Securities and Exchange Commission v. Xia et al
| Securities and Exchange Commission |
| Richard Xia, Fleet New York Metropolitan Regional Center LLC, Julia Yue, Yi Xia, Federal New York Metropolitan Regional Center, LLC and Jiqing Yue |
| Matthew Scott Peeler |
| 1:2021cv05350 |
| September 27, 2021 |
| US District Court for the Eastern District of New York |
| Pamela K Chen |
| Kiyo A Matsumoto |
| Cheryl L Pollak |
| Securities/Commodities |
| 15 U.S.C. § 77 Securities Fraud |
| Plaintiff |
Docket Report
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| Filing 26 Letter MOTION for Extension of Time to File Recommendation re the Projects by Matthew Scott Peeler. (Peeler, Matthew) |
ORDER: Monitor's #26 Letter Motion for Extension of Time to File is granted. Monitor shall submit his recommendation to the Court on or before January 28, 2022. Ordered by Judge Pamela K. Chen on 11/23/2021. (Mahkamova, Shirin)
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ORDER: The #25 motion to adjourn the show-cause hearing previously scheduled for 12/8/2021, on consent of the parties, is granted, and the parties' stipulation is so ordered. The show-cause hearing is adjourned until 1/14/2022, 10:00 a.m., in Courtroom 4F North. Defendants and Relief Defendant shall file opposition papers by 12/23/2021, 5:00 p.m.; and the Commission shall file reply papers by 1/7/2022, 5:00 p.m. The relief granted in the 11 Order to Show Cause and 11 -1 Order Appointing Monitor is extended through January 14, 2022, in light of the schedule set forth herein. Ordered by Judge Pamela K. Chen on 11/19/2021. (Mahkamova, Shirin)
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| Filing 25 Consent MOTION to Adjourn Conference Stipulation and Proposed Order to Adjourn Show-Cause Hearing by Securities and Exchange Commission. (McGrath, Kevin) |
| Filing 24 NOTICE of Appearance by Herve Gouraige on behalf of Fleet New York Metropolitan Regional Center LLC, Richard Xia, Julia Yue (notification declined or already on case) (Gouraige, Herve) |
| ELECTRONIC ORDER re #23 : Granting Motion for Extension of Time to Answer Complaint. Defendants Fleet New York Metropolitan Regional Center LLC's and Richard Xia's answers are due on 11/30/2021. So Ordered by Chief Magistrate Judge Cheryl L. Pollak on 11/10/2021. (Henney, Scott) |
| Filing 23 MOTION for Extension of Time to File Answer re #1 Complaint, by Fleet New York Metropolitan Regional Center LLC, Richard Xia, Julia Yue. (Gouraige, Herve) |
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ORDER granting #22 Motion to Appoint Expert. The Monitor's retention of J.S. Held is So Ordered. Ordered by Judge Pamela K. Chen on 11/3/2021. (Mahkamova, Shirin)
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ORDER: In light of Judge Pollak's November 1, 2021 Order granting the #21 motion to withdraw as counsel for Defendants and Relief Defendant and directing new counsel to file a notice of appearance on the record by 11/15/2021, the Court sua sponte extends the deadline for Defendants and Relief Defendant to file opposition papers to 11/22/2021, 5:00 p.m.; the Commission shall file reply papers by 11/26/2021, 5:00 p.m. The show-cause hearing is hereby adjourned to 12/8/2021, 3:00 p.m, in Courtroom 4F North. The relief granted in the 11 Order to Show Cause and [11 -1] Order Appointing Monitor is extended through December 8, 2021, in light of the schedule set forth herein.Ordered by Judge Pamela K. Chen on 11/2/2021. (Mahkamova, Shirin)
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| ELECTRONIC ORDER re #21 : Granting Motion to Withdraw as Attorney. Attorneys Marc Lee Mukasey; Kenneth A. Caruso and Robert S. Frenchman terminated. Defendants have two weeks from the date of this Order, until 11/15/2021, for new counsel to file a notice of appearance on the record. So Ordered by Chief Magistrate Judge Cheryl L. Pollak on 11/1/2021. (Henney, Scott) |
| Filing 22 MOTION to Appoint Expert J.S. Held by Matthew Scott Peeler. (Attachments: #1 Declaration of M. Scott Peeler, #2 Proposed Order) (Peeler, Matthew) |
| Filing 21 MOTION to Withdraw as Attorney by Fleet New York Metropolitan Regional Center LLC, Richard Xia, Julia Yue. (Frenchman, Robert) |
| Filing 20 AFFIDAVIT/AFFIRMATION re Scheduling Order, Affidavit of Julia Yue Regarding Court-Ordered Accounting by Julia Yue (Frenchman, Robert) |
| Filing 19 AFFIDAVIT/AFFIRMATION re Scheduling Order, Affidavit of Richard Xia Regarding Court-Ordered Accounting by Fleet New York Metropolitan Regional Center LLC, Richard Xia (Attachments: #1 Exhibit Accounting) (Frenchman, Robert) |
| ELECTRONIC ORDER re #18 : Granting Motion for Extension of Time to File Response. Defendants' deadline to respond to plaintiff's complaint is extended to 11/9/2021. So Ordered by Chief Magistrate Judge Cheryl L. Pollak on 10/18/2021. (Henney, Scott) |
| Filing 18 MOTION for Extension of Time to File Response/Reply as to #1 Complaint, Stipulation and Proposed Order by Fleet New York Metropolitan Regional Center LLC, Richard Xia, Julia Yue. (Caruso, Kenneth) |
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ORDER: The show-cause hearing scheduled for 11/11/2021 is rescheduled to 11/10/2021, 12:00 p.m., in Courtroom 4F North. The due date for the sworn accountings of the Defendants and the Relief Defendant to be filed and served is moved from 10/13/2021 to 10/18/2021 on parties' consent. All other deadlines set forth in the 10/7/2021 Amended Order remain unchanged. Ordered by Judge Pamela K. Chen on 10/15/2021. (Mahkamova, Shirin)
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| Filing 17 NOTICE of Appearance by Kenneth A. Caruso on behalf of All Defendants (aty to be noticed) (Caruso, Kenneth) |
| Filing 16 NOTICE of Appearance by Robert S. Frenchman on behalf of All Defendants (aty to be noticed) (Frenchman, Robert) |
| Filing 15 NOTICE of Appearance by Marc Lee Mukasey on behalf of All Defendants (aty to be noticed) (Mukasey, Marc) |
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ORDER: The #14 motion to adjourn the show-cause hearing originally scheduled for 10/25/2021, on the consent of the parties, is granted, and the parties' stipulation is so ordered. The show-cause hearing is adjourned until 11/11/2021, 3:00 p.m., in Courtroom 4F North. Defendants shall submit the sworn accountings required by the 11 Order to Show Cause by 10/13/2021; Defendants and Relief Defendant shall file opposition papers by 10/28/2021, 5:00 p.m.; and the Commission shall file reply papers by 11/3/2021, 5:00 p.m. The relief granted in the 11 Order to Show Cause and 11 -1 Order Appointing Monitor is extended through November 11, 2021, in light of the schedule set forth herein. Ordered by Judge Pamela K. Chen on 10/7/2021. (Nguyen, Andrew)
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AMENDED ORDER: The #14 motion to adjourn the show-cause hearing originally scheduled for 10/25/2021, on the consent of the parties, is granted, and the parties' stipulation is so ordered. The show-cause hearing is adjourned until 11/11/2021, 10:00 a.m., in Courtroom 4F North. Defendants shall submit the sworn accountings required by the 11 Order to Show Cause by 10/13/2021; Defendants and Relief Defendant shall file opposition papers by 10/28/2021, 5:00 p.m.; and the Commission shall file reply papers by 11/3/2021, 5:00 p.m. The relief granted in the 11 Order to Show Cause and 11 -1 Order Appointing Monitor is extended through November 11, 2021, in light of the schedule set forth herein. Ordered by Judge Pamela K. Chen on 10/7/2021. (Nguyen, Andrew)
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| Filing 14 Consent MOTION to Adjourn Conference based on consent Proposed Stipulation and Order extending the Order to Show Cause deadlines in the Court's Order dated September 29, 2021 by Securities and Exchange Commission. (Stoelting, David) |
| Filing 13 Consent MOTION to Adjourn Conference Stipulation and [Proposed] Order regarding Order to Show Cause entered Sept. 27, 2021 by Securities and Exchange Commission. (Stoelting, David) |
| Filing 12 AFFIDAVIT/AFFIRMATION of Service by Securities and Exchange Commission (Stoelting, David) |
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ORDER: The #13 motion to adjourn the show-cause hearing originally scheduled for 10/12/2021, on the consent of the parties, is granted. However, given the Court's limited availability due to a multi-week jury trial starting on October 4, the show-cause hearing is adjourned until 10/25/2021, 4:00 p.m., in Courtroom 4F North. The parties' proposed interim deadlines are so ordered: Defendants shall submit the sworn accountings required by the 11 Order to Show Cause by 10/8/2021; Defendants and Relief Defendant shall file opposition papers by 10/12/2021, 5:00 p.m.; and the Commission shall file reply papers by 10/15/2021, 5:00 p.m. The relief granted in the 11 Order to Show Cause and 11 -1 Order Appointing Monitor are extended through October 25, 2021, in light of the schedule set forth herein. Ordered by Judge Pamela K. Chen on 9/29/2021. (Nguyen, Andrew)
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ORDER REASSIGNING CASE. Case reassigned to Judge Pamela K. Chen for all further proceedings. Judge Kiyo A. Matsumoto no longer assigned to case 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. Ordered by Chief Judge Margo K. Brodie on 9/27/2021. (Bowens, Priscilla)
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| Filing 10 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 9 Summons Issued as to All Defendants. (Bowens, Priscilla) |
| Filing 8 Unsigned Order to Show Cause by Securities and Exchange Commission (Bowens, Priscilla) |
| Filing 7 DECLARATION Raymond Dookhie by Securities and Exchange Commission (Bowens, Priscilla) (Additional attachment(s) added on 9/27/2021: #1 Ex. 1, #2 Ex. 2, #3 Ex. 3, #4 Ex. 4, #5 Ex. 5, #6 Ex. 6, #7 Ex. 7, #8 Ex. 8, #9 Ex.9, #10 Ex. 10, #11 Ex. 11, #12 Ex. 12, #13 Ex. 13, #14 Ex. 14, #15 Ex. 15, #16 Ex. 16, #17 Ex. 17, #18 Ex. 18, #19 Ex. 19, #20 Ex. 20, #21 Ex. 21, #22 Ex. 22, #23 Ex. 23, #24 Ex. 24, #25 Ex. 25, #26 Ex. 26, #27 Ex. 27, #28 Ex. 28, #29 Ex. 29, #30 Ex. 30, #31 Ex. 31, #32 Ex. 32, #33 Ex. 33, #34 Ex. 34, #35 Ex. 35, #36 Ex. 36, #37 Ex. 37, #38 Ex. 38, #39 Ex. 39, #40 Ex. 40, #41 Ex. 41, #42 Ex. 42, #43 Ex. 43, #44 Ex. 44, #45 Ex. 45, #46 Ex. 46, #47 Ex. 47, #48 Ex. 48, #49 Ex. 49, #50 Ex. 50, #51 Ex. 51) (Bowens, Priscilla). |
| Filing 6 DECLARATION Kim Han by Securities and Exchange Commission (Bowens, Priscilla) (Additional attachment(s) added on 9/27/2021: #1 Ex. 1, #2 Ex. 2, #3 Ex. 3, #4 Ex. 4, #5 Ex. 5, #6 Ex. 6, #7 Ex. 7, #8 Ex. 8, #9 Ex.9, #10 Ex. 10, #11 Ex. 11, #12 Ex. 12, #13 Ex. 13, #14 Ex. 14, #15 Ex. 15, #16 Ex. 16, #17 Ex. 17, #18 Ex. 18, #19 Ex. 19, #20 Ex. 20, #21 Ex. 21, #22 Ex. 22, #23 Ex. 23, #24 Ex. 24, #25 Ex. 25, #26 Ex. 26, #27 Ex. 27, #28 Ex. 28, #29 Ex. 29, #30 Ex. 30, #31 Ex. 31, #32 Ex. 32, #33 Ex. 33, #34 Ex. 34, #35 Ex. 35, #36 Ex. 36, #37 Ex. 37, #38 Ex. 38, #39 Ex. 39, #40 Ex. 40, #41 Ex. 41, #42 Ex. 42, #43 Ex. 43, #44 Ex. 44, #45 Ex. 45, #46 Ex. 46, #47 Ex. 47, #48 Ex. 48, #49 Ex. 49, #50 Ex. 50, #51 Ex. 51, #52 Ex. 52, #53 Ex. 53, #54 Ex. 54, #55 Ex. 55, #56 Ex. 56, #57 Ex. 57, #58 Ex. 58, #59 Ex. 59, #60 Ex. 60, #61 Ex. 61, #62 Ex. 62, #63 Ex. 63, #64 Ex. 64, #65 Ex. 65, #66 Ex. 66, #67 Ex. 67, #68 Ex. 68, #69 Ex. 69, #70 Ex. 70, #71 Ex. 71, #72 Ex. 72, #73 Ex. 73, #74 Ex. 74, #75 Ex. 75, #76 Ex. 76, #77 Ex. 77, #78 Ex. 78, #79 Ex. 79, #80 Ex. 80, #81 Ex. 81, #82 Ex. 82, #83 Ex. 83, #84 Ex. 84, #85 Ex. 85, #86 Ex. 86, #87 Ex. 87, #88 Ex. 88, #89 Ex. 89) (Bowens, Priscilla). |
| Filing 5 DECLARATION Sunil K. Aggarwal by Securities and Exchange Commission (Bowens, Priscilla) |
| Filing 4 DECLARATION Annie Seelaus by Securities and Exchange Commission (Bowens, Priscilla) |
| Filing 3 DECLARATION Robert Thompson by Securities and Exchange Commission (Bowens, Priscilla) |
| Filing 2 MOTION for Temporary Restraining Order by Securities and Exchange Commission. (Attachments: #1 Proposed Order Appointing Monitor, #2 Memorandum in Support) (Bowens, Priscilla) (Additional attachment(s) added on 9/27/2021: #3 Declaration David Stoelting) (Bowens, Priscilla). |
| Filing 1 COMPLAINT against Fleet New York Metropolitan Regional Center LLC, Richard Xia, Julia Yue Was the Disclosure Statement on Civil Cover Sheet completed -No,, filed by Securities and Exchange Commission. (Attachments: #1 Civil Cover Sheet) (Bowens, Priscilla) |
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