson, Neal) |
| Filing 160 Letter MOTION for Extension of Time to File /Request to Join for Relief Asserted in Defendant David Gentile's Motion to File Objections to the Report & Recommendation of Magistrate Judge Vera M. Scanlon by Ascendant Capital, LLC, Jeffry Schneider. (Colton, Glenn) |
| Filing 159 MOTION for Extension of Time to File Objections to Report and Recommendation by David Gentile. (Horwitz, Daniel) |
| Filing 158 Letter addressed to Chief Judge Brodie to submit the attached presentation as the Monitors quarterly report for the second quarter of 2023 by Joseph T. Gardemal III (Buehler, Robert) |
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Filing 157
SUA SPONTE REPORT AND RECOMMENDATION re: #79 MOTION for Relief from the Amended Order at #39 and #88 MOTION to Convert the Monitorship to a Receivership and for the Imposition of a Litigation Injunction.The undersigned respectfully recommends that the motion at #79 be denied as moot and that the motion at #88 be granted, subsequent to the clarification to be provided by Plaintiff, as discussed in the attached report and recommendation, see n.3, with Paragraph 18 of the Proposed Order modified to add, as a final sentence, the following: "Any person or entity may seek leave of this Court to proceed against the Receiver, in such capacity; the Retained Personnel, in such capacity; the Ordinary Course Professionals, in such capacity; the Receivership Estate; the Receivership Entities; and the Receivership Assets."Objections to the report and recommendation are due by 8/11/2023.Ordered by Magistrate Judge Vera M. Scanlon on 7/28/2023. (JR)
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| Filing 155 Letter addressed to Chief Judge Brodie to submit the Monitor's Monthly Fee Statement for June 2023 by Joseph T. Gardemal III (Buehler, Robert) |
| Filing 154 Letter to Judge Scanlon in Response to Amicus Curiae appearance [Dkt. No. 149] by David Gentile (Jeremias, Jonathan) |
| Filing 153 Letter addressed to Chief Judge Brodie submitting the Monitor's Monthly Fee Statement for May 2023 by Joseph T. Gardemal III (Buehler, Robert) |
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Filing 150
CONSENT JUDGMENT as to Defendant Jeffrey Lash. So Ordered by Chief Judge Margo K. Brodie on 6/7/2023. (TLH)
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| Filing 149 Amicus Curiae APPEARANCE entered by Alan Smith on behalf of FSC Securities Corp. (Smith, Alan) |
| Filing 148 Consent MOTION to Approve Consent Judgment as the Defendant Jeffrey Lash and to temporarily lift the stay for the purpose of entering the Proposed Judgment by Securities and Exchange Commission. (Attachments: #1 Proposed Judgment of Defendant Jeffrey Lash, #2 Proposed Consent) (Stoelting, David) |
| Filing 147 Letter addressed to Chief Judge Brodie to submit the Monitor's Monthly Fee Statement for April 2023 by Joseph T. Gardemal III (Buehler, Robert) |
| Filing 145 Letter addressed to Chief Judge Brodie submitting the Monitor's ninth Quarterly Fee Application, to seek the Court's approval for the payment of the Monitor's compensation and expenses for January, February and March 2023, as well as the fees previously held back from payment of the Monitor's Monthly Fee Statements for January, February and March 2023 by Joseph T. Gardemal III (Buehler, Robert) |
| Filing 144 Letter addressed to Judge Scanlon in response to the Court's Order dated 4/28/2023 by Joseph T. Gardemal III (Fellman, Douglas) |
| Filing 143 Letter Response to Courts April 28, 2023 Order by GPB Capital Holdings, LLC (Attachments: #1 Exhibit A, #2 Exhibit B) (Kopp, Glen) |
| Filing 142 RESPONSE in Opposition re #88 MOTION for Order to Show Cause Application for Order to Show Cause filed by Securities and Exchange Commission. (Jacobson, Neal) |
| Filing 141 Letter addressed to Magistrate Scanlon concerning fact-based updates to Motions 79 and 88 by David Gentile (Jeremias, Jonathan) |
| Filing 140 Letter MOTION for Disclosure of Redacted Quarterly Reports by Bohnenkamp Living Trust. (Sarachek, Joseph) |
| Filing 139 NOTICE of Appearance by Jonathan Robert Jeremias on behalf of David Gentile (aty to be noticed) (Jeremias, Jonathan) |
| Filing 138 RESPONSE to Motion re #122 Letter MOTION for Hearing Letter MOTION to Unseal Document Monthly Fee Statements Under Seal [e.g. 118, 121] filed by David Gentile. (Jones, Kimberly) |
| Filing 137 Letter addressed to Chief Judge Brodie to submit the attached presentation as the Monitor's quarterly report for the first quarter of 2023 by Joseph T. Gardemal III (Buehler, Robert) |
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ORDER. On or before 5/8/2023, the parties are each permitted to file a letter, of no more than four pages, as to any fact-based updates related to the motion at #79 and the application for an order to show cause at #88 occurring from the date of the filing of the motion at #79 to the present. No responses are permitted. Ordered by Magistrate Judge Vera M. Scanlon on 4/28/2023. (JR)
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| Filing 136 RESPONSE in Opposition re #122 Letter MOTION for Hearing Letter MOTION to Unseal Document Monthly Fee Statements Under Seal [e.g. 118, 121] filed by Securities and Exchange Commission. (Jacobson, Neal) |
| Filing 135 Letter addressed to Chief Judge Brodie to submit the Monitor's Monthly Fee Statement for March 2023 by Joseph T. Gardemal III (Buehler, Robert) |
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ORDER. Any opposition to the motion at #122 is to be filed on or before 5/5/2023. The reply to any opposition to the motion at #122 is to be filed on or before 5/12/2023. Ordered by Magistrate Judge Vera M. Scanlon on 4/24/2023. (JR)
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| Filing 133 Letter addressed to Chief Judge Brodie to submit the Monitor's Monthly Fee Statement for February 2023 by Joseph T. Gardemal III (Buehler, Robert) |
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Filing 132
ORDER denying without prejudice #110 Motion for Leave to Appear Pro Hac Vice. See attached Order. Ordered by Magistrate Judge Vera M. Scanlon on 3/13/2023. (JR)
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ORDER granting #121 Motion for Release of Funds on consent. Ordered by Magistrate Judge Vera M. Scanlon on 3/7/2023. (GS)
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ORDER granting #129 Motion for Release of Funds on consent. Ordered by Magistrate Judge Vera M. Scanlon on 3/7/2023. (GS)
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| Filing 131 Letter addressed to Chief Judge Brodie in response to the letter filed by Joseph T. Gardemal by David Gentile (Jones, Kimberly) |
| Filing 130 Letter address to Chief Judge Brodie regarding the pending motion filed by the Securities and Exchange Commission to convert the Monitorship to a Receivership by Joseph T. Gardemal III (Buehler, Robert) |
| Filing 129 Letter address to Chief Judge Brodie submitting the Monitor's eighth Quarterly Fee Application, to seek the Court's approval for the payment of the Monitor's compensation and expenses for October, November and December 2022, as well as the fees previously held back from payment of the Monitor's Monthly Fee Statements for October, November and December 2022 by Joseph T. Gardemal III (Buehler, Robert) Modified on 3/7/2023 (GS). |
| Filing 128 Letter address to Chief Judge Brodie to submit the Monitor's Monthly Fee Statement for January 2023 by Joseph T. Gardemal III (Buehler, Robert) |
| Filing 127 Letter addressed to Chief Judge Brodie to submit the attached presentation as the Monitor's quarterly report for the fourth quarter of 2022 by Joseph T. Gardemal III (Buehler, Robert) |
| Filing 126 Letter addressed to Chief Judge Brodie to submit the Monitor's Monthly Fee Statement for December 2022 by Joseph T. Gardemal III (Buehler, Robert) |
| Filing 125 Letter addressed to Chief Judge Brodie to submit the Monitor's Monthly Fee Statement for November 2022 by Joseph T. Gardemal III (Buehler, Robert) |
| Filing 124 Letter addressed to Chief Judge Brodie to submit, under seal, the Monitor's Monthly Fee Statement for October 2022 by Joseph T. Gardemal III (Buehler, Robert) |
| Filing 123 Letter addressed to Chief Judge Brodie submitting monitor's quarterly report for the third quarter of 2022 by Joseph T. Gardemal III (Buehler, Robert) |
| Filing 122 Letter MOTION for Hearing , Letter MOTION to Unseal Document Monthly Fee Statements Under Seal [e.g. 118, 121] by Bohnenkamp Living Trust. (Sarachek, Joseph) |
| Filing 121 Letter addressed to Chief Judge Brodie submitting, under seal, the Monitors seventh Quarterly Fee Application, to seek the Courts approval for the payment of the Monitors compensation and expenses for July, August and September 2022, as well as the fees previously held back from payment of the Monitors Monthly Fee Statements for July, August and September 2022 by Joseph T. Gardemal III (Buehler, Robert) Modified on 3/7/2023 (GS). |
| Filing 120 Letter addressed to Chief Judge Brodie submitting, under seal, the Monitors Monthly Fee Statement for September 2022 by Joseph T. Gardemal III (Buehler, Robert) |
| Filing 119 MEMORANDUM in Opposition re #118 1 - Sealed Document CV, Letter Letter objection to filing monthly fee statements under seal filed by Bohnenkamp Living Trust. (Sarachek, Joseph) |
| Filing 118 Letter submitting, under seal, Monitor's Monthly Fee Statement for August 2022 by Joseph T. Gardemal III (Buehler, Robert) |
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ORDER granting #116 Motion for Release of Funds on consent. Ordered by Magistrate Judge Vera M. Scanlon on 8/29/2022. (Scully, Nicole)
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| Filing 117 Letter addressed to Chief Judge Brodie to submit, under seal, the Monitor's Monthly Fee Statement for July 2022 by Joseph T. Gardemal III (Buehler, Robert) |
| Filing 116 Letter addressed to Chief Judge Brodie submitting, under seal, the Monitor's sixth Quarterly Fee Application, to seek the Court's approval for the payment of the Monitor's compensation and expenses for April, May and June 2022 by Joseph T. Gardemal III (Buehler, Robert) Modified on 8/29/2022 (Scully, Nicole). |
| Filing 115 MEMORANDUM in Support re #110 Notice of MOTION to Appear Pro Hac Vice of Steven L. Hayes Filing fee $ 150, receipt number ANYEDC-15771542. filed by GPB Capital Holdings, LLC. (Horwitz, Daniel) |
| Filing 114 MEMORANDUM in Opposition re #110 Notice of MOTION to Appear Pro Hac Vice of Steven L. Hayes Filing fee $ 150, receipt number ANYEDC-15771542. filed by GPB Capital Holdings, LLC. (Kopp, Glen) |
| Filing 113 RESPONSE to Motion re #110 Notice of MOTION to Appear Pro Hac Vice of Steven L. Hayes Filing fee $ 150, receipt number ANYEDC-15771542. filed by David Gentile. (Attachments: #1 Exhibit A) (Jones, Kimberly) |
| Filing 112 Letter we respectfully submit the quarterly report of the Monitor for the second quarter of 2022 for the Courts review by Joseph T. Gardemal III (Buehler, Robert) |
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ORDER. Matt Judkin, Rick Brown and Michael Fasano may file a response to the oppositions to the pro hac vice motion by 8/5/2022. Ordered by Magistrate Judge Vera M. Scanlon on 8/1/2022. (Scully, Nicole)
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| Filing 111 MEMORANDUM in Opposition re #110 Notice of MOTION to Appear Pro Hac Vice of Steven L. Hayes Filing fee $ 150, receipt number ANYEDC-15771542. filed by Securities and Exchange Commission. (Jacobson, Neal) |
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ORDER re #110 Notice of MOTION to Appear Pro Hac Vice of Steven L. Hayes. The Court notes that in the application of Steven L. Hayes for admission pro hac vice, ECF No. #110 , Mr. Hayes requests that he be permitted to appear only for Matt Judkin, Rick Brown and Michael Fasano to request mediation, to respond to any opposition, and if granted, to participate in the mediation. On or before 8/1/2022, any party objecting to Mr. Hayes's proposed limited appearance should file an objection on the docket. Ordered by Magistrate Judge Vera M. Scanlon on 7/26/2022. (Scully, Nicole)
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| Filing 110 Notice of MOTION to Appear Pro Hac Vice of Steven L. Hayes Filing fee $ 150, receipt number ANYEDC-15771542. by GPB Capital Holdings, LLC. (Attachments: #1 Affidavit in Support, #2 Exhibit California Certificate of Good Standing, #3 Exhibit Florida Certificate of Good Standing, #4 Admission Information Additional Information) (Hayes, Steven) |
| Filing 109 Letter submitting, under seal, Monitor's Monthly Fee Statement for June 22 by Joseph T. Gardemal III (Buehler, Robert) |
| Filing 108 NOTICE of Appearance by Douglas A. Fellman on behalf of Joseph T. Gardemal III (notification declined or already on case) (Fellman, Douglas) |
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ORDER granting #107 Motion for Leave to Appear Pro Hac Vice. The attorney shall register for ECF, registration is available online at www.pacer.gov. Once registered, the attorney shall file a notice of appearance and ensure that s/he receives electronic notification of activity in this case. Also, the attorney shall ensure the 150 admission fee be submitted to the Clerks Office via filing the event Pro Hac Vice Filing Fee. Ordered by Magistrate Judge Vera M. Scanlon on 7/18/2022. (Scully, Nicole)
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| Filing 107 MOTION to Appear Pro Hac Vice of Douglas A. Fellman Filing fee $ 150, receipt number ANYEDC-15741744. by Joseph T. Gardemal III. (Attachments: #1 Affidavit in Support, #2 Certificate of Good Standing-DC, #3 Certificate of Good Standing - Maryland, #4 Certificate of Good Standing- Virginia, #5 Proposed Order) (Fellman, Douglas) |
| Filing 106 Letter addressed to Chief Judge Brodie requesting Oral Argument by David Gentile (Jones, Kimberly) |
| Filing 105 AFFIDAVIT/DECLARATION in Support re #88 MOTION for Order to Show Cause Application for Order to Show Cause Supplemental Declaration of Neal Jacobson filed by Securities and Exchange Commission. (Attachments: #1 Exhibit Testimony Excerpts) (Jacobson, Neal) |
| Filing 104 AFFIDAVIT/DECLARATION in Support re #88 MOTION for Order to Show Cause Application for Order to Show Cause Supplemental Declaration of Joseph T. Gardemal filed by Securities and Exchange Commission. (Jacobson, Neal) |
| Filing 103 REPLY in Support re #88 MOTION for Order to Show Cause Application for Order to Show Cause filed by Securities and Exchange Commission. (Jacobson, Neal) |
| Filing 102 RESPONSE in Opposition re #88 MOTION for Order to Show Cause Application for Order to Show Cause filed by David Gentile. (Attachments: #1 Declaration of Daniel J. Horwitz, #2 Exhibit A, #3 Exhibit B, #4 Exhibit C, #5 Exhibit D, #6 Exhibit E, #7 Exhibit F, #8 Exhibit G) (Jones, Kimberly) |
| Filing 101 RESPONSE to Motion re #88 MOTION for Order to Show Cause Application for Order to Show Cause filed by GPB Capital Holdings, LLC. (Kopp, Glen) |
| Filing 100 RESPONSE to Motion re #88 MOTION for Order to Show Cause Application for Order to Show Cause filed by Jeffrey Lash. (Janey, Derrelle) |
| Filing 99 RESPONSE in Opposition re #88 MOTION for Order to Show Cause Application for Order to Show Cause filed by Ascendant Capital, LLC, Jeffry Schneider. (Attachments: #1 Declaration of Glenn Colton) (Colton, Glenn) |
| Filing 98 REPLY in Support re #79 Notice of MOTION to Amend/Correct/Supplement filed by David Gentile. (Attachments: #1 Declaration of Daniel J. Horwitz) (Horwitz, Daniel) |
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ORDER granting #97 Motion to Withdraw as Attorney. Attorney Sandra Hanna terminated. Ordered by Magistrate Judge Vera M. Scanlon on 6/22/2022. (Lozar, Ryan)
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| Filing 97 MOTION to Withdraw as Attorney by David Gentile. (Hanna, Sandra) |
| Filing 96 MEMORANDUM in Opposition to Defendant David Gentile's Motion for an Order Modifying the Court's Amended Order Appointing Monitor (Dkt. 39) Pursuant to Fed. R. Civ. P. 60(b) filed by Securities and Exchange Commission. (Jacobson, Neal) |
| Filing 95 Letter addressed to Chief Judge Brodie submitting, under seal, the Monitors Monthly Fee Statement for May 2022 by Joseph T. Gardemal III (Buehler, Robert) |
| Filing 94 NOTICE of Appearance by Apeksha Vora on behalf of Ascendant Capital, LLC, Jeffry Schneider (aty to be noticed) (Vora, Apeksha) |
| Filing 93 NOTICE of Appearance by Kimberly Jones on behalf of David Gentile (aty to be noticed) (Jones, Kimberly) |
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ORDER. As discussed on the record, the briefing schedules in this action are as follows: for the Motion at #79 : Opposition due 6/21/2022, and Reply due 6/24/2022; for the motion at #88 : Opposition due 7/1/2022, and Reply due 7/8/2022. Counsel are reminded that each brief must address fully the motion as to which it is filed, and may not rely on the incorporation by reference of separate filings. Counsel for the Securities and Exchange Commission and for Mr. Gentile confirmed that they had not discussed the filing of the Order to Show Cause prior to its submission. As it is unreasonable to ask the Court to resolve a motion when counsel have not spoken to each other in an effort to reduce or eliminate the need for motion practice, the counsel involved are required to meet and confer in person or by video conference for at least one hour on or before 6/22/2022 to explore whether a resolution of some or all of the issues raised in the Order to Show Cause can be resolved short of a decision by the Court. Ordered by Magistrate Judge Vera M. Scanlon on 6/15/2022. (Dessources, Jose)
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| Minute Entry for proceedings held before Magistrate Judge Vera M. Scanlon: Telephone Conference held on 6/15/2022. David Paul Stoelting, Lindsay Senechal Moilanen, and Neal Jacobson appearing on behalf of Plaintiff. Gina Marie Parlovecchio and Glen A. Kopp appearing on behalf of Defendant GPB Capital Holdings, LLC. Glenn Charles Colton and Apeksha Vora appearing on behalf of Defendants Ascendant Capital, LLC and Jeffry Schneider. Joseph Craig Lawlor appearing on behalf of Defendant Ascendant Alternative Strategies, LLC. Daniel James Horwitz appearing on behalf of Defendant David Gentile. Derrelle Marcel Janey appearing on behalf of Defendant Jeffrey Lash. Robert B. Buehler appearing on behalf of Interested Party Joseph T. Gardemal III. Joseph Evan Sarachek appearing on behalf of Interested Party Bohnenkamp Living Trust and other investors. Jesse Devine appearing on behalf of Interested Party People Of The State Of New York. Counsel who have not yet appeared will file notices of appearance. See separate docket entry for Order issuing from this proceeding. (FTR Log #4:39-5:19.) (Scully, Nicole) |
| Filing 92 NOTICE of Appearance by Robert Curtis Gottlieb on behalf of Jeffrey Lash (aty to be noticed) (Gottlieb, Robert) |
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SCHEDULING ORDER: The Court is in receipt of the parties' letters at #85 and #87 regarding Plaintiff's request for a conference. A Telephone Conference is set for 6/15/2022 at 4:30 PM before Magistrate Judge Vera M. Scanlon to discuss the recent filings. The parties are to call 877-336-1829 and dial the access code 3581283 for the AT&T conference bridge. Ordered by Magistrate Judge Vera M. Scanlon on 6/14/2022. (Scully, Nicole)
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| Filing 91 DECLARATION of Neal Jacobson by Securities and Exchange Commission (Attachments: #1 Proposed Order Proposed Order Appointing Receiver and Imposing Litigation Injunction) (Jacobson, Neal) |
| Filing 90 DECLARATION re #88 MOTION for Order to Show Cause Application for Order to Show Cause Declaration of Joseph T. Gardemal III, Monitor, in Support of U.S. Securities and Exchange Commission's Motion for Appointment of a Receiver Over GPB Capital Holdings LLC and its Affiliates by Securities and Exchange Commission (Jacobson, Neal) |
| Filing 89 MEMORANDUM in Support re #88 MOTION for Order to Show Cause Application for Order to Show Cause Plaintiff Securities and Exchange Commission's Memorandum of Law in Support of its Motion for an Order Appointing a Receiver and Imposing a Litigation Injunction filed by Securities and Exchange Commission. (Jacobson, Neal) |
| Filing 88 MOTION for Order to Show Cause Application for Order to Show Cause by Securities and Exchange Commission. (Attachments: #1 Affidavit Local Rule 6.1(d) Declaration of Neal Jacobson, #2 Proposed Order Proposed Order to Show Cause) (Jacobson, Neal) |
| Filing 87 Letter Response to Request for Conference by David Gentile (Attachments: #1 Exhibit A) (Horwitz, Daniel) |
| Filing 86 Letter Response to Request for Conference by Bohnenkamp Living Trust (Sarachek, Joseph) |
| Filing 85 Letter Requesting Conference by Securities and Exchange Commission (Jacobson, Neal) |
| Filing 84 NOTICE of Appearance by Neal Jacobson on behalf of Securities and Exchange Commission (aty to be noticed) (Jacobson, Neal) |
| Filing 83 AFFIDAVIT/DECLARATION in Support re #79 Notice of MOTION to Amend/Correct/Supplement filed by David Gentile. (Horwitz, Daniel) |
| Filing 82 AFFIDAVIT/DECLARATION in Support re #79 Notice of MOTION to Amend/Correct/Supplement filed by David Gentile. (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) (Horwitz, Daniel) |
| Filing 81 AFFIDAVIT/DECLARATION in Support re #79 Notice of MOTION to Amend/Correct/Supplement filed by David Gentile. (Attachments: #1 Exhibit A, #2 Exhibit B, #3 Exhibit C, #4 Exhibit D, #5 Exhibit E, #6 Exhibit F, #7 Exhibit G) (Horwitz, Daniel) |
| Filing 80 MEMORANDUM in Support re #79 Notice of MOTION to Amend/Correct/Supplement filed by David Gentile. (Horwitz, Daniel) |
| Filing 79 Notice of MOTION to Amend/Correct/Supplement by David Gentile. (Horwitz, Daniel) |
| Filing 78 Letter addressed to Chief Judge Brodie to submit, under seal, the Monitors Monthly Fee Statement for April 2022 by Joseph T. Gardemal III (Buehler, Robert) |
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ORDER granting #77 Motion for Release of Funds on consent. Ordered by Magistrate Judge Vera M. Scanlon on 5/19/2022. (Scully, Nicole)
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| Filing 77 Letter addressed to Chief Judge Brodie submitting, under seal, the Monitors fifth Quarterly Fee Application by Joseph T. Gardemal III (Buehler, Robert) Modified on 5/19/2022 (Scully, Nicole). |
| Filing 76 Letter addressed to Chief Judge Brodie submitting presentation as the Monitor's quarterly report for the first quarter of 2022. by Joseph T. Gardemal III (Attachments: #1 Exhibit 1 - Monitor's Quarterly Report for the first quarter of 2022.) (Buehler, Robert) |
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ORDER denying #51 , #56 Mr. Gentile's Motion to Request Mediation. Mr. Gentile has requested that the Court send certain matters to mediation pursuant to the Amended Order Appointing Monitor ("Amended Order"), ECF No. #39 . The Amended Order provides that its mediation provision may only be invoked by either GPB Capital Holdings, LLC ("GPB") or the Monitor, and that the mediation provision may only be invoked when "GPB disagree[s] with any of the Monitor's decisions." ECF No. #39 para. 4. The Amended Order describes "the reasons GPB may disagree with the Monitor's decision or recommendation," id. para. 5 (emphasis added), as well as the types of actions taken by GPB that the Monitor has authority to either approve or disapprove, see id. para. 6. No other party to this action, whether it be Mr. Gentile, the SEC, or the four other defendants in this case, may avail themselves of this mediation provision, as it was drafted to provide only the entity that is actually being monitored, GPB, with a method for raising disputes regarding its oversight.Mr. Gentile raises a concern about what process he may have to pursue his disputes with GPB over what Mr. Gentile believes he is entitled to via "contractual and related obligations under Delaware law and [GPB]'s operating and other agreements." ECF No. #51 at 1. While the record is not complete before the Court, and the parties dispute the effectiveness of GPB's purported amended operating agreement, it appears that progress has been made on addressing Mr. Gentile's disputes. Based on the representations of counsel, Mr. Gentile has already commenced a books-and-records demand pursuant to Delaware law, ECF No. #63 , Tr. at 16:12-17:4, 20:17-21:11; GPB has engaged with Mr. Gentile regarding his tax documents and legal fees, see id. at 13:15-22, 21:12-20; and they have engaged in communications regarding whether GPB will indemnify Mr. Gentile, id. at 21:21-22:4. As he stated on the record, Mr. Gentile is prepared to go to Delaware Chancery Court to pursue his other complaints, see id. at 18:17-18, 19:3-7, which both GPB and the Monitor agree is a proper forum for the kind of disputes he raises. See id. at 12:16-24, 15:2-5, 20:10-16. In fact, Mr. Gentile has commenced proceedings in Delaware Chancery Court regarding his demands for advancement and indemnification of certain attorneys' fees and expenses from GPB. See ECF No. #68 ; ECF No. #69 (not disputing GPB's representation of proceedings in Delaware Chancery Court).Although Mr. Gentile may be correct that a mediation to resolve his disputes could be more practical and efficient than litigating his disputes in court, the Amended Order does not authorize the Court to compel the parties to participate in mediation of Mr. Gentile's disputes. As such, Mr. Gentile's request is denied. Ordered by Magistrate Judge Vera M. Scanlon on 4/28/2022. (Scully, Nicole)
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| Filing 75 Letter addressed to Chief Judge Brodie submitting, under seal, the Monitors Monthly Fee Statement for March 2022 by Joseph T. Gardemal III (Buehler, Robert) |
| Filing 74 Letter addressed to Chief Judge Brodie to submit, under seal, the Monitors Monthly Fee Statement for February 2022 by Joseph T. Gardemal III (Buehler, Robert) |
| Filing 73 Letter addressed to Chief Judge Brodie submitting, under seal, the Monitors Monthly Fee Statement for January 2022 by Joseph T. Gardemal III (Buehler, Robert) |
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ORDER granting #72 Motion for Release of Funds on consent. Ordered by Magistrate Judge Vera M. Scanlon on 2/15/2022. (Scully, Nicole)
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| Filing 72 Letter addressed to Chief Judge Brodie submitting, under seal, the Monitors fourth Quarterly Fee Application, to seek the Courts approval for the payment of the Monitors compensation and expenses for October, November and December 2021, as well as the fees previously held back from payment of the Monitors Monthly Fee Statements for October, November and December 2021 by Joseph T. Gardemal III (Buehler, Robert) Modified on 2/15/2022 (Scully, Nicole). |
| Filing 71 Letter addressed to Chief Judge Brodie submitting the attached presentation as the Monitors quarterly report for the fourth quarter of 2021 by Joseph T. Gardemal III (Attachments: #1 Exhibit A - Monitors quarterly report for the fourth quarter of 2021) (Buehler, Robert) |
| Filing 70 Letter addressed to Chief Judge Brodie submitting, under seal, the Monitors Monthly Fee Statement for December 2021 by Joseph T. Gardemal III (Buehler, Robert) |
| Filing 69 Letter in response to the letter dated January 10, 2022 by David Gentile (Horwitz, Daniel) |
| Filing 68 Letter Re Gentile Mediation Request by GPB Capital Holdings, LLC (Parlovecchio, Gina) |
| Filing 67 Letter addressed to Chief Judge Brodie submitting, under seal, the Monitors Monthly Fee Statement for November 2021 by Joseph T. Gardemal III (Buehler, Robert) |
| Filing 66 Letter to Judge Scanlon from Plaintiff dated December 8, 2021 by Securities and Exchange Commission (Pauley, Kristin) |
| Filing 65 Letter to Judge Scanlon from Robert B. Buehler dated December 8, 2021 by Joseph T. Gardemal III (Buehler, Robert) |
| Filing 64 Letter - Response to request for mediation by GPB Capital Holdings, LLC (Parlovecchio, Gina) |
| Filing 63 TRANSCRIPT of Proceedings held on December 1, 2021, before Judge Scanlon. Court Reporter/Transcriber Transcriptions Plus II, Inc. Email address: RL.Transcriptions2@gmail.com. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER.File redaction request using event "Redaction Request - Transcript" located under "Other Filings - Other Documents". Redaction Request due 12/27/2021. Redacted Transcript Deadline set for 1/6/2022. Release of Transcript Restriction set for 3/6/2022. (Hong, Loan) |
| Filing 62 Letter to supplement letters dated September 8, 2021 and September 21, 2021 by David Gentile (Horwitz, Daniel) |
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ORDER: As discussed at the 12/1/2021 Telephone Conference, the Court has reviewed the parties' submissions at #51 , #52 , #53 , #54 and #56 , and Defendant David Gentile will submit a letter with supplemental authority by 12/3/2021. Any party that wishes to respond to Defendant David Gentile's submission should file a letter response by 12:00 PM on 12/8/2021. Ordered by Magistrate Judge Vera M. Scanlon on 12/1/2021. (Scully, Nicole)
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| Minute Entry for proceedings held before Magistrate Judge Vera M. Scanlon: Telephone Conference held on 12/1/2021. Kristin McNamara Pauley appearing for Plaintiff. Gina Marie Parlovecchio and Glen A. Kopp appearing for Defendant GPB Capital Holdings, LLC. Glenn Charles Colton appearing for Defendants Ascendant Capital, LLC and Jeffry Schneider. Joseph Craig Lawlor appearing for Defendant Ascendant Alternative Strategies, LLC. Daniel James Horwitz appearing for Defendant David Gentile. Robert B. Buehler appearing for Interested Party Joseph T. Gardemal III. Jesse Devine appearing for Interested Party People Of The State Of New York. No appearance for Defendant Jeffrey Lash. See separate docket entry for Order issuing from this proceeding. (FTR Log #2:37-3:10.) (Scully, Nicole) |
| Filing 61 Letter addressed to Chief Judge Brodie submitting, under seal, the Monitors Monthly Fee Statement for October 2021 by Joseph T. Gardemal III (Buehler, Robert) |
| Filing 60 NOTICE of Appearance by Gina Marie Parlovecchio on behalf of GPB Capital Holdings, LLC (aty to be noticed) (Parlovecchio, Gina) |
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SCHEDULING ORDER: The Court is in receipt of the submissions at #51 , #52 , #53 , #54 and #56 . A Telephone Conference is set for 12/1/2021 at 2:30 PM before Magistrate Judge Vera M. Scanlon. Counsel should be prepared to discuss the proper mechanism, if any, for Mr. Gentile to raise his concerns. The parties are to call 877-336-1829 and dial the access code 3581283 for the AT&T conference bridge. Ordered by Magistrate Judge Vera M. Scanlon on 11/8/2021. (Scully, Nicole)
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ORDER granting #58 Motion for Release of Funds on consent. Ordered by Magistrate Judge Vera M. Scanlon on 11/3/2021. (Scully, Nicole)
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| Filing 59 Letter addressed to Chief Judge Brodie to submit the attached presentation as the Monitors quarterly report for the third quarter of 2021 by Joseph T. Gardemal III (Attachments: #1 Exhibit A - Monitor's Third Quarter Report of 2021) (Buehler, Robert) |
| Filing 58 Letter addressed to Chief Judge Brodie, under seal, as the Monitors third Quarterly Fee Application, to seek the Courts approval for the payment of the Monitors compensation and expenses for July, August and September 2021 by Joseph T. Gardemal III (Buehler, Robert) |
| Filing 57 Letter addressed to Chief Justice Brodie submitting, under seal, the Monitors Monthly Fee Statement for September 2021 by Joseph T. Gardemal III (Buehler, Robert) |
| Filing 56 Letter Motion to Request Mediation by David Gentile. (Horwitz, Daniel) |
| Filing 55 Letter addressed to Chief Judge Brodie submitting, under seal, the Monitors Monthly Fee Statement for August 2021 by Joseph T. Gardemal III (Buehler, Robert) |
| Filing 54 RESPONSE in Opposition re #51 Motion to Request Mediation filed by Securities and Exchange Commission. (Stoelting, David) |
| Filing 53 Letter from Robert B. Buehler dated September 13, 2021, in response to the September 8, 2021 letter to the Court #51 by Joseph T. Gardemal III (Buehler, Robert) |
| Filing 52 Motion to Request Mediation - Letter in Response to Defendant David Gentile's request, as set forth in a September 8, 2021 letter by GPB Capital Holdings, LLC. (Attachments: #1 Exhibit A) (Kopp, Glen) |
| Filing 51 Motion to Request Mediation by David Gentile. (Horwitz, Daniel) |
| Filing 50 NOTICE of Appearance by Daniel James Horwitz on behalf of David Gentile (aty to be noticed) (Horwitz, Daniel) |
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ORDER granting 48 Motion for Release of Funds on consent. Ordered by Magistrate Judge Vera M. Scanlon on 8/23/2021. (Scully, Nicole)
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| Filing 49 Letter addressed to Chief Judge Brodie to submit, under seal, the Monitors Monthly Fee Statement for July 2021 by Joseph T. Gardemal III (Buehler, Robert) |
| Filing 47 Letter addressed to Chief Judge Brodie regarding Monitor's second quarterly report by Joseph T. Gardemal III (Attachments: #1 Second Quarterly Report) (Buehler, Robert) |
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ORDER granting #46 Motion to Withdraw as Attorney. Attorney David Michael Rosenfield; Howard R. Elisofon and Stephen M. Medow terminated. Ordered by Magistrate Judge Vera M. Scanlon on 7/27/2021. (Lozar, Ryan)
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| Filing 46 MOTION to Withdraw as Attorney by GPB Capital Holdings, LLC. (Attachments: #1 Declaration of Howard R. Elisofon in Support, #2 Proposed Order) (Elisofon, Howard) |
| Filing 45 NOTICE of Appearance by Glen A. Kopp on behalf of GPB Capital Holdings, LLC (aty to be noticed) (Kopp, Glen) |
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ORDER granting #44 Motion for Release of Funds. Ordered by Magistrate Judge Vera M. Scanlon on 7/21/2021. (Scully, Nicole)
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| Filing 44 MOTION for Release of Funds by Joseph T. Gardemal III. (Attachments: #1 Exhibit 1 - Invoice Summary for February 2021, #2 Exhibit 2 - Invoice Summary for March 2021) (Buehler, Robert) |
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ORDER: The Monitor's #43 application for leave to file documents under seal is granted. In addition, the Monitor may file the monthly fee statements and quarterly fee applications described in the Court's April 14, 2021 amended order appointing the Monitor under seal, and without separately moving for leave to file under seal, until further order of the Court. Counsel is directed to file the original document under seal as a separate entry. Instructions on filing sealed documents on ECF are located at www.nyed.uscourts.gov. Ordered by Chief Judge Margo K. Brodie on 7/16/2021. (Goss, Natasha)
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| Filing 43 MOTION for Leave to Electronically File Document under Seal by Joseph T. Gardemal III. (Attachments: #1 Memorandum in Support) (Buehler, Robert) |
| Filing 42 Letter addressed to Chief Judge Brodie regarding Quarterly Report for the quarter ended March 31, 2021 by Joseph T. Gardemal III (Attachments: #1 Quarterly Report for the quarter ended March 31, 2021) (Buehler, Robert) |
| Filing 41 NOTICE of Appearance by Kevin Christopher Wallace on behalf of People Of The State Of New York (notification declined or already on case) (Wallace, Kevin) |
| Filing 40 NOTICE of Appearance by Jesse Devine on behalf of People Of The State Of New York (aty to be noticed) (Devine, Jesse) |
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Filing 39
AMENDED ORDER APPOINTING MONITOR. Ordered by Chief Judge Margo K. Brodie on 4/14/2021. (Piper, Francine)
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| Filing 38 Consent MOTION to Amend/Correct/Supplement #23 Order Appointing Monitor by Securities and Exchange Commission. (Attachments: #1 Amended Order Appointing Monitor, #2 Blackline of Amended Order against February Order) (Stoelting, David) |
| Filing 37 Letter addressed to Chief Judge Brodie to recommend continuation of the monitorship for a period of 180 days by Joseph T. Gardemal III (Buehler, Robert) |
| Filing 36 Letter re: Continuing Investigation by Securities and Exchange Commission (Pauley, Kristin) |
| Filing 35 NOTICE of Appearance by Sandra Hanna on behalf of David Gentile (notification declined or already on case) (Hanna, Sandra) |
| Filing 34 RESPONSE to Motion re #32 MOTION to Intervene MOTION to Stay /Consent of GPB Capital Holdings, LLC, Ascendant Capital, LLC, and Ascendant Alternative Holdings, LLC to SEC's Request for a Stay filed by Ascendant Capital, LLC, Jeffry Schneider. (Colton, Glenn) Modified on 3/11/2021 to correct the filing party. (Piper, Francine). |
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ORDER granting #33 Motion for Leave to Appear Pro Hac Vice. The attorney shall register for ECF, registration is available online at www.pacer.gov. Once registered, the attorney shall file a notice of appearance and ensure that she receives electronic notification of activity in this case. Also, the attorney shall ensure the &150 admission fee is submitted to the Clerks Office via filing the event Pro Hac Vice Filing Fee. Ordered by Magistrate Judge Vera M. Scanlon on 3/10/2021. (Quinlan, Krista)
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ORDER granting #32 Motion to Intervene; granting #32 Motion to Stay. The Court grants, on consent of all parties, the government's motion to intervene in and to stay this civil case until the conclusion of the related criminal case and the ongoing grand jury investigation. The Court excludes from this stay any work performed by the Monitor, matters related to the Monitorship, or any future expansion of the Monitorship. The government shall inform the Court when the related criminal case has concluded. Ordered by Chief Judge Margo K. Brodie on 3/10/2021. (Goss, Natasha)
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| Filing 33 MOTION to Appear Pro Hac Vice Filing fee $ 150, receipt number ANYEDC-14259589. by David Gentile. (Attachments: #1 Affidavit of S. Hanna, #2 Exhibit Exhibit A, #3 Proposed Order Proposed Order) (Hanna, Sandra) |
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ORDER re: #28 Letter filed by Joseph T. Gardemal III. The monitor's request to retain Douglas A. Fellman, Esq. and his law firm Hogan Lovells US LLP as counsel is granted. Ordered by Chief Judge Margo K. Brodie on 3/8/2021. (Goss, Natasha)
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ORDER: The Court is in receipt of the United States Attorney's Office's motion #32 to intervene in and stay this action in light of a related criminal case. The government's memorandum does not state whether Defendants GPB Capital Holdings, LLC, Ascendant Capital, LLC, and Ascendant Alternative Strategies, LLC consent to the motion to stay. Those defendants are directed to respond to the application by Friday, March 12, 2021. Ordered by Chief Judge Margo K. Brodie on 3/5/2021. (Goss, Natasha)
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| Filing 32 MOTION to Intervene , MOTION to Stay by United States Attorney's Office for the Eastern District of New York. (Attachments: #1 Memorandum in Support of Motion to Intervene and Stay) (Elbert, Lauren) |
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ORDER granting #31 Motion for Extension of Time to Answer as to Ascendant Alternative Strategies, LLC. Defendant's deadline to answer the Complaint or otherwise move is extended to 4/9/2021. Ordered by Magistrate Judge Vera M. Scanlon on 2/25/2021. (Quinlan, Krista)
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| Filing 31 MOTION for Extension of Time to File Answer re #1 Complaint, by Ascendant Alternative Strategies, LLC. (Lawlor, Joseph) |
| Filing 30 WAIVER OF SERVICE Returned Executed by Securities and Exchange Commission. Ascendant Capital, LLC waiver sent on 2/16/2021, answer due 4/19/2021; Jeffry Schneider waiver sent on 2/16/2021, answer due 4/19/2021. (Pauley, Kristin) |
| Filing 29 NOTICE of Appearance by Glenn Charles Colton on behalf of Ascendant Capital, LLC, Jeffry Schneider (aty to be noticed) (Colton, Glenn) |
| Filing 28 Letter from Joseph T. Gardemal III addressed to Chief Judge Brodie to request your approval, in accordance with paragraph 31 of the Order, to retain Douglas A. Fellman, Esq. and his law firm Hogan Lovells US LLP, as counsel by Joseph T. Gardemal III (Attachments: #1 Proposed Order) (Buehler, Robert) |
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ORDER granting #26 and #27 Motions for Extension of Time to Answer as to Jeffrey Lash and David Gentile. Defendants' deadline to answer the Complaint or otherwise move is extended to 3/26/2021. Ordered by Magistrate Judge Vera M. Scanlon on 2/18/2021. (Quinlan, Krista)
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| Filing 27 Consent MOTION for Extension of Time to File Answer re #1 Complaint, by David Gentile. (Attachments: #1 Proposed Order on Motion for Extension of Time to File Answer) (Bruch, Gregory) |
| Filing 26 Consent MOTION for Extension of Time to File Answer re #1 Complaint, by Jeffrey Lash. (Janey, Derrelle) |
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ORDER granting #25 Motion for Extension of Time to Answer as to GPB Capital Holdings, LLC. Defendant's deadline to answer the Complaint or otherwise move is extended to answer due 3/26/2021. Ordered by Magistrate Judge Vera M. Scanlon on 2/17/2021. (Quinlan, Krista)
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| Filing 25 Consent MOTION for Extension of Time to File Answer re #1 Complaint, by GPB Capital Holdings, LLC. (Elisofon, Howard) |
| Filing 24 SUMMONS Returned Executed by Securities and Exchange Commission. Ascendant Alternative Strategies, LLC served on 2/12/2021, answer due 3/5/2021. (Pauley, Kristin) |
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Filing 23
ORDER APPOINTING MONITIOR. The hearing scheduled for February 12, 2021 is adjourned sine die. Ordered by Chief Judge Margo K. Brodie on 2/12/2021. (Valentin, Winnethka)
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Motions terminated: #10 Emergency MOTION for Order to Show Cause why an order should not be entered, pending a final disposition of this action, appointing Joseph T. Gardemal III as the independent monitor for GPB Capital. Ordered by Chief Judge Margo K. Brodie on 2/12/2021. (Valentin, Winnethka)
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| Filing 22 Letter notifying Court re: telephone conference scheduled for 2/12/21 by GPB Capital Holdings, LLC (Elisofon, Howard) |
| Filing 21 Letter re Application for Order to Show Cause (Dkt. Nos. 10-12) to inform Court of parties' agreement to terms of proposed Order Appointing Monitor by Securities and Exchange Commission (Attachments: #1 Proposed Order Appointing Monitor [On Consent]) (Stoelting, David) |
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ORDER: The parties are directed to explain why, in light of #21 the agreed upon proposed order appointing a monitor, the scheduled telephone conference is necessary. Ordered by Chief Judge Margo K. Brodie on 2/11/2021. (Goss, Natasha)
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| Filing 20 SUMMONS Returned Executed by Securities and Exchange Commission. Jeffrey Lash served on 2/4/2021, answer due 2/25/2021. (Stoelting, David) |
| Filing 19 SUMMONS Returned Executed by Securities and Exchange Commission. GPB Capital Holdings, LLC served on 2/4/2021, answer due 2/25/2021. (Stoelting, David) |
| Filing 18 SUMMONS Returned Executed by Securities and Exchange Commission. David Gentile served on 2/5/2021, answer due 2/26/2021. (Stoelting, David) |
| Filing 17 NOTICE of Appearance by Stephen M. Medow on behalf of GPB Capital Holdings, LLC (aty to be noticed) (Medow, Stephen) |
| Filing 16 NOTICE of Appearance by Gregory Scott Bruch on behalf of David Gentile (aty to be noticed) (Bruch, Gregory) |
| Filing 15 NOTICE of Appearance by David Michael Rosenfield on behalf of GPB Capital Holdings, LLC (aty to be noticed) (Rosenfield, David) |
| Filing 14 NOTICE of Appearance by Howard R. Elisofon on behalf of GPB Capital Holdings, LLC (aty to be noticed) (Elisofon, Howard) |
| Filing 13 NOTICE of Appearance by Joseph Evan Sarachek on behalf of Bohnenkamp Living Trust (aty to be noticed) (Sarachek, Joseph) |
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SCHEDULING ORDER: Hearing re #10 Emergency MOTION for Order to Show Cause set for 2/12/2021 at 10:00 AM before Chief Judge Margo K. Brodie. The parties are directed to call 1-888-684-8852 using access code 9801036. If any party has any difficulty accessing the telephone conference, please contact chambers at 718-613-2140. Persons granted remote access to proceedings are reminded of the general prohibition against photographing, recording, and rebroadcasting of court proceedings. Violation of these prohibitions may result in sanctions, including removal of court-issued media credentials, restricted entry to future hearings, denial of entry to future hearings, or any other sanctions deemed necessary by the Court. Ordered by Chief Judge Margo K. Brodie on 2/10/2021. (Valentin, Winnethka)
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| Filing 12 MEMORANDUM in Support re #10 Emergency MOTION for Order to Show Cause why an order should not be entered, pending a final disposition of this action, appointing Joseph T. Gardemal III as the independent monitor for GPB Capital, LLC filed by Securities and Exchange Commission. (Stoelting, David) |
| Filing 11 DECLARATION re #10 Emergency MOTION for Order to Show Cause why an order should not be entered, pending a final disposition of this action, appointing Joseph T. Gardemal III as the independent monitor for GPB Capital, LLC 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) (Stoelting, David) |
| Filing 10 Emergency MOTION for Order to Show Cause why an order should not be entered, pending a final disposition of this action, appointing Joseph T. Gardemal III as the independent monitor for GPB Capital, LLC by Securities and Exchange Commission. (Attachments: #1 Proposed Order to Show Cause) (Stoelting, David) |
| Filing 9 NOTICE of Appearance by Derrelle Marcel Janey on behalf of Jeffrey Lash (aty to be noticed) (Janey, Derrelle) |
| Filing 8 NOTICE of Appearance by Kristin McNamara Pauley on behalf of Securities and Exchange Commission (aty to be noticed) (Pauley, Kristin) |
| Filing 7 This attorney case opening filing has been checked for quality control. See the attachment for corrections that were made, if any. (Bowens, Priscilla) |
| Filing 6 Summons Issued as to All Defendants. (Attachments: #1 Schneider summons, #2 Lash summons, #3 Gentile summons, #4 A Capital summons, #5 AAS summons) (Bowens, Priscilla) |
| Filing 5 In accordance with Rule 73 of the Federal Rules of Civil Procedure and Local Rule 73.1, the parties are notified that if all parties consent a United States magistrate judge of this court is available to conduct all proceedings in this civil action including a (jury or nonjury) trial and to order the entry of a final judgment. Attached to the Notice is a blank copy of the consent form that should be filled out, signed and filed electronically only if all parties wish to consent. The form may also be accessed at the following link: #http://www.uscourts.gov/uscourts/FormsAndFees/Forms/AO085.pdf. You may withhold your consent without adverse substantive consequences. Do NOT return or file the consent unless all parties have signed the consent. (Bowens, Priscilla) |
| Filing 4 NOTICE of Appearance by Lindsay Senechal Moilanen on behalf of Securities and Exchange Commission (aty to be noticed) (Moilanen, Lindsay) |
| Filing 3 NOTICE of Appearance by David Paul Stoelting on behalf of Securities and Exchange Commission (aty to be noticed) (Stoelting, David) |
| Filing 2 Proposed Summons.Civil Cover Sheet.. by Securities and Exchange Commission (Attachments: #1 Proposed Summons GPB Capital Holdings LLC, #2 Proposed Summons Ascendant Capital, LLC, #3 Proposed Summons Ascendant Alternative Strategies, LLC, #4 Proposed Summons David Gentile, #5 Proposed Summons Jeffry Schneider, #6 Proposed Summons Jeffrey Lash) (Best, Richard) (Main Document 2 replaced on 2/5/2021) (Lee, Tiffeny). |
| Filing 1 COMPLAINT against Ascendant Alternative Strategies, LLC, Ascendant Capital, LLC, GPB Capital Holdings, LLC, David Gentile, Jeffrey Lash, Jeffry Schneider Was the Disclosure Statement on Civil Cover Sheet completed -YES,, filed by Securities and Exchange Commission. (Best, Richard) |
| Case Assigned to Chief Judge Margo K. Brodie and Magistrate Judge Vera M. Scanlon. Please download and review the Individual Practices of the assigned Judges, located on our #website. Attorneys are responsible for providing courtesy copies to judges where their Individual Practices require such. (Bowens, Priscilla) Modified on 2/4/2021 (Bowens, Priscilla). |
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