Securities and Exchange Commission v. Kelly et al
| Securities and Exchange Commission |
| John Michael Kelly, Steven Rindner, Joseph A. Ripp and Mark Wovsaniker |
| 1:2008cv04612 |
| May 19, 2008 |
| US District Court for the Southern District of New York |
| Securities/Commodities Office |
| XX Out of State |
| Gabriel W Gorenstein |
| Colleen McMahon |
| Securities/Commodities |
| U.S. Government Plaintiff |
| Both |
Docket Report
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This docket was last retrieved on April 23, 2013. A more recent docket listing may be available from PACER.
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| Filing 367 STIPULATION OF DISMISSAL BY PLAINTIFF: Pursuant to Federal Rule of Civil Procedure 41 (a)( I )(A)(ii), the parties hereto, by and through their undersigned counsel, hereby STIPULATE and AGREE that all claims of Plaintiff Securities and Exchange Commission against Defendant Mark Wovsaniker are dismissed in their entirety with prejudice and with each party bearing its own costs and fees. (Signed by Judge Colleen McMahon on 4/23/2013) (cd) |
| ***NOTE TO ATTORNEY - DOCUMENT REFERRED TO JUDGE FOR APPROVAL. Note to Attorney John Worland Document #366 Stipulation of Voluntary Dismissal, was referred to Judge Colleen McMahon for approval. (jno) |
| Filing 366 DOCUMENT REFERRED TO JUDGE FOR APPROVAL - STIPULATION OF VOLUNTARY DISMISSAL It is hereby stipulated and agreed by and between the parties and/or their respective counsel(s) that the above-captioned action is voluntarily dismissed, with prejudice against the defendant(s) Mark Wovsaniker and without costs to either party pursuant to Rule 41(a)(1)(A)(ii) of the Federal Rules of Civil Procedure. Document filed by Securities and Exchange Commission.(Worland, John) Modified on 4/23/2013 (jno). |
Filing 365
STIPULATION OF DISMISSAL WITH PREJUDICE OF CERTAIN CLAIMS AGAINST DEFENDANT STEVEN E. RINDNER: that, upon entry of the proposed Final Judgment as to Defendant submitted simultaneously herewith, the following Claims in the Complaint filed in this action on May 19, 2008, as to Defendant Steven E. Rindner only, are dismissed with prejudice. Additional relief as set forth in this Order. (Signed by Judge Colleen McMahon on 5/23/2012) (pl) Modified on 5/24/2012 (pl).
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| ***NOTE TO ATTORNEY TO RE-FILE DOCUMENT - NON-ECF DOCUMENT ERROR. Note to Attorney John David Worland, Jr. to E-MAIL to judgments@nysd.uscourts.gov., Document No. #364 Stipulation of Dismissal. This document is not filed via ECF. (ka) |
| ***NOTE TO ATTORNEY TO RE-FILE DOCUMENT - NON-ECF DOCUMENT ERROR. Note to Attorney John David Worland, Jr. to E-MAIL to judgments@nysd.uscourts.gov., Document No. #363 Consent of Steve E. Rindner. This document is not filed via ECF. (ka) |
| Filing 364 FILING ERROR - ELECTRONIC FILING OF NON-ECF DOCUMENT - NOTICE of Settlement Stipulation of Dismissal of All Claims Not Covered in Final Judgment. Document filed by Securities and Exchange Commission. (Worland, John) Modified on 5/23/2012 (ka). |
| Filing 363 FILING ERROR - ELECTRONIC FILING OF NON-ECF DOCUMENT - SETTLEMENT AGREEMENT Consent of Steven E. Rindner. Document filed by Securities and Exchange Commission.(Worland, John) Modified on 5/23/2012 (ka). |
| Filing 362 FINAL JUDGMENT AS TO DEFENDANT STEVEN RINDNER #12,0844 in favor of Securities and Exchange Commission against Steven Rindner in the amount of $ 13,000.00. (Signed by Judge Colleen McMahon on 5/21/2012) (Attachments: #1 Notice of Right to Appeal)(jnm) |
| Minute Entry for proceedings held before Judge Colleen McMahon: Status (Telephone) Conference held on 4/30/2012. Decision: Status conference held. All dates post-poned, sine die. The parties are instructed to update the Court periodically (but at least every 60 days) by faxed letters-which will not be made available on the docket, and remain under seal. (Submitted by Scott Danner). (mde) |
| Filing 361 ENDORSED LETTER addressed to To all counsel in: SEC v. Wovsanker (08 Civ. 4612) from Judge Colleen McMahon dated 4/19/2012 re: Judge Gorenstein called this morning to remind me about the fact that I had acceded to his suggestion that he hear, in the first instance, the in limine motion about whether the Third Restatement was or was not to be part of the case. Our separate understandings are of, course irrelevant to the outcome of the in limine motions that I decided yesterday, for two reasons. First and foremost, the SEC did not object to Judge Gorenstein's conclusion, regardless of the form in which it issued, and discovery was circumscribed as a result. If the SEC had a problem with the Magistrate Judge's decision, it should have taken an appeal or lodged an objection. It did neither instead, it acquiesced. And that ends the matter. Second, now that l have reviewed the matter in the context of deciding the SEC's in limine motion, I can tell you that would have affirmed Judge Gorenstein's conclusion with alacrity. ENDORSEMENT: I continue to be concerned about Mr. Wovsaniker's health. Please give me an update as soon as counsel has any new information. (Signed by Judge Colleen McMahon on 4/19/2012) (jfe) |
| CASHIERS OFFICE REMARK on #356 Motion to Appear Pro Hac Vice in the amount of $200.00, paid on 04/02/2012, Receipt Number 1034202. (jd) |
| Filing 360 RULINGS ON IN LIMINE MOTIONS terminating #321 Motion in Limine; terminating #323 Motion in Limine; terminating #325 Motion in Limine; terminating #327 Motion in Limine; terminating #329 Motion in Limine; terminating #331 Motion in Limine; terminating #333 Motion in Limine; terminating #335 Motion in Limine; terminating #337 Motion in Limine; terminating #340 Motion in Limine. Both prongs of the SEC's in limine motion are DENIED. Wovsaniker's motion to preclude testimony by David Colburn and Eric Keller is GRANTED IN PART. Wovsaniker's motion to exclude investigative testimony by Thomas Middlehoff, the former CEO of Bertelsmann, A.G., is DENIED. Defendants motion in limine is GRANTED. This disposes of the in limine motions. The Clerk is directed to remove the motions at Docket numbers 321, 323, 325, 327, 329, 331, 333, 335, 337, and 340 from the court's list of open motions. (Signed by Judge Colleen McMahon on 4/18/2012) (ft) |
| Filing 359 AMENDED TRIAL NOTICE: Final Pretrial Conference set for 5/2/2012 at 10:00 AM in Courtroom 14C, 500 Pearl Street, New York, NY 10007 before Judge Colleen McMahon. Jury Trial set for 5/7/2012 at 09:30 AM before Judge Colleen McMahon. Parties are directed to file all trial documents required by Judge McMahon's Individual Practices. Originals must be filed in the Clerk's Office and courtesy copies are to be provided to chambers. Any scheduling difficulties must be brought to the attention of the Court in writing. (Signed by Judge Colleen McMahon on 4/17/2012) (cd) |
| Filing 358 ENDORSED LETTER addressed To All Counsel in SEC v. Wovsaniker from Judge Colleen McMahon dated 4/16/2012 re: Final Pre Trial Conference and Trial. ENDORSEMENT: Your exhibits arrived today. As I hear all objections to exhibits and rule on them at the Final Pre Trial Conference, it is clear that we cannot do that conference this Friday (I have to leave early in any event). So my deputy, Mariela de Jesus, will be rescheduling that conference when we can spend the entire day. The volume of the SEC's proposed evidence-which does not seem to have diminished even though the case involves only one defendant-compels me to place some reality constraints on this trial. It will take us a full day to pick a jury for any trial that lasts longer than two weeks. That means openings (which can last no longer than a half hour per side) and evidence begin Tuesday. The SEC needs to wrap up its case in seven trial days, allowing for cross examination, which means by the following Thursday, May 17. Seven trial days is plenty for a case of this magnitude. If this requires you to cut down somewhat on your presentation, that is the idea. This case should not last longer than my terrorism trial did, and the jury can only absorb so much evidence. Defendant will have a like period to present his case, though I doubt he will need that much time. Mariela will contact you later today about rescheduling the final pre trial conference. (Signed by Judge Colleen McMahon on 4/16/2012) (mro) Modified on 4/16/2012 (mro). Modified on 4/17/2012 (mro). |
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Filing 357
ORDER FOR ADMISSION PRO HAC VICE: granting #356 Motion for Allison C Frisbee to Appear Pro Hac Vice for defendant Mark Wovsaniker. (Signed by Judge Colleen McMahon on 4/9/2012) (cd)
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| Filing 356 MOTION for Allison C. Frisbee to Appear Pro Hac Vice. Document filed by Mark Wovsaniker.(bwa) |
| Filing 355 DECLARATION of John D. Worland, Jr. in Opposition re: #331 SIXTH MOTION in Limine to Exclude Evidence Concerning H. Stephen Hurst's Decision That Ernst & Young Would No Longer Rely On Mr. Wovsaniker's Judgment Regarding Accounting Issues., #325 THIRD MOTION in Limine to Exclude Investigative Testimony of Thomas Middelhoff., #335 EIGHTH MOTION in Limine to Limit the Testimony of Proposed Expert Douglas R. Carmichael., #337 NINTH MOTION in Limine to Limit the Testimony of Proposed Expert Edward A. Weinstein.. Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit, #2 Exhibit, #3 Exhibit, #4 Exhibit, #5 Exhibit, #6 Exhibit)(Worland, John) |
| Filing 354 MEMORANDUM OF LAW in Opposition re: #337 NINTH MOTION in Limine to Limit the Testimony of Proposed Expert Edward A. Weinstein.. Document filed by Securities and Exchange Commission. (Worland, John) |
| Filing 353 MEMORANDUM OF LAW in Opposition re: #335 EIGHTH MOTION in Limine to Limit the Testimony of Proposed Expert Douglas R. Carmichael.. Document filed by Securities and Exchange Commission. (Worland, John) |
| Filing 352 MEMORANDUM OF LAW in Opposition re: #331 SIXTH MOTION in Limine to Exclude Evidence Concerning H. Stephen Hurst's Decision That Ernst & Young Would No Longer Rely On Mr. Wovsaniker's Judgment Regarding Accounting Issues.. Document filed by Securities and Exchange Commission. (Worland, John) |
| Filing 351 MEMORANDUM OF LAW in Opposition re: #329 FIFTH MOTION in Limine to Exclude Interview Notes and Summaries as Inadmissible Hearsay.. Document filed by Securities and Exchange Commission. (Worland, John) |
| Filing 350 MEMORANDUM OF LAW in Opposition re: #325 THIRD MOTION in Limine to Exclude Investigative Testimony of Thomas Middelhoff.. Document filed by Securities and Exchange Commission. (Worland, John) |
| Filing 349 MEMORANDUM OF LAW in Opposition re: #323 SECOND MOTION in Limine to Preclude Testimony by David Colburn and Eric Keller.. Document filed by Securities and Exchange Commission. (Worland, John) |
| Filing 348 MEMORANDUM OF LAW in Opposition re: #321 FIRST MOTION in Limine to Exclude Evidence Regarding the Prior Unrelated SEC Action Against AOL.. Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit)(Worland, John) |
| Filing 347 DECLARATION of Stephen G. Topetzes in Opposition re: #340 MOTION in Limine with respect to Transactions Not Specifically Cited in the Complaint.. Document filed by Mark Wovsaniker. (Attachments: #1 Exhibit A, #2 Exhibit B, #3 Exhibit C, #4 Exhibit D)(Topetzes, Stephen) |
| Filing 346 MEMORANDUM OF LAW in Opposition re: #340 MOTION in Limine with respect to Transactions Not Specifically Cited in the Complaint.. Document filed by Mark Wovsaniker. (Topetzes, Stephen) |
| Filing 345 RESPONSE in Opposition re: #333 SEVENTH MOTION in Limine to Exclude Evidence Relating to AOLTWs Restatements of Financials.. Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit SEC v. Jasper)(Bowers, John) |
| Filing 344 RESPONSE in Opposition re: #327 FOURTH MOTION in Limine to Exclude Section 21(a) Reports and Other Investigative Reports and Conclusions.. Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit Ingram Declaration)(Bowers, John) |
| Minute Entry for proceedings held before Judge Colleen McMahon: Telephone Conference held on 3/29/2012. Decision: Status conference held. Counsel is to report to the Court when more information is available.(Submitted By Benjamin T. Alden). (mde) |
| Filing 343 AMENDED TRIAL NOTICE: Please take notice that the above captioned matter has been re-scheduled for a Final Pretrial Conference before the Honorable Colleen McMahon, United States District Judge, on Friday, April 20, 2012 at 11:45 a.m., in courtroom 14C, at the U.S. District Courthouse, 500 Pearl Street, New York, New York 10007. Trial has been scheduled for Monday, May 7, 2012 at 9:30 a.m. Parties are directed to file all trial documents required by Judge McMahon's Individual Practices. Originals must be filed in the Clerk's Office and courtesy copies are to be provided to chambers. Any scheduling difficulties must be brought to the attention of the Court in writing., ( Final Pretrial Conference set for 4/20/2012 at 11:45 AM in Courtroom 14C, 500 Pearl Street, New York, NY 10007 before Judge Colleen McMahon., Jury Trial set for 5/7/2012 at 09:30 AM before Judge Colleen McMahon.) (Signed by Judge Colleen McMahon on 3/26/2012) (lmb) |
| Filing 342 ENDORSED LETTER addressed to Judge Colleen McMahon from Patrick F. Linehan dated 3/2/2012 re: Mr. Rindner respectfully requests that the deadline for the filing of in limine motions for all parties be extended to March 9, 2012, and that the deadline for the filing of oppositions be extended to April 2, 2012. ENDORSEMENT: OK. ( Motions due by 3/9/2012., Responses due by 4/2/2012) (Signed by Judge Colleen McMahon on 3/5/2012) (jfe) |
| Filing 341 MEMORANDUM OF LAW in Support re: #340 MOTION in Limine with respect to Transactions Not Specifically Cited in the Complaint.. Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit, #2 Exhibit)(Worland, John) |
| Filing 340 MOTION in Limine with respect to Transactions Not Specifically Cited in the Complaint. Document filed by Securities and Exchange Commission.(Worland, John) |
| Filing 339 DECLARATION of Stephen G. Topetzes in Support re: #325 THIRD MOTION in Limine to Exclude Investigative Testimony of Thomas Middelhoff., #329 FIFTH MOTION in Limine to Exclude Interview Notes and Summaries as Inadmissible Hearsay., #335 EIGHTH MOTION in Limine to Limit the Testimony of Proposed Expert Douglas R. Carmichael., #333 SEVENTH MOTION in Limine to Exclude Evidence Relating to AOLTWs Restatements of Financials., #337 NINTH MOTION in Limine to Limit the Testimony of Proposed Expert Edward A. Weinstein., #323 SECOND MOTION in Limine to Preclude Testimony by David Colburn and Eric Keller., #327 FOURTH MOTION in Limine to Exclude Section 21(a) Reports and Other Investigative Reports and Conclusions.. Document filed by Mark Wovsaniker. (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, #9 Exhibit I, #10 Exhibit J, #11 Exhibit K, #12 Exhibit L, #13 Exhibit M, #14 Exhibit N, #15 Exhibit O, #16 Exhibit P, #17 Exhibit Q, #18 Exhibit R, #19 Exhibit S, #20 Exhibit T, #21 Exhibit U)(Topetzes, Stephen) |
| Filing 338 MEMORANDUM OF LAW in Support re: #337 NINTH MOTION in Limine to Limit the Testimony of Proposed Expert Edward A. Weinstein.. Document filed by Mark Wovsaniker. (Topetzes, Stephen) |
| Filing 337 NINTH MOTION in Limine to Limit the Testimony of Proposed Expert Edward A. Weinstein. Document filed by Mark Wovsaniker.(Topetzes, Stephen) |
| Filing 336 MEMORANDUM OF LAW in Support re: #335 EIGHTH MOTION in Limine to Limit the Testimony of Proposed Expert Douglas R. Carmichael.. Document filed by Mark Wovsaniker. (Topetzes, Stephen) |
| Filing 335 EIGHTH MOTION in Limine to Limit the Testimony of Proposed Expert Douglas R. Carmichael. Document filed by Mark Wovsaniker.(Topetzes, Stephen) |
| Filing 334 MEMORANDUM OF LAW in Support re: #333 SEVENTH MOTION in Limine to Exclude Evidence Relating to AOLTWs Restatements of Financials.. Document filed by Mark Wovsaniker. (Topetzes, Stephen) |
| Filing 333 SEVENTH MOTION in Limine to Exclude Evidence Relating to AOLTWs Restatements of Financials. Document filed by Mark Wovsaniker.(Topetzes, Stephen) |
| Filing 332 MEMORANDUM OF LAW in Support re: #331 SIXTH MOTION in Limine to Exclude Evidence Concerning H. Stephen Hurst's Decision That Ernst & Young Would No Longer Rely On Mr. Wovsaniker's Judgment Regarding Accounting Issues.. Document filed by Mark Wovsaniker. (Topetzes, Stephen) |
| Filing 331 SIXTH MOTION in Limine to Exclude Evidence Concerning H. Stephen Hurst's Decision That Ernst & Young Would No Longer Rely On Mr. Wovsaniker's Judgment Regarding Accounting Issues. Document filed by Mark Wovsaniker.(Topetzes, Stephen) |
| Filing 330 MEMORANDUM OF LAW in Support re: #329 FIFTH MOTION in Limine to Exclude Interview Notes and Summaries as Inadmissible Hearsay.. Document filed by Mark Wovsaniker. (Topetzes, Stephen) |
| Filing 329 FIFTH MOTION in Limine to Exclude Interview Notes and Summaries as Inadmissible Hearsay. Document filed by Mark Wovsaniker.(Topetzes, Stephen) |
| Filing 328 MEMORANDUM OF LAW in Support re: #327 FOURTH MOTION in Limine to Exclude Section 21(a) Reports and Other Investigative Reports and Conclusions.. Document filed by Mark Wovsaniker. (Topetzes, Stephen) |
| Filing 327 FOURTH MOTION in Limine to Exclude Section 21(a) Reports and Other Investigative Reports and Conclusions. Document filed by Mark Wovsaniker.(Topetzes, Stephen) |
| Filing 326 MEMORANDUM OF LAW in Support re: #325 THIRD MOTION in Limine to Exclude Investigative Testimony of Thomas Middelhoff.. Document filed by Mark Wovsaniker. (Topetzes, Stephen) |
| Filing 325 THIRD MOTION in Limine to Exclude Investigative Testimony of Thomas Middelhoff. Document filed by Mark Wovsaniker.(Topetzes, Stephen) |
| Filing 324 MEMORANDUM OF LAW in Support re: #323 SECOND MOTION in Limine to Preclude Testimony by David Colburn and Eric Keller.. Document filed by Mark Wovsaniker. (Topetzes, Stephen) |
| Filing 323 SECOND MOTION in Limine to Preclude Testimony by David Colburn and Eric Keller. Document filed by Mark Wovsaniker.(Topetzes, Stephen) |
| Filing 322 MEMORANDUM OF LAW in Support re: #321 FIRST MOTION in Limine to Exclude Evidence Regarding the Prior Unrelated SEC Action Against AOL.. Document filed by Mark Wovsaniker. (Topetzes, Stephen) |
| Filing 321 FIRST MOTION in Limine to Exclude Evidence Regarding the Prior Unrelated SEC Action Against AOL. Document filed by Mark Wovsaniker.(Topetzes, Stephen) |
| Filing 320 ENDORSED LETTER addressed to Judge Colleen McMahon from Roger Warin dated 2/23/2012 re: Request that the filing of in limine motions as follows. ENDORSEMENT: OK. ( Motions due by 3/2/2012. Responses due by 3/27/2012) (Signed by Judge Colleen McMahon on 2/27/2012) (cd) |
| Filing 319 ENDORSED LETTER addressed to Judge Colleen McMahon from Roger E. Warin dated 1/30/2012 re: Defendant Steven E. Rindner respectfully submits this letter, pursuant to Your Honor's Individual Practice Rule 1.E and with the consent of the parties to the above-captioned action, to request an extension of time for the filing of the parties' in limine motions. Mr. Rindner respectfully requests that the deadline for the filing of in limine motions be extended from February 1, 2012 to February 24, 2012, and that the deadline for the filing of oppositions be extended from March 15, 2012 to March 22, 2012. ENDORSEMENT: Ok - I hope you can resolve this! (Signed by Judge Colleen McMahon on 1/30/2012) (lmb) |
| Set/Reset Deadlines: Motions due by 2/24/2012. Responses due by 3/22/2012. (lmb) |
| Filing 318 NOTICE OF CHANGE OF ADDRESS by Reid Weingarten on behalf of Steven Rindner. New Address: Steptoe & Johnson, LLP, 1114 Avenue of the Americas, New York, New York, United States of America 10036, 212-506-3900. (Weingarten, Reid) |
| Filing 317 NOTICE OF APPEARANCE by Stephen J. Crimmins on behalf of Mark Wovsaniker (Crimmins, Stephen) |
| Filing 316 DECISION "CLARIFYING" THE GEOGRAPHIC SCOPE OF TRIAL SUBPOENAS IN THE WAKE OF THE DODD-FRANK ACT: granting #309 Motion for Clarification of Geographic Scope of Trial Subpoenas in the Wake of the Dodd-Frank Act. I grant defendants' motion for clarification of my understanding of the geographic scope of trial subpoenas in the wake of the Dodd-Frank Act. For substantially the reasons set forth in the SEC's responsive memorandum of law, I clarify that my understanding accords with that of the SEC. (Signed by Judge Colleen McMahon on 11/22/2011) (lmb) |
| Filing 315 REPLY MEMORANDUM OF LAW in Support re: #309 MOTION Clarification of Geographic Scope of Trial Subpoenas in the Wake of the Dodd-Frank Act.. Document filed by Mark Wovsaniker. (Topetzes, Stephen) |
| Filing 314 MEMO ENDORSEMENT denying #312 Motion for Leave to File Document: Denied - without prejudice to raising the issue at trial. (Signed by Judge Colleen McMahon on 11/21/2011) (lmb) |
| Filing 313 MEMORANDUM OF LAW in Opposition re: #309 MOTION Clarification of Geographic Scope of Trial Subpoenas in the Wake of the Dodd-Frank Act.. Document filed by Securities and Exchange Commission. (Bowers, John) |
| Filing 312 MOTION for Leave to File Motion for Summary Judgment. Document filed by Steven Rindner. (Attachments: #1 Text of Proposed Order Proposed Order, #2 Exhibit Exhibit A (Motion for Summary Judgment), #3 Exhibit Exhibit B (Memorandum in Support), #4 Exhibit Exhibit C (SUF), #5 Exhibit Exhibit D (Moore Declaration), #6 Exhibit Exhibit E (Proposed Order for Summary Judgment), #7 Exhibit Exhibit 1, #8 Exhibit Exhibit 2, #9 Exhibit Exhibit 3, #10 Exhibit Exhibit 4, #11 Exhibit Exhibit 5, #12 Exhibit Exhibit 6, #13 Exhibit Exhibit 7, #14 Exhibit Exhibit 8, #15 Exhibit Exhibit 9, #16 Exhibit Exhibit 10, #17 Exhibit Exhibit 11, #18 Exhibit Exhibit 12, #19 Exhibit Exhibit 13, #20 Exhibit Exhibit 14, #21 Exhibit Exhibit 15)(Rapa, Anthony) |
| Filing 311 MEMO ENDORSEMENT on re: #310 Memorandum of Law in Support of Motion filed by Mark Wovsaniker. ENDORSEMENT: The SEC must respond to this motion by Friday of this week. (Signed by Judge Colleen McMahon on 11/14/2011) (lmb) |
| Filing 310 MEMORANDUM OF LAW in Support re: #309 MOTION Clarification of Geographic Scope of Trial Subpoenas in the Wake of the Dodd-Frank Act.. Document filed by Mark Wovsaniker. (Attachments: #1 Text of Proposed Order)(Topetzes, Stephen) |
| Filing 309 MOTION Clarification of Geographic Scope of Trial Subpoenas in the Wake of the Dodd-Frank Act. Document filed by Mark Wovsaniker.(Topetzes, Stephen) |
| Filing 308 ENDORSED LETTER addressed to Judge Colleen McMahon from Stephen G. Topetzes dated 10/28/2011 re: Counsel writes to propose a briefing schedule for motions to be filed in advance of the final pretrial conference in the above -entitled matter. At the suggestion of your chambers, the parties jointly proposed the following briefing schedule with respect to motions in limine and another motion Defendants intend to file with respect to a new nationwide service of subpoena provision in the Dodd-Frank Act: November 16, 2011 - Defendants file Dodd-Frank motion; December 21, 2011 - Plaintiff files opposition to Dodd-Frank Act motion; January 6, 2012 - Defendants file reply brief with regard to Dodd-Frank Act motion; February 1, 2012 - All parties file motions in limine; March 15, 2012 - All parties file oppositions to motions in limine. ENDORSEMENT: No- this motion can be briefed fully by 12/1/2011. OK. (Signed by Judge Colleen McMahon on 11/1/2011) (djc) |
| Set/Reset Deadlines: All parties' Motions in Limine due by 2/1/2012. All parties' Responses due by 3/15/2012 (djc) |
| Filing 307 AMENDED TRIAL NOTICE. Please take notice that the above captioned matter has been re-scheduled for a Final Pretrial Conference before the Honorable Colleen McMahon, United States District Judge, on Friday, April 13, 2012 at 2:00 p.m., in courtroom 14C, at the U.S. District Courthouse, 500 Pearl Street, New York, New York 10007. Trial has been scheduled for Monday, May 7, 2012 at 9:30 a.m. Parties are directed to file all trial documents required by Judge McMahon's Individual Practices. Originals must be filed in the Clerk's Office and courtesy copies are to be provided to chambers. Any scheduling difficulties must be brought to the attention of the Court in writing. (Final Pretrial Conference set for 4/13/2012 at 02:00 PM in Courtroom 14C, U.S. Courthouse, 500 Pearl Street, New York, NY 10007 before Judge Colleen McMahon. Jury Trial set for 5/7/2012 at 09:30 AM before Judge Colleen McMahon.) (Signed by Judge Colleen McMahon on 10/21/11) (rjm) Modified on 10/21/2011 (rjm). |
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Filing 306
ORDER: The SEC has requested clarification of this Court's September 22, 2011 Order, titled DECISION AND ORDER GRANTING DEFENDANTS RINDNER'S AND WOVSANIKER'S MOTIONS FOR JUDGMENT ON THE PLEADINGS. In particular, the SEC wants to know whether the prenominate Order granted judgment on the pleadings, as requested by Defendants, or whether the Court converted that motion to one for summary judgment. The Court therefore clarifies its Order as follows: Counts I and II of the SEC's complaint were dismissed on the pleadings. The Court refers only to the pleadings and the allegations contained therein in deciding the motion to dismiss. The reference on page 2 of the Order to the previous summary judgment decision was intended to direct the reader to useful factual context. As the remainder of the Order shows, however, that factual context is not relied upon in concluding that the SEC's pleadings were insufficient as a matter of law. The references to the summary judgment motion papers on page 6 of the Order highlight a concession made by the SEC. However, whether or not the SEC admitted it, "There is nothing inherently deceptive about" the conduct and transactions pleaded by the SEC. It is for that reason, and not because of the SEC's admission, that the pleadings were found insufficient on their face. (Signed by Judge Colleen McMahon on 10/11/2011) (jfe)
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Filing 305
DECISION AND ORDER GRANTING DEFENDANTS RINDNER'S AND WOVSANIKER'S MOTIONS FOR JUDGMENT ON THE PLEADINGS: granting #287 Motion for Judgment on the Pleadings; granting #289 Motion for Judgment on the Pleadings; terminating #289 Motion for Reconsideration. For the reasons discussed, Wovisaniker's motion for judgment on the pleadings on Counts One and Two of the complaint is granted. The Docket Clerk is instructed to remove docket entry 287 from the Court's list of pending motions. Further, Rindner's motion for judgment on the pleadings on Counts One and Two of the complaint is also granted. The Docket Clerk is instructed to remove docket entry 289 from the Court's list of pending motions. A final judgment was entered against defendant John Michael Kelly on September 6, 2011. After today's decision only the following claims remain in this case: (a) the SEC's third, fourth, and seventh causes of action against Rindner and (b) the SEC's third, fourth, fifth, sixth, and seventh causes of action against Wovsaniker. The parties should be prepared to proceed to trial on those claims. (Signed by Judge Colleen McMahon on 9/22/2011) (lmb) Modified on 9/27/2011 (lmb).
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| Filing 304 FINAL JUDGMENT AS TO DEFENDANT JOHN MICHAEL KELLY #11,1702 in favor of Securities and Exchange Commission against John Michael Kelly in the amount of $ 260,000.00. (Signed by Judge Colleen McMahon on 9/6/11) (Attachments: #1 Notice of Right to Appeal)(dt) |
| Filing 303 PROPOSED VOIR DIRE QUESTIONS. Document filed by Mark Wovsaniker.(Topetzes, Stephen) |
| Filing 302 PROPOSED JURY INSTRUCTIONS. Document filed by Mark Wovsaniker. (Attachments: #1 Exhibit Defendants' Proposed Verdict Form)(Topetzes, Stephen) |
| Filing 301 PRETRIAL MEMORANDUM. Document filed by Mark Wovsaniker. (Attachments: #1 Appendix Appendix A - Plaintiff's Exhibit List with Defendants' Objections, #2 Appendix Appendix B - Defendants' Exhibit List with Plaintiff's Objections, #3 Appendix Appendix C - Plaintiff's Deposition Designations with Defendants' Objections, #4 Appendix Appendix D - Defendants' Deposition Designations with Plaintiff's Objections)(Topetzes, Stephen) |
| Filing 300 PROPOSED JURY INSTRUCTIONS. Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit Plaintiff's Proposed Verdict Form)(Bowers, John) |
| Filing 299 PROPOSED VOIR DIRE QUESTIONS. Document filed by Securities and Exchange Commission.(Worland, John) |
| Filing 298 PROPOSED JURY INSTRUCTIONS. Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit Prposed Verdict Form)(Worland, John) |
| Filing 296 REPLY MEMORANDUM OF LAW in Support re: #289 MOTION for Judgment on the Pleadings. MOTION for Reconsideration.. Document filed by Steven Rindner. (Rapa, Anthony) |
| Filing 297 REPLY MEMORANDUM OF LAW in Support re: #287 MOTION for Judgment on the Pleadings as to Counts I and II of the Complaint Based on the Supreme Court's June 13, 2011 Janus Decision or, Alternatively, for Reconsideration in Part of this Court's Decision and Order Dated January 7, 2011 |
| Filing 295 MEMORANDUM OF LAW in Opposition re: #289 MOTION for Judgment on the Pleadings. MOTION for Reconsideration., #287 MOTION for Judgment on the Pleadings as to Counts I and II of the Complaint Based on the Supreme Court's June 13, 2011 Janus Decision or, Alternatively, for Reconsideration in Part of this Court's Decision and Order Dated January 7, 2011 |
| CASHIERS OFFICE REMARK on #293 Motion to Appear Pro Hac Vice in the amount of $200.00, paid on 07/19/2011, Receipt Number 11952. (jd) |
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Filing 294
ORDER FOR ADMISSION PRO HAC VICE granting #293 Motion for Theodore L. Kornobis to Appear Pro Hac Vice as counsel for Defendant Mark Wovsaniker. (Signed by Judge Colleen McMahon on 7/20/2011) (ab)
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| Filing 293 MOTION for Theodore L. Kornobis to Appear Pro Hac Vice. Document filed by Mark Wovsaniker.(pgu) |
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Filing 292
ENDORSED LETTER: addressed to Judge Colleen McMahon from Erin Ardale Koeppel dated 7/12/2011 re: Counsel for defendant writes Defendant mark Wovsaniker's Notice of Motion for Judgment on the pleadings as to Counts 1 and 2 of the complaint based on the Supreme Court's June 13, 2011 Janus Decision or alternatively for reconsideration in part of this Court's decision and order dated 1/7/2011 (2) his Memorandum of law in support of his motion (3) the appendix to his Memorandum of law (4) a proposed order granting Mr. Wovsaniker's Motion and (5) the Certificate of Service with respect to his motion. ENDORSEMENT: This cannot be made as a motion for reconsideration because the time for "reconsideration has passed, You have to make a rule 12C motion or preferably a Rule 56 motion citing the new law. I will deem this a Rule 12(c)/56 motion-not a motion for reargument. So Ordered. (Signed by Judge Colleen McMahon on 7/13/2011) (js)
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| ***DELETED DOCUMENT. Deleted document number #292 Endorsed Letter. The document was incorrectly filed in this case. (js) |
| Filing 291 DECLARATION of Patrick F. Linehan in Support re: #289 MOTION for Judgment on the Pleadings. MOTION for Reconsideration.. Document filed by Steven Rindner. (Attachments: #1 Exhibit, #2 Exhibit)(Rapa, Anthony) |
| Filing 290 MEMORANDUM OF LAW in Support re: #289 MOTION for Judgment on the Pleadings. MOTION for Reconsideration.. Document filed by Steven Rindner. (Rapa, Anthony) |
| Filing 289 MOTION for Judgment on the Pleadings., MOTION for Reconsideration. Document filed by Steven Rindner. (Attachments: #1 Supplement Memorandum of Law, #2 Affidavit Declaration of Patrick F. Linehan, #3 Exhibit Exhibit A, #4 Exhibit Exhibit B, #5 Text of Proposed Order Proposed Order)(Rapa, Anthony) |
| Filing 288 MEMORANDUM OF LAW in Support re: #287 MOTION for Judgment on the Pleadings as to Counts I and II of the Complaint Based on the Supreme Court's June 13, 2011 Janus Decision or, Alternatively, for Reconsideration in Part of this Court's Decision and Order Dated January 7, 20111 Appendix A, #2 Appendix B, #3 Text of Proposed Order)(Topetzes, Stephen) |
| Filing 287 MOTION for Judgment on the Pleadings as to Counts I and II of the Complaint Based on the Supreme Court's June 13, 2011 Janus Decision or, Alternatively, for Reconsideration in Part of this Court's Decision and Order Dated January 7, 2011. Document filed by Mark Wovsaniker.(Topetzes, Stephen) |
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Filing 286
ENDORSED LETTER addressed to Judge Colleen McMahon from Bruce E. Yannett dated 6/22/11 re: counsel for Defendant J. Michael Kelly submits this letter, with the consent of all parties, to advise the Court that the Securities and Exchange Commission ("SEC") Division of Enforcement and Mr. Kelly have reached an agreement in principle to resolve the above-referenced matter. In light of these developments, Mr. Kelly respectfully requests an extension, up to and including August 15, 2011, for the parties' submission of the joint pre-trial order. ENDORSEMENT: OK - but I will not allow any further extension in this 3 year old case. ( Pretrial Order due by 8/15/2011.) (Signed by Judge Colleen McMahon on 6/23/11) (pl) Modified on 6/23/2011 (pl).
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| CASHIERS OFFICE REMARK on #284 Motion to Appear Pro Hac Vice in the amount of $25.00, paid on 06/07/2011, Receipt Number 8479. (jd) |
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Filing 285
ORDER FOR ADMISSION PRO HAC VICE ON WRITTEN MOTION granting #284 Motion for Jill Christine Maguire to Appear Pro Hac Vice as counsel for Defendant Steven E.Rindner. (Signed by Judge Colleen McMahon on 6/8/2011) (ab)
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| Filing 284 MOTION for Jill Christine Maguire to Appear Pro Hac Vice. Document filed by Steven Rindner.(pgu) |
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Filing 283
ORDER granting #282 Motion to Withdraw as Attorney. Attorney Jeremy D. Engle terminated. (Signed by Judge Colleen McMahon on 5/24/2011) (js)
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| Filing 282 MOTION for Jeremy D. Engle to Withdraw as Attorney. Document filed by Steven Rindner. (Attachments: #1 Text of Proposed Order)(Engle, Jeremy) |
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Filing 281
ORDER FOR ADMISSION PRO HAC VICE ON WRITTEN MOTION, granting #280 Motion for Reid H. Weingarten to Appear Pro Hac Vice. (Signed by Judge Colleen McMahon on 5/3/2011) (lnl)
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| CASHIERS OFFICE REMARK on #280 Motion to Appear Pro Hac Vice in the amount of $25.00, paid on 04/27/2011, Receipt Number 5230. (jd) |
| Filing 280 MOTION for Reid Weingarten to Appear Pro Hac Vice. Document filed by Steven Rindner.(mbe) |
| CASHIERS OFFICE REMARK on #278 Motion to Appear Pro Hac Vice in the amount of $25.00, paid on 04/05/2011, Receipt Number 465401003049. (jd) |
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Filing 279
ORDER granting #278 Motion for Roger E. Warin to Appear Pro Hac Vice. (Signed by Judge Colleen McMahon on 4/11/11) (laq)
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Filing 277
ORDER granting #276 Motion to Withdraw as Attorney. Attorney Mark J. Hulkower terminated. (Signed by Judge Colleen McMahon on 4/8/2011) (jpo)
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| Filing 276 MOTION for Mark J. Hulkower to Withdraw as Attorney. Document filed by Steven Rindner. (Attachments: #1 Text of Proposed Order)(Engle, Jeremy) |
| Filing 278 MOTION for Roger E. Warin to Appear Pro Hac Vice. Document filed by Steven Rindner.(mbe) |
| Filing 275 MEMO ENDORSEMENT re: UNOPPOSED MOTION FOR JONATHAN C. DRIMMER TO WITHDRAW AS COUNSEL FOR DEFENDANT STEVEN E. RINDNER, ENDORSEMENT: Motion granted. (Signed by Judge Colleen McMahon on 4/4/11) (pl) |
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Filing 274
ORDER: IT IS DECLARED, ADJUDGED AND DECREED that Jonathan C. Drimmer is permitted to withdraw as counsel for Steven E. Rindner. (Signed by Judge Colleen McMahon on 4/4/2011) (jfe)
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| Filing 273 MOTION for Jonathan C. Drimmer to Withdraw as Attorney. Document filed by Steven Rindner. (Attachments: #1 Text of Proposed Order)(Drimmer, Jonathan) |
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Filing 272
ENDORSED LETTER addressed to Judge Colleen McMahon from John D. Worland, Jr. and Jonathan Drimmer dated 3/14/11 re: Because summary judgment motions have now been decided, we met and agreed on the following proposal to the Court seeking pre-trial and trial dates for what we jointly estimate will be an 8-10 week trial: July 1, 2011 - Parties submit final proposed joint pre-trial order to Court, as well as requests to charge, proposed voir dire questions and a draft verdict form. ENDORSEMENT: This trial will not occur until sometime in 2012-and I doubt it will take 8-10 weeks, because I will not allow that. Submit your pretrial order by July 1. I will schedule a conference. Pace down your witness & exhibit list. Set time limits for both sides that will be much shorter than your estimate, and give you a trial date. ( Pretrial Order due by 7/1/2011.) (Signed by Judge Colleen McMahon on 3/15/11); (djc)
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Filing 271
ORDER DENYING MOTION TO STRIKE DOCUMENT: As should have been implicit from the court's decision in connection with the motion for summary judgment that were granted in part and denied in part last week, the motion to strike the SEC's Rule 56.1 Statement (Docket #253) is DENIED. The Clerk of the Court shall remove the motion from the court's list of active motions. (Signed by Judge Colleen McMahon on 1/13/2011) (jfe)
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Filing 270
DECISION AND ORDER GRANTING IN PART AND DENYING IN PART DEFENDANTS MOTIONS FOR SUMMARY JUDGMENT: For the reasons discussed, Wovsaniker's and Rinder's motions for summary judgment are denied in their entirety. Kelly's motion for summary judgment dismissing the SEC's fourth, fifth, and sixt causes of action is granted. Kelly's motion for summary judgment dismissing the SEC's first, second, and third causes of action is denied. Kelly's motion to dismiss the SEC's civil penalties is denied. The SEC's request for disgorgement from Kelly and Rindner is dismissed. So Ordered. (Signed by Judge Colleen McMahon on 1/7/2011) Copies by ECF to all Counsel(js)
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| Filing 269 DECLARATION of Ada Fernandez Johnson in Support re: #149 MOTION for Summary Judgment / Notice of Motion for Summary Judgment.. Document filed by John Michael Kelly. (Attachments: #1 Exhibit 1 to Declaration of Ada Fernandez Johnson, #2 Exhibit 2 to Declaration of Ada Fernandez Johnson, #3 Exhibit 3 to Declaration of Ada Fernandez Johnson, #4 Exhibit 4 to Declaration of Ada Fernandez Johnson, #5 Exhibit 5 to Declaration of Ada Fernandez Johnson, #6 Exhibit 6 to Declaration of Ada Fernandez Johnson, #7 Exhibit 7 to Declaration of Ada Fernandez Johnson, #8 Exhibit 8 to Declaration of Ada Fernandez Johnson, #9 Exhibit 9 to Declaration of Ada Fernandez Johnson, #10 Exhibit 10 to Declaration of Ada Fernandez Johnson, #11 Exhibit 11 to Declaration of Ada Fernandez Johnson, #12 Exhibit 12 to Declaration of Ada Fernandez Johnson, #13 Exhibit 13 to Declaration of Ada Fernandez Johnson, #14 Exhibit 14 to Declaration of Ada Fernandez Johnson, #15 Exhibit 15 to Declaration of Ada Fernandez Johnson, #16 Exhibit 16 to Declaration of Ada Fernandez Johnson, #17 Exhibit 17 to Declaration of Ada Fernandez Johnson, #18 Exhibit 18 to Declaration of Ada Fernandez Johnson, #19 Exhibit 19 to Declaration of Ada Fernandez Johnson, #20 Exhibit 20 to Declaration of Ada Fernandez Johnson, #21 Exhibit 21 to Declaration of Ada Fernandez Johnson, #22 Exhibit 22 to Declaration of Ada Fernandez Johnson, #23 Exhibit 23 to Declaration of Ada Fernandez Johnson, #24 Exhibit 24 to Declaration of Ada Fernandez Johnson, #25 Exhibit 25 to Declaration of Ada Fernandez Johnson, #26 Exhibit 26 to Declaration of Ada Fernandez Johnson, #27 Exhibit 27 to Declaration of Ada Fernandez Johnson, #28 Exhibit 28 to Declaration of Ada Fernandez Johnson, #29 Exhibit 29 to Declaration of Ada Fernandez Johnson, #30 Exhibit 30 to Declaration of Ada Fernandez Johnson, #31 Exhibit 31 to Declaration of Ada Fernandez Johnson, #32 Exhibit 32 to Declaration of Ada Fernandez Johnson, #33 Certificate of Service)(Johnson, Ada) |
| Filing 268 DECLARATION of Stephen G. Topetzes in Support re: #155 MOTION for Summary Judgment.. Document filed by Mark Wovsaniker. (Attachments: #1 Exhibit Exhibits A through F)(Topetzes, Stephen) |
| Filing 267 REPLY to Response to Motion re: #155 MOTION for Summary Judgment. Reply to SEC Responses to Statement of Undisputed Facts in Support of Defendant Mark Wovsaniker's Motion for Summary Judgment. Document filed by Mark Wovsaniker. (Topetzes, Stephen) |
| Filing 266 REPLY MEMORANDUM OF LAW in Support re: #155 MOTION for Summary Judgment.. Document filed by Mark Wovsaniker. (Topetzes, Stephen) |
| Filing 265 RESPONSE re: #184 Response in Opposition to Motion, Defendant Steven Rindner's Reply to Plaintiff Securities and Exchange Commission's Response to Defendant Steven Rindner's Statement of Material Facts as to Which There Is No Dispute and Statement of Additional Material Facts Precluding Summary Judgment. Document filed by Steven Rindner. (Drimmer, Jonathan) |
| Filing 264 REPLY re: #149 MOTION for Summary Judgment / Notice of Motion for Summary Judgment., #150 Rule 56.1 Statement / J. Michael Kelly's Reply to the Statement of Undisputed Facts. Document filed by John Michael Kelly. (Attachments: #1 Appendix to J. Michael Kelly's Reply to the Statement of Undisputed Facts, #2 Certificate of Service)(Tuttle, Jonathan) |
| Filing 263 DECLARATION of Jonathan Drimmer in Support re: #146 MOTION for Summary Judgment.. Document filed by Steven Rindner. (Attachments: #1 Exhibit Reply Exhibits 1-4, #2 Exhibit Reply Exhibits 5-9, #3 Exhibit Reply Exhibits 10-14, #4 Exhibit Reply Exhibits 15-17)(Drimmer, Jonathan) |
| Filing 262 REPLY MEMORANDUM OF LAW in Support re: #146 MOTION for Summary Judgment.. Document filed by Steven Rindner. (Drimmer, Jonathan) |
| Filing 261 REPLY MEMORANDUM OF LAW in Support re: #149 MOTION for Summary Judgment / Notice of Motion for Summary Judgment. / Defendant J. Michael Kelly's Reply Memorandum of Law in Support of His Motion for Summary Judgment. Document filed by John Michael Kelly. (Attachments: #1 Certificate of Service)(Tuttle, Jonathan) |
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Filing 260
ORDER granting #259 Motion to Withdraw as Attorney. Attorney Emily S. Pierce terminated. (Signed by Judge Colleen McMahon on 8/30/2010) (jpo)
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| Filing 259 MOTION for Emily S. Pierce to Withdraw as Attorney / Unopposed Motion of Emily S. Pierce To Withdraw as Counsel for Defendant John Michael Kelly. Document filed by John Michael Kelly. (Attachments: #1 Text of Proposed Order N.B.: Proposed Order will also be emailed to the Orders & Judgment Clerk, as required)(Pierce, Emily) |
| Filing 258 REPLY MEMORANDUM OF LAW in Support re: #253 MOTION to Strike Document No. #184 .. Document filed by Mark Wovsaniker. (Topetzes, Stephen) |
| Filing 257 ENDORSED LETTER addressed to Judge Colleen McMahon from Jonathan Drimmer, Jonathan Tuttle, and Stephen Topetzes dated 8/20/10 re: Defendants request an extension of two weeks, until 9/10/10 to reply in support of summary judgment and for an additional 5 pages. ENDORSEMENT: Sure. Set Deadlines/Hearing as to #155 MOTION for Summary Judgment. #146 MOTION for Summary Judgment. #149 MOTION for Summary Judgment / Notice of Motion for Summary Judgment. (Replies due by 9/10/2010.) (Signed by Judge Colleen McMahon on 8/20/10) (cd) |
| Filing 256 MEMORANDUM OF LAW in Opposition re: #253 MOTION to Strike Document No. #184 .. Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit Magadia v. Napolitano, 2009 WL 510739, #2 Exhibit Healthfirst, Inc. v. Medco Health Solutions, Inc., 2006 WL 3711567)(Bowers, John) |
| Filing 255 CERTIFICATE OF SERVICE. Document filed by Mark Wovsaniker. (Topetzes, Stephen) |
| Filing 254 MEMORANDUM OF LAW in Support re: #253 MOTION to Strike Document No. #184 .. Document filed by Mark Wovsaniker. (Attachments: #1 Appendix A, #2 Text of Proposed Order)(Topetzes, Stephen) |
| Filing 253 MOTION to Strike Document No. #184 . Document filed by Mark Wovsaniker.(Topetzes, Stephen) |
| Filing 252 AFFIDAVIT of Richard Hong in Opposition re: #149 MOTION for Summary Judgment / Notice of Motion for Summary Judgment., #155 MOTION for Summary Judgment., #146 MOTION for Summary Judgment.. Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit 667 Part 1, #2 Exhibit 667 Part 2, #3 Exhibit 667 Part 3, #4 Exhibit 688-689, #5 Exhibit 690)(Hong, Richard) |
| Filing 251 AFFIDAVIT of Richard Hong in Opposition re: #149 MOTION for Summary Judgment / Notice of Motion for Summary Judgment., #155 MOTION for Summary Judgment., #146 MOTION for Summary Judgment.. Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit 815-820, #2 Exhibit 821-826, #3 Exhibit 827-830, #4 Exhibit 831-836)(Hong, Richard) |
| Filing 250 AFFIDAVIT of Richard Hong in Opposition re: #149 MOTION for Summary Judgment / Notice of Motion for Summary Judgment., #155 MOTION for Summary Judgment., #146 MOTION for Summary Judgment.. Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit 787-798, #2 Exhibit 799-808, #3 Exhibit 809-810, #4 Exhibit 811-814)(Hong, Richard) |
| Filing 249 AFFIDAVIT of Richard Hong in Opposition re: #149 MOTION for Summary Judgment / Notice of Motion for Summary Judgment., #155 MOTION for Summary Judgment., #146 MOTION for Summary Judgment.. Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit 742-759, #2 Exhibit 760-768, #3 Exhibit 769-781, #4 Exhibit 782-786)(Hong, Richard) |
| Filing 248 AFFIDAVIT of Richard Hong in Opposition re: #149 MOTION for Summary Judgment / Notice of Motion for Summary Judgment., #155 MOTION for Summary Judgment., #146 MOTION for Summary Judgment.. Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit 698-707, #2 Exhibit 708-715, #3 Exhibit 716-726, #4 Exhibit 727-741)(Hong, Richard) |
| Filing 247 AFFIDAVIT of Richard Hong in Opposition re: #149 MOTION for Summary Judgment / Notice of Motion for Summary Judgment., #155 MOTION for Summary Judgment., #146 MOTION for Summary Judgment.. Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit 688-690, #2 Exhibit 691-697)(Hong, Richard) |
| Filing 246 AFFIDAVIT of Richard Hong in Opposition re: #149 MOTION for Summary Judgment / Notice of Motion for Summary Judgment., #155 MOTION for Summary Judgment., #146 MOTION for Summary Judgment.. Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit 668, #2 Exhibit 679-684)(Hong, Richard) |
| Filing 245 AFFIDAVIT of Richard Hong in Opposition re: #149 MOTION for Summary Judgment / Notice of Motion for Summary Judgment., #155 MOTION for Summary Judgment., #146 MOTION for Summary Judgment.. Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit 655, #2 Exhibit 666)(Hong, Richard) |
| Filing 244 AFFIDAVIT of Richard Hong in Opposition re: #149 MOTION for Summary Judgment / Notice of Motion for Summary Judgment., #155 MOTION for Summary Judgment., #146 MOTION for Summary Judgment.. Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit 642-649, #2 Exhibit 650-654, #3 Exhibit 634-641)(Hong, Richard) |
| Filing 243 AFFIDAVIT of Richard Hong in Opposition re: #149 MOTION for Summary Judgment / Notice of Motion for Summary Judgment., #155 MOTION for Summary Judgment., #146 MOTION for Summary Judgment.. Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit 600-612, #2 Exhibit 613-624, #3 Exhibit 625-633)(Hong, Richard) |
| Filing 241 AFFIDAVIT of Richard Hong in Opposition re: #149 MOTION for Summary Judgment / Notice of Motion for Summary Judgment., #155 MOTION for Summary Judgment., #146 MOTION for Summary Judgment.. Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit 459 Part 1, #2 Exhibit 459 Part 2 - 461)(Hong, Richard) |
| Filing 240 AFFIDAVIT of Richard Hong in Opposition re: #149 MOTION for Summary Judgment / Notice of Motion for Summary Judgment., #155 MOTION for Summary Judgment., #146 MOTION for Summary Judgment.. Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit 453, #2 Exhibit 454-456, #3 Exhibit 457-458)(Hong, Richard) |
| Filing 239 AFFIDAVIT of Richard Hong in Opposition re: #149 MOTION for Summary Judgment / Notice of Motion for Summary Judgment., #155 MOTION for Summary Judgment., #146 MOTION for Summary Judgment.. Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit 436-442, #2 Exhibit 443-447, #3 Exhibit 448-450, #4 Exhibit 451-452)(Hong, Richard) |
| Filing 238 AFFIDAVIT of Richard Hong in Opposition re: #149 MOTION for Summary Judgment / Notice of Motion for Summary Judgment., #155 MOTION for Summary Judgment., #146 MOTION for Summary Judgment.. Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit 431 - Part 1, #2 Exhibit 431 - Part 2, #3 Exhibit 432 - 435 Part 1, #4 Exhibit 435 - Part 2)(Hong, Richard) |
| Filing 237 AFFIDAVIT of Richard Hong in Opposition re: #149 MOTION for Summary Judgment / Notice of Motion for Summary Judgment., #155 MOTION for Summary Judgment., #146 MOTION for Summary Judgment.. Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit 415-421, #2 Exhibit 422-427, #3 Exhibit 428-430)(Hong, Richard) |
| Filing 236 AFFIDAVIT of Richard Hong in Opposition re: #149 MOTION for Summary Judgment / Notice of Motion for Summary Judgment., #155 MOTION for Summary Judgment., #146 MOTION for Summary Judgment.. Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit 396-402, #2 Exhibit 403-409, #3 Exhibit 410-413, #4 Exhibit 414 - Part 1, #5 Exhibit 414 - Part 2)(Hong, Richard) |
| Filing 235 AFFIDAVIT of Richard Hong in Opposition re: #149 MOTION for Summary Judgment / Notice of Motion for Summary Judgment., #155 MOTION for Summary Judgment., #146 MOTION for Summary Judgment.. Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit 375-378, #2 Exhibit 379-383, #3 Exhibit 384-389, #4 Exhibit 390-395)(Hong, Richard) |
| Filing 234 AFFIDAVIT of Richard Hong in Opposition re: #149 MOTION for Summary Judgment / Notice of Motion for Summary Judgment., #155 MOTION for Summary Judgment., #146 MOTION for Summary Judgment.. Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit 368-370 Part 1, #2 Exhibit 370 Part 2, #3 Exhibit 371A - 373, #4 Exhibit 374-375)(Hong, Richard) |
| Filing 233 AFFIDAVIT of Richard Hong in Opposition re: #149 MOTION for Summary Judgment / Notice of Motion for Summary Judgment., #155 MOTION for Summary Judgment., #146 MOTION for Summary Judgment.. Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit 364, #2 Exhibit 365-366, #3 Exhibit 367)(Hong, Richard) |
| Filing 232 AFFIDAVIT of Richard Hong in Opposition re: #149 MOTION for Summary Judgment / Notice of Motion for Summary Judgment., #155 MOTION for Summary Judgment., #146 MOTION for Summary Judgment.. Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit 540-544, #2 Exhibit 545-550)(Hong, Richard) |
| Filing 231 AFFIDAVIT of Richard Hong in Opposition re: #149 MOTION for Summary Judgment / Notice of Motion for Summary Judgment., #155 MOTION for Summary Judgment., #146 MOTION for Summary Judgment.. Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit 532 - Part 1, #2 Exhibit 532 - Part 2, #3 Exhibit 536-539)(Hong, Richard) |
| Filing 230 AFFIDAVIT of Richard Hong in Opposition re: #149 MOTION for Summary Judgment / Notice of Motion for Summary Judgment., #155 MOTION for Summary Judgment., #146 MOTION for Summary Judgment.. Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit 517-523, #2 Exhibit 524-531, #3 Exhibit 533-535)(Hong, Richard) |
| Filing 229 AFFIDAVIT of Richard Hong in Opposition re: #149 MOTION for Summary Judgment / Notice of Motion for Summary Judgment., #155 MOTION for Summary Judgment., #146 MOTION for Summary Judgment.. Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit 489-500, #2 Exhibit 501-504, #3 Exhibit 505-508, #4 Exhibit 509-516)(Hong, Richard) |
| Filing 228 AFFIDAVIT of Richard Hong in Opposition re: #149 MOTION for Summary Judgment / Notice of Motion for Summary Judgment., #155 MOTION for Summary Judgment., #146 MOTION for Summary Judgment.. Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit 468-475, #2 Exhibit 476-482, #3 Exhibit 483-488)(Hong, Richard) |
| Filing 227 AFFIDAVIT of Richard Hong in Opposition re: #149 MOTION for Summary Judgment / Notice of Motion for Summary Judgment., #155 MOTION for Summary Judgment., #146 MOTION for Summary Judgment.. Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit 462-466, #2 Exhibit 467 - Part 1, #3 Exhibit 467 - Part 2)(Hong, Richard) |
| Filing 226 AFFIDAVIT of Richard Hong in Opposition re: #149 MOTION for Summary Judgment / Notice of Motion for Summary Judgment., #155 MOTION for Summary Judgment., #146 MOTION for Summary Judgment.. Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit 361-363, #2 Exhibit 577-580, #3 Exhibit 581-587, #4 Exhibit 588-599, #5 Exhibit 837-838)(Hong, Richard) |
| Filing 225 AFFIDAVIT of Richard Hong in Opposition re: #149 MOTION for Summary Judgment / Notice of Motion for Summary Judgment., #155 MOTION for Summary Judgment., #146 MOTION for Summary Judgment.. Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit 903-915, #2 Exhibit 916-918, #3 Exhibit 919-924, #4 Exhibit 925-935)(Hong, Richard) |
| Filing 224 AFFIDAVIT of Richard Hong in Opposition re: #149 MOTION for Summary Judgment / Notice of Motion for Summary Judgment., #155 MOTION for Summary Judgment., #146 MOTION for Summary Judgment.. Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit 889-892, #2 Exhibit 893-895, #3 Exhibit 896-901, #4 Exhibit 902 - Part 1, #5 Exhibit 902 - Part 2, #6 Exhibit 902 - Part 3)(Hong, Richard) |
| Filing 223 AFFIDAVIT of Richard Hong in Opposition re: #149 MOTION for Summary Judgment / Notice of Motion for Summary Judgment., #155 MOTION for Summary Judgment., #146 MOTION for Summary Judgment.. Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit 882 - Part 3, #2 Exhibit 882 - Part 4, #3 Exhibit 883-888)(Hong, Richard) |
| Filing 222 AFFIDAVIT of Richard Hong in Opposition re: #149 MOTION for Summary Judgment / Notice of Motion for Summary Judgment., #155 MOTION for Summary Judgment., #146 MOTION for Summary Judgment.. Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit 880-881, #2 Exhibit 882 - Part 1, #3 Exhibit 882 - Part 2)(Hong, Richard) |
| Filing 221 AFFIDAVIT of Richard Hong in Opposition re: #149 MOTION for Summary Judgment / Notice of Motion for Summary Judgment., #155 MOTION for Summary Judgment., #146 MOTION for Summary Judgment.. Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit 869-876, #2 Exhibit 877, #3 Exhibit 878-879)(Hong, Richard) |
| Filing 220 AFFIDAVIT of Richard Hong in Opposition re: #149 MOTION for Summary Judgment / Notice of Motion for Summary Judgment., #155 MOTION for Summary Judgment., #146 MOTION for Summary Judgment.. Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit 864-867, #2 Exhibit 868)(Hong, Richard) |
| Filing 219 AFFIDAVIT of Richard Hong in Opposition re: #149 MOTION for Summary Judgment / Notice of Motion for Summary Judgment., #155 MOTION for Summary Judgment., #146 MOTION for Summary Judgment.. Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit 842-844, #2 Exhibit 861-863)(Hong, Richard) |
| Filing 218 AFFIDAVIT of Richard Hong in Opposition re: #149 MOTION for Summary Judgment / Notice of Motion for Summary Judgment., #155 MOTION for Summary Judgment., #146 MOTION for Summary Judgment.. Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit 840-841, #2 Exhibit 852-860)(Hong, Richard) |
| Filing 217 AFFIDAVIT of Richard Hong in Opposition re: #149 MOTION for Summary Judgment / Notice of Motion for Summary Judgment., #155 MOTION for Summary Judgment., #146 MOTION for Summary Judgment.. Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit 839, #2 Exhibit 845-851)(Hong, Richard) |
| Filing 216 AFFIDAVIT of Richard Hong in Opposition re: #149 MOTION for Summary Judgment / Notice of Motion for Summary Judgment., #155 MOTION for Summary Judgment., #146 MOTION for Summary Judgment.. Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit 318-321)(Hong, Richard) |
| Filing 215 AFFIDAVIT of Richard Hong in Opposition re: #149 MOTION for Summary Judgment / Notice of Motion for Summary Judgment., #155 MOTION for Summary Judgment., #146 MOTION for Summary Judgment.. Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit 345-346, #2 Exhibit 336)(Hong, Richard) |
| Filing 214 AFFIDAVIT of Richard Hong in Opposition re: #149 MOTION for Summary Judgment / Notice of Motion for Summary Judgment., #155 MOTION for Summary Judgment., #146 MOTION for Summary Judgment.. Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit 350-352, #2 Exhibit 347-349)(Hong, Richard) |
| Filing 213 AFFIDAVIT of Richard Hong in Opposition re: #149 MOTION for Summary Judgment / Notice of Motion for Summary Judgment., #155 MOTION for Summary Judgment., #146 MOTION for Summary Judgment.. Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit 358-360, #2 Exhibit 357, #3 Exhibit 353-356)(Hong, Richard) |
| Filing 212 AFFIDAVIT of Richard Hong in Opposition re: #149 MOTION for Summary Judgment / Notice of Motion for Summary Judgment., #155 MOTION for Summary Judgment., #146 MOTION for Summary Judgment.. Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit 310-317, #2 Exhibit 322-328)(Hong, Richard) |
| Filing 211 AFFIDAVIT of Richard Hong in Opposition re: #149 MOTION for Summary Judgment / Notice of Motion for Summary Judgment., #155 MOTION for Summary Judgment., #146 MOTION for Summary Judgment.. Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit 573-576, #2 Exhibit 308-309)(Hong, Richard) |
| Filing 210 AFFIDAVIT of Richard Hong in Opposition re: #149 MOTION for Summary Judgment / Notice of Motion for Summary Judgment., #155 MOTION for Summary Judgment., #146 MOTION for Summary Judgment.. Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit 551-559, #2 Exhibit 560-566, #3 Exhibit 567-572)(Hong, Richard) |
| Filing 209 AFFIDAVIT of Richard Hong in Opposition re: #149 MOTION for Summary Judgment / Notice of Motion for Summary Judgment., #155 MOTION for Summary Judgment., #146 MOTION for Summary Judgment.. Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit 269-275, #2 Exhibit 276-286, #3 Exhibit 287-294)(Hong, Richard) |
| Filing 208 AFFIDAVIT of Richard Hong in Opposition re: #149 MOTION for Summary Judgment / Notice of Motion for Summary Judgment., #155 MOTION for Summary Judgment., #146 MOTION for Summary Judgment.. Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit 251-256, #2 Exhibit 264-268)(Hong, Richard) |
| Filing 207 AFFIDAVIT of Richard Hong in Opposition re: #149 MOTION for Summary Judgment / Notice of Motion for Summary Judgment., #155 MOTION for Summary Judgment., #146 MOTION for Summary Judgment.. Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit 241-244, #2 Exhibit 245-250)(Hong, Richard) |
| Filing 206 AFFIDAVIT of Richard Hong in Opposition re: #149 MOTION for Summary Judgment / Notice of Motion for Summary Judgment., #155 MOTION for Summary Judgment., #146 MOTION for Summary Judgment.. Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit 224-231, #2 Exhibit 232-240)(Hong, Richard) |
| Filing 205 AFFIDAVIT of Richard Hong in Opposition re: #149 MOTION for Summary Judgment / Notice of Motion for Summary Judgment., #155 MOTION for Summary Judgment., #146 MOTION for Summary Judgment.. Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit 219-223, #2 Exhibit 337-344)(Hong, Richard) |
| Filing 204 AFFIDAVIT of Richard Hong in Opposition re: #149 MOTION for Summary Judgment / Notice of Motion for Summary Judgment., #155 MOTION for Summary Judgment., #146 MOTION for Summary Judgment.. Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit 211-218, #2 Exhibit 329-333)(Hong, Richard) |
| Filing 203 AFFIDAVIT of Richard Hong in Opposition re: #149 MOTION for Summary Judgment / Notice of Motion for Summary Judgment., #155 MOTION for Summary Judgment., #146 MOTION for Summary Judgment.. Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit 199-210, #2 Exhibit 334-335)(Hong, Richard) |
| Filing 202 AFFIDAVIT of Richard Hong in Opposition re: #149 MOTION for Summary Judgment / Notice of Motion for Summary Judgment., #155 MOTION for Summary Judgment., #146 MOTION for Summary Judgment.. Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit 170-185, #2 Exhibit 186-198)(Hong, Richard) |
| Filing 201 AFFIDAVIT of Richard Hong in Opposition re: #149 MOTION for Summary Judgment / Notice of Motion for Summary Judgment., #155 MOTION for Summary Judgment., #146 MOTION for Summary Judgment.. Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit 88-95, #2 Exhibit 110-117)(Hong, Richard) |
| Filing 200 AFFIDAVIT of Richard Hong in Opposition re: #149 MOTION for Summary Judgment / Notice of Motion for Summary Judgment., #155 MOTION for Summary Judgment., #146 MOTION for Summary Judgment.. Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit 10-12, #2 Exhibit 305-307)(Hong, Richard) |
| Filing 199 AFFIDAVIT of Richard Hong in Opposition re: #149 MOTION for Summary Judgment / Notice of Motion for Summary Judgment., #155 MOTION for Summary Judgment., #146 MOTION for Summary Judgment.. Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit 42-43, #2 Exhibit 44-45)(Hong, Richard) |
| Filing 198 AFFIDAVIT of Richard Hong in Opposition re: #149 MOTION for Summary Judgment / Notice of Motion for Summary Judgment., #155 MOTION for Summary Judgment., #146 MOTION for Summary Judgment.. Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit 29 Part 1, #2 Exhibit 29 Part 2, #3 Exhibit 30-32)(Hong, Richard) |
| Filing 197 AFFIDAVIT of Richard Hong in Opposition re: #149 MOTION for Summary Judgment / Notice of Motion for Summary Judgment., #155 MOTION for Summary Judgment., #146 MOTION for Summary Judgment.. Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit 33-35 Part 1, #2 Exhibit 35 part 2 - 36)(Hong, Richard) |
| Filing 196 AFFIDAVIT of Richard Hong in Opposition re: #149 MOTION for Summary Judgment / Notice of Motion for Summary Judgment., #155 MOTION for Summary Judgment., #146 MOTION for Summary Judgment.. Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit 147-153, #2 Exhibit 154-169)(Hong, Richard) |
| Filing 195 AFFIDAVIT of Richard Hong in Opposition re: #149 MOTION for Summary Judgment / Notice of Motion for Summary Judgment., #155 MOTION for Summary Judgment., #146 MOTION for Summary Judgment.. Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit 9 - Part 1, #2 Exhibit 9- Part 2)(Hong, Richard) |
| Filing 194 AFFIDAVIT of Richard Hong in Opposition re: #149 MOTION for Summary Judgment / Notice of Motion for Summary Judgment., #155 MOTION for Summary Judgment., #146 MOTION for Summary Judgment.. Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit 128-139, #2 Exhibit 140-146)(Hong, Richard) |
| Filing 193 AFFIDAVIT of Richard Hong in Opposition re: #149 MOTION for Summary Judgment / Notice of Motion for Summary Judgment., #155 MOTION for Summary Judgment., #146 MOTION for Summary Judgment.. Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit 110-117, #2 Exhibit 118-127)(Hong, Richard) |
| Filing 192 AFFIDAVIT of Richard Hong in Opposition re: #149 MOTION for Summary Judgment / Notice of Motion for Summary Judgment., #155 MOTION for Summary Judgment., #146 MOTION for Summary Judgment.. Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit 78-87, #2 Exhibit 96-109)(Hong, Richard) |
| Filing 191 AFFIDAVIT of Richard Hong in Opposition re: #149 MOTION for Summary Judgment / Notice of Motion for Summary Judgment., #155 MOTION for Summary Judgment., #146 MOTION for Summary Judgment.. Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit 69-77, #2 Exhibit 88-95)(Hong, Richard) |
| Filing 190 AFFIDAVIT of Richard Hong in Opposition re: #149 MOTION for Summary Judgment / Notice of Motion for Summary Judgment., #155 MOTION for Summary Judgment., #146 MOTION for Summary Judgment.. Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit 56-63, #2 Exhibit 64-68)(Hong, Richard) |
| Filing 189 AFFIDAVIT of Richard Hong in Opposition re: #149 MOTION for Summary Judgment / Notice of Motion for Summary Judgment., #155 MOTION for Summary Judgment., #146 MOTION for Summary Judgment.. Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit 46-55)(Hong, Richard) |
| Filing 188 AFFIDAVIT of Richard Hong in Opposition re: #149 MOTION for Summary Judgment / Notice of Motion for Summary Judgment., #155 MOTION for Summary Judgment., #146 MOTION for Summary Judgment.. Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit 36A-41)(Hong, Richard) |
| Filing 187 AFFIDAVIT of Richard Hong in Opposition re: #149 MOTION for Summary Judgment / Notice of Motion for Summary Judgment., #155 MOTION for Summary Judgment., #146 MOTION for Summary Judgment.. Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit 25-28)(Hong, Richard) |
| Filing 186 AFFIDAVIT of Richard Hong in Opposition re: #149 MOTION for Summary Judgment / Notice of Motion for Summary Judgment., #155 MOTION for Summary Judgment., #146 MOTION for Summary Judgment.. Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit 13-24)(Hong, Richard) |
| Filing 242 ENDORSED LETTER addressed to Judge Colleen McMahon from Richard Hong dated 7/26/10 re: Request for a one day extension of time to file the SEC's oppositions to the defendants' summary judgment motions. ENDORSEMENT: I was out of the office yesterday--get your brief in today. (Signed by Judge Colleen McMahon on 7/27/10) (cd) |
| Filing 185 AFFIDAVIT of Richard Hong in Opposition re: #149 MOTION for Summary Judgment / Notice of Motion for Summary Judgment., #155 MOTION for Summary Judgment., #146 MOTION for Summary Judgment.. Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit 1-8)(Hong, Richard) |
| Filing 184 RESPONSE in Opposition re: #149 MOTION for Summary Judgment / Notice of Motion for Summary Judgment., #155 MOTION for Summary Judgment., #146 MOTION for Summary Judgment. (Plaintiff SEC's Local Rule 56.1(b) Statement of Additional Material Facts Precluding Summary Judgment) (corrected copy). Document filed by Securities and Exchange Commission. (Hong, Richard) |
| Filing 183 RESPONSE in Opposition re: #149 MOTION for Summary Judgment / Notice of Motion for Summary Judgment. Rule 56.1 response. Document filed by Securities and Exchange Commission. (Worland, John) |
| Filing 182 MEMORANDUM OF LAW in Opposition re: #146 MOTION for Summary Judgment.. Document filed by Securities and Exchange Commission. (Worland, John) |
| Filing 181 RESPONSE in Opposition re: #146 MOTION for Summary Judgment. Rule 56.1(a) Opposition. Document filed by Securities and Exchange Commission. (Bowers, John) |
| Filing 180 MEMORANDUM OF LAW in Opposition re: #155 MOTION for Summary Judgment. Corrected Memorandum of Law. Document filed by Securities and Exchange Commission. (Bowers, John) |
| Filing 179 MEMORANDUM OF LAW in Opposition re: #149 MOTION for Summary Judgment / Notice of Motion for Summary Judgment.. Document filed by Securities and Exchange Commission. (Worland, John) |
| Filing 178 RESPONSE in Opposition re: #149 MOTION for Summary Judgment / Notice of Motion for Summary Judgment., #155 MOTION for Summary Judgment., #146 MOTION for Summary Judgment. Rule 56.1(b) Statement of Facts. Document filed by Securities and Exchange Commission. (Bowers, John) |
| Filing 177 RESPONSE in Opposition re: #155 MOTION for Summary Judgment. Rule 56.1(a) Opposition. Document filed by Securities and Exchange Commission. (Bowers, John) |
| Filing 176 MEMORANDUM OF LAW in Opposition re: #155 MOTION for Summary Judgment.. Document filed by Securities and Exchange Commission. (Bowers, John) |
| Filing 175 JUDGMENT #10,1224 in favor of Securities and Exchange Commission against Joseph A. Ripp in the amount of $ 150,000.00. (Signed by Judge Colleen McMahon on 7/19/2010) (Attachments: #1 Notice of Right to Appeal)(dt) |
| Filing 174 ENDORSED LETTER addressed to Judge Gabriel W. Gorenstein from John J. Bowers dated 7/8/2010 re: Requesting the following briefing schedule: July 26, 2010, is the due date for the SEC's opposition papers and August 26, is the due date for defendants' reply briefs. ENDORSEMENT: Granted. Apply to Judge McMahon with respect to her rules on page limitations (as well as any future applications on due dates). (Signed by Magistrate Judge Gabriel W. Gorenstein on 7/9/2010) (jpo) |
| Filing 173 STIPULATION OF DISMISSAL WITH PREJUDICE OF CERTAIN CLAIMS AGAINST DEFENDANT JOSEPH A. RIPP. IT IS HEREBY STIPULATED AND AGREED by and between the plaintiff Securities and Exchange Commission and defendant Joseph A. Ripp that, upon entry of the proposed Final Judgment as to Defendant Joseph A. Ripp submitted simultaneously herewith, that the following Claims in the Complaint filed in this action on May 19, 2008, as to Defendant Joseph A. Ripp only, are dismissed with prejudice as set forth in this stipulation of dismissal. (Signed by Judge Colleen McMahon on 7/7/10) (rjm) |
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Filing 172
ORDER. IT IS DECLARED, ADJUDGED AND DECREED that Timothy P. Peterson is permitted to withdraw as counsel for John Michael Kelly. granting #168 Motion to Withdraw as Attorney. Attorney Timothy Patrick Peterson terminated. (Signed by Judge Colleen McMahon on 7/7/10) (rjm)
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| ***NOTE TO ATTORNEY TO E-MAIL PDF. Note to Attorney John Worland for noncompliance with Section (18.4) of the S.D.N.Y. Electronic Case Filing Rules & Instructions. E-MAIL the PDF for Document #171 Stipulation of Voluntary Dismissal, to: judgments@nysd.uscourts.gov. (dt) |
| Filing 171 FILING ERROR - ELECTRONIC FILING FOR NON-ECF DOCUMENT - STIPULATION OF VOLUNTARY DISMISSAL It is hereby stipulated and agreed by and between the parties and/or their respective counsel(s) that the above-captioned action is voluntarily dismissed, against the defendant(s) Joseph A. Ripp and without costs to either party pursuant to Rule 41(a)(1)(A)(ii) of the Federal Rules of Civil Procedure. Document filed by Securities and Exchange Commission.(Worland, John) Modified on 7/7/2010 (dt). |
| ***NOTE TO ATTORNEY TO E-MAIL PDF. Note to Attorney John Worland for noncompliance with Section (18.4) of the S.D.N.Y. Electronic Case Filing Rules & Instructions. E-MAIL the PDF for Document #170 Stipulation of Voluntary Dismissal, to: judgments@nysd.uscourts.gov. (Please have attorneys' sign the attached before e-mailing). (dt) |
| Filing 170 FILING ERROR - ELECTRONIC FILING FOR NON-ECF DOCUMENT - STIPULATION OF VOLUNTARY DISMISSAL It is hereby stipulated and agreed by and between the parties and/or their respective counsel(s) that the above-captioned action is voluntarily dismissed, with prejudice against the defendant(s) Joseph A. Ripp pursuant to Rule 41(a)(1)(A)(ii) of the Federal Rules of Civil Procedure. Document filed by Securities and Exchange Commission.(Worland, John) Modified on 7/6/2010 (dt). |
| Filing 169 SETTLEMENT AGREEMENT Proposed Final Judgment. Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit Consent of Joseph A. Ripp, #2 Certificate of Service)(Worland, John) |
| Filing 168 MOTION for Timothy P. Peterson, Esq. to Withdraw as Attorney / Timothy P. Peterson, Esq. of Debevoise & Plimpton LLP's Unopposed Motion to Withdraw as Counsel for Defendant John Michael Kelly. Document filed by John Michael Kelly. (Attachments: #1 (Proposed) Order)(Peterson, Timothy) |
| Filing 167 ENDORSED LETTER addressed to Magistrate Judge Gabriel W. Gorenstein from Gregory G. Little dated 7/1/10 re: The parties have conferred and proposes the following agreed-upon schedule with respect to Mr. Ripp's motion for summary judgment as set forth herein. ENDORSEMENT: Granted. (Signed by Magistrate Judge Gabriel W. Gorenstein on 7/1/10) (djc) |
| Filing 166 DECLARATION of Ada Fernandez Johnson (Part 2) in Support re: #149 MOTION for Summary Judgment / Notice of Motion for Summary Judgment.. Document filed by John Michael Kelly. (Attachments: #1 Exhibit 59 to Johnson Declaration, #2 Exhibit 60-78 to Johnson Declaration, #3 Exhibit 79-85 to Johnson Declaration, #4 Exhibit 86-95 to Johnson Declaration, #5 Exhibit 96-103 to Johnson Declaration, #6 Exhibit 104-108 to Johnson Declaration, #7 Appendix II)(Johnson, Ada) |
| Filing 165 DECLARATION of Ada Fernandez Johnson (Part 1) in Support re: #149 MOTION for Summary Judgment / Notice of Motion for Summary Judgment.. Document filed by John Michael Kelly. (Attachments: #1 Exhibit 1-6 to Johnson Declaration, #2 Exhibit 7-11 to Johnson Declaration, #3 Exhibit 12-17 to Johnson Declaration, #4 Exhibit 18-19 to Johnson Declaration, #5 Exhibit 20-35 to Johnson Declaration, #6 Exhibit 36-44 to Johnson Declaration, #7 Exhibit 45-58 to Johnson Declaration)(Johnson, Ada) |
| Filing 164 RULE 56.1 STATEMENT. Document filed by Steven Rindner. (Drimmer, Jonathan) |
| ***NOTE TO ATTORNEY TO RE-FILE DOCUMENT - PDF ERROR. Note to Attorney Jonathan Drimmer to RE-FILE Document #148 Declaration in Support of Motion. NOTE: The Rule 56.1 Statement must be filed separately using its own event and receiving its own document number. Use the event type Rule 56.1 Statement found under event list Other Answers. (jar) |
| Filing 163 DECLARATION of Ada Fernandez Johnson (Part 6) in Support re: #149 MOTION for Summary Judgment / Notice of Motion for Summary Judgment.. Document filed by John Michael Kelly. (Attachments: #1 Exhibit 101-103 to Johnson Declaration, #2 Exhibit 104-106 to Johnson Declaration, #3 Exhibit 107-108 to Johnson Declaration, #4 Appendix II Part 1, #5 Appendix II Part 2, #6 Certificate of Service)(Johnson, Ada) Modified on 6/14/2010 (jar). Modified on 6/23/2010 (KA). |
| Filing 162 CERTIFICATE OF SERVICE of Motion for Summary Judgment and Supporting Documents served on Counsel of Record on 6/11/10. Document filed by Mark Wovsaniker. (Topetzes, Stephen) |
| Filing 161 RULE 56.1 STATEMENT. Document filed by Mark Wovsaniker. (Topetzes, Stephen) |
| Filing 160 DECLARATION of Ada Fernandez Johnson (Part 5) in Support re: #149 MOTION for Summary Judgment / Notice of Motion for Summary Judgment.. Document filed by John Michael Kelly. (Attachments: #1 Exhibit 80-85 to Johnson Declaration, #2 Exhibit 86-88 to Johnson Declaration, #3 Exhibit 89 (Part 1) to Johnson Declaration, #4 Exhibit 89 (Part 2) to Johnson Declaration, #5 Exhibit 90-95 to Johnson Declaration, #6 Exhibit 96-97 to Johnson Declaration, #7 Exhibit 98-100 to Johnson Declaration)(Johnson, Ada) Modified on 6/14/2010 (jar). Modified on 6/23/2010 (KA). |
| Filing 159 DECLARATION of Stephen G. Topetzes in Support re: #155 MOTION for Summary Judgment.. Document filed by Mark Wovsaniker. (Attachments: #1 Exhibit 46-61, #2 Exhibit 62-75, #3 Exhibit 76-91)(Topetzes, Stephen) |
| Filing 158 DECLARATION of Stephen G. Topetzes in Support re: #155 MOTION for Summary Judgment.. Document filed by Mark Wovsaniker. (Attachments: #1 Exhibit 1-20, #2 Exhibit 21-27, #3 Exhibit 28-33, #4 Exhibit 34-39, #5 Exhibit 40-42, #6 Exhibit 43-45)(Topetzes, Stephen) |
| Filing 157 MEMORANDUM OF LAW in Support re: #155 MOTION for Summary Judgment.. Document filed by Mark Wovsaniker. (Topetzes, Stephen) |
| Filing 156 DECLARATION of Ada Fernandez Johnson (Part 4) in Support re: #149 MOTION for Summary Judgment / Notice of Motion for Summary Judgment.. Document filed by John Michael Kelly. (Attachments: #1 Exhibit 54-58 to Johnson Declaration, #2 Exhibit 59 (Part 1) to Johnson Declaration, #3 Exhibit 59 (Part 2) to Johnson Declaration, #4 Exhibit 59 (Part 3) to Johnson Declaration, #5 Exhibit 60-66 to Johnson Declaration, #6 Exhibit 67-78 to Johnson Declaration, #7 Exhibit 79 (Part 1) to Johnson Declaration, #8 Exhibit 79 (Part 2) to Johnson Declaration, #9 Exhibit 79 (Part 3) to Johnson Declaration)(Johnson, Ada) Modified on 6/14/2010 (jar). Modified on 6/23/2010 (KA). |
| Filing 155 MOTION for Summary Judgment. Document filed by Mark Wovsaniker.(Topetzes, Stephen) |
| Filing 154 DECLARATION of Ada Fernandez Johnson (Part 3) in Support re: #149 MOTION for Summary Judgment / Notice of Motion for Summary Judgment.. Document filed by John Michael Kelly. (Attachments: #1 Exhibit 21-26 to Johnson Declaration, #2 Exhibit 27-35 to Johnson Declaration, #3 Exhibit 36 to Johnson Declaration, #4 Exhibit 37 (Part 1) to Johnson Declaration, #5 Exhibit 37 (Part 2) to Johnson Declaration, #6 Exhibit 38-44 to Johnson Declaration, #7 Exhibit 45-53 to Johnson Declaration)(Johnson, Ada) Modified on 6/14/2010 (jar). Modified on 6/23/2010 (KA). |
| Filing 153 DECLARATION of Ada Fernandez Johnson (Part 2) in Support re: #149 MOTION for Summary Judgment / Notice of Motion for Summary Judgment.. Document filed by John Michael Kelly. (Attachments: #1 Exhibit 16 to Johnson Declaration, #2 Exhibit 17 to Johnson Declaration, #3 Exhibit 18 (Part 1) to Johnson Declaration, #4 Exhibit 18 (Part 2) to Johnson Declaration, #5 Exhibit 18 (Part 3) to Johnson Declaration, #6 Exhibit 19 to Johnson Declaration, #7 Exhibit 20 to Johnson Declaration)(Johnson, Ada) Modified on 6/14/2010 (jar). Modified on 6/23/2010 (KA). |
| Filing 152 DECLARATION of Ada Fernandez Johnson (Part 1) in Support re: #149 MOTION for Summary Judgment / Notice of Motion for Summary Judgment.. Document filed by John Michael Kelly. (Attachments: #1 Exhibit 1-5 to Johnson Declaration, #2 Exhibit 6 (Part 1) to Johnson Declaration, #3 Exhibit 6 (Part 2) to Johnson Declaration, #4 Exhibit 7 (Part 1) to Johnson Declaration, #5 Exhibit 7 (Part 2) to Johnson Declaration, #6 Exhibit 8-12 to Johnson Declaration, #7 Exhibit 13-15 to Johnson Declaration)(Johnson, Ada) Modified on 6/14/2010 (jar). Modified on 6/23/2010 (KA). |
| Filing 151 MEMORANDUM OF LAW in Support re: #149 MOTION for Summary Judgment / Notice of Motion for Summary Judgment. / Defendant J. Michael Kelly's Memorandum of Law in Support of His Motion for Summary Judgment. Document filed by John Michael Kelly. (Attachments: #1 Certificate of Service)(Yannett, Bruce) |
| Filing 150 RULE 56.1 STATEMENT. Document filed by John Michael Kelly. (Attachments: #1 Certificate of Service)(Yannett, Bruce) |
| Filing 149 MOTION for Summary Judgment / Notice of Motion for Summary Judgment. Document filed by John Michael Kelly. (Attachments: #1 Certificate of Service)(Yannett, Bruce) |
| Filing 148 FILING ERROR - WRONG PDF FILE ASSOCIATED WITH DOCKET ENTRY (Memorandum of Law) - DECLARATION of Jonathan C. Drimmer in Support re: #146 MOTION for Summary Judgment.. Document filed by Steven Rindner. (Attachments: #1 Statement of Material Facts as to Which There Is No Genuine Dispute, #2 Exhibit Exhibits 1-10, #3 Exhibit Exhibits 11-20, #4 Exhibit Exhibits 21-27, #5 Exhibit Exhibit 28, #6 Exhibit Exhibit 29, #7 Exhibit Exhibits 30-37, #8 Exhibit Exhibits 38-39, #9 Exhibit Exhibit 40 (part 1 of 3), #10 Exhibit Exhibit 40 (part 2 of 3), #11 Exhibit Exhibit 40 (part 3 of 3), #12 Exhibit Exhibits 41-42, #13 Exhibit Exhibit 43, #14 Exhibit Exhibit 44 (part 1 of 2), #15 Exhibit Exhibit 44 (part 2 of 2), #16 Exhibit Exhibits 45-46, #17 Exhibit Exhibit 47 (part 1 of 2), #18 Exhibit Exhibit 47 (part 2 of 2), #19 Exhibit Exhibits 48-49, #20 Exhibit Exhibits 50-55, #21 Exhibit Exhibits 56 (part 1 of 2), #22 Exhibit Exhibit 56 (part 2 of 2), #23 Exhibit Exhibit 57, #24 Exhibit Exhibits 58-62)(Drimmer, Jonathan) Modified on 6/14/2010 (jar). |
| Filing 147 MEMORANDUM OF LAW in Support re: #146 MOTION for Summary Judgment.. Document filed by Steven Rindner. (Drimmer, Jonathan) |
| Filing 146 MOTION for Summary Judgment. Document filed by Steven Rindner. (Attachments: #1 Text of Proposed Order)(Drimmer, Jonathan) |
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Filing 145
ENDORSED LETTER addressed to Magistrate Judge Gabriel W. Gorenstein from Gregory G. Little dated 6/9/2010 re: Defendant Joseph A. Ripp respectfully submits this letter, with the consent of all parties to the above-captioned action, pursuant to Your Honor's Individual Practice Rule I.E to request an extension of time for the filing of Mr. Ripp's motion for summary judgment. The parties have conferred and propose the following agreed-upon schedule with respect to Mr. Ripp's motion for summary judgment: July 2, 2010: Last day to file Mr. Ripp's motion for summary judgment; The SEC's opposition brief to Mr. Ripp's motion for summary judgment will be due thirty days after Mr. Ripp's motion for summary judgment is filed; and Mr. Ripp's reply brief will be due two weeks following the due date of the SEC's opposition brief. ENDORSEMENT: SO ORDERED. (Signed by Magistrate Judge Gabriel W. Gorenstein on 6/9/2010) (tve)
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| Filing 144 TRANSCRIPT of proceedings held on 5/21/2010 before Magistrate Judge Gabriel W. Gorenstein. (jfe) |
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Filing 143
ENDORSED LETTER: addressed to Judge Colleen McMahon from Jonathan R. Tuttle and Stephen G. Topetzes dated 6/4/2010 re: Counsel for defendants request that defendants J. Michael Kelly and Mark Wovsaniker be granted an exception to Your Honor's 25 -page limitation and be allowed to submit an additional 10 pages per defendant. All parties have consented to this request. ENDORSEMENT: OK. So Ordered. (Signed by Judge Colleen McMahon on 6/8/2010) (js)
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| Minute Entry for proceedings held before Magistrate Judge Gabriel W. Gorenstein: Telephone Conference held on 5/21/2010. (mro) |
| Filing 142 TRANSCRIPT of proceedings held on 4/1/2010 before Magistrate Judge Gabriel W. Gorenstein. (tro) |
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Filing 141
ENDORSED LETTER addressed to Magistrate Judge Gabriel W. Gorenstein from Gregory G. Little dated 4/15/2010 re: Counsel jointly submit this letter pursuant to Your Honor's instructions at the hearing held before the Court on 4/1/2010, and pursuant to Individual Practice Rule 1.E, to request an extension of the expert discovery deadline and an extension of the dispositive motion cut-off date. The parties propose the following agreed-upon schedule: Last day for expert depositions will be 5/17/2010; Last day to file motion for summary judgment per Judge McMahon's Individual Practices will be 6/11/2010; Opposition briefs will be due thirty days after a motion for summary judgment is filed, and reply briefs will be due two weeks following the date of the opposition briefs. ENDORSEMENT: Granted. SO ORDERED. (Signed by Magistrate Judge Gabriel W. Gorenstein on 4/15/2010) (tro)
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Filing 140
ORDER: For the reasons stated today on the record, the motion in limine (Docket # 129) is granted. ORDER granting #129 Motion in Limine. (Signed by Magistrate Judge Gabriel W. Gorenstein on 4/1/10) (db)
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Filing 139
ORDER: Oral Argument set for 4/1/2010 at 03:00 PM in Courtroom 17A, 500 Pearl Street, New York, NY 10007 before Magistrate Judge Gabriel W. Gorenstein. (Signed by Magistrate Judge Gabriel W. Gorenstein on 3/23/2010) (jpo) Modified on 3/24/2010 (rw).
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| Filing 138 JOINDER to join re: #129 MOTION in Limine / Notice of Motion in Limine to Exclude Evidence of the Third Restatement and Underlying Transactions. / Notice of Joinder in Defendant Joseph A. Ripp's Motion in Limine. Document filed by John Michael Kelly.(Tuttle, Jonathan) |
| Filing 137 REPLY MEMORANDUM OF LAW in Support re: #129 MOTION in Limine / Notice of Motion in Limine to Exclude Evidence of the Third Restatement and Underlying Transactions.. Document filed by Joseph A. Ripp. (Attachments: #1 Certificate of Service)(Little, Gregory) |
| Filing 136 MEMORANDUM OF LAW in Opposition re: #129 MOTION in Limine / Notice of Motion in Limine to Exclude Evidence of the Third Restatement and Underlying Transactions.. Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit)(Worland, John) |
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Filing 135
ORDER: The Court is in receipt of letters dated February 8 and 23, 2010, from defendant J. Michael Kelly and a letter dated February 22, 2010 from plaintiff Securities and Exchange Commission ("SEC"). The SEC acted improperly by filing late responses to the requests for admission without seeking an extension and by then failing to move to withdraw the admission that took effect by operation of Fed. R. Civ. P. 36(a)(3). The SEC's February 22 letter, however, may reasonably be viewed as constituting such a motion, and having considered the motion, it is granted. First, the withdrawal would promote the presentation of the merits of the action. Kelly's argument on this point relates exclusively to the alleged defects in the belated response. Such alleged defects, however, should be raised by means of a separate application under Fed. R. Civ. P. 36(a)(6). Second, the Court has not been persuaded that it would prejudice Kelly to allow a withdrawal. It is unclear what Kelly could have done between January 14, 2010 and February 5, 2010, that it could not do after February 5, 2010. To the extent Kelly was prevented by the January 22, 2010 discovery deadline from pursuing some avenue of discovery for the eight days between January 14 and January 22, the Court will entertain an application to extend the discovery deadline for this purpose. It would not promote justice, however, to simply deny the (implicit) request for withdrawal of the admissions. (Signed by Magistrate Judge Gabriel W. Gorenstein on 3/2/2010) (jfe) Modified on 3/15/2010 (jfe).
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| Filing 134 TRANSCRIPT of Civil Cause for Conference proceedings held on February 8, 2010 before Magistrate Judge Gabriel W. Gorenstein. (mro) |
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Filing 133
ORDER REFERRING CASE TO MAGISTRATE JUDGE. Order that case be referred to the Clerk of Court for assignment to a Magistrate Judge for General Pretrial (includes scheduling, discovery, non-dispositive pretrial motions, and settlement). Referred to Magistrate Judge Gabriel W. Gorenstein. (Signed by Judge Colleen McMahon on 1/13/10) (pl)
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| Filing 132 CERTIFICATE OF SERVICE of Notice of Motion in Limine to Exclude Evidence of the Third Restatement and Underlying Transactions, Declaration of Gregory G. Little in Support of Motion in Limine to Exclude Evidence of the Third Restatement and Underlying Transactions, and Memorandum in Support of Motion in Limine to Exclude Evidence of the Third Restatement and Underlying Transactions on 02/22/2010. Document filed by Joseph A. Ripp. (Little, Gregory) |
| Filing 131 MEMORANDUM OF LAW in Support re: #129 MOTION in Limine / Notice of Motion in Limine to Exclude Evidence of the Third Restatement and Underlying Transactions.. Document filed by Joseph A. Ripp. (Little, Gregory) |
| Filing 130 DECLARATION of Gregory G. Little in Support re: #129 MOTION in Limine / Notice of Motion in Limine to Exclude Evidence of the Third Restatement and Underlying Transactions.. Document filed by Joseph A. Ripp. (Attachments: #1 Exhibit A, #2 Exhibit B, #3 Exhibit C, #4 Exhibit D, #5 Exhibit E, #6 Exhibit F)(Little, Gregory) |
| Filing 129 MOTION in Limine / Notice of Motion in Limine to Exclude Evidence of the Third Restatement and Underlying Transactions. Document filed by Joseph A. Ripp.(Little, Gregory) |
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Filing 128
ORDER FOR ADMISSION PRO HAC VICE ON WRITTEN MOTION: granting #127 Motion for Robert Moore to Appear Pro Hac Vice. (Signed by Judge Colleen McMahon on 2/8/2010) (tve)
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| Minute Entry for proceedings held before Magistrate Judge Gabriel W. Gorenstein: Hearing held on 2/8/2010 on Motion to preclude. Motion is denied. See transcript. (mro) |
| CASHIERS OFFICE REMARK on #127 Motion to Appear Pro Hac Vice in the amount of $25.00, paid on 02/03/2010, Receipt Number 893519. (jd) |
| Filing 127 MOTION for Robert Moore to Appear Pro Hac Vice. Document filed by Steven Rindner.(mro) |
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Filing 126
ENDORSED LETTER addressed to Magistrate Judge Gabriel W. Gorenstein from Gregory G. Little dated 1/21/2010 re: The parties have conferred and agreed to hold these limited depositions after the close of discovery. It is the Parties intent that any depositions which might take place after the fact discovery cut off will have no effect any deadline set forth in the October 1, 2008 Scheduling Order. ENDORSEMENT: So Ordered. (Signed by Magistrate Judge Gabriel W. Gorenstein on 1/21/2010) (jpo)
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Filing 125
ENDORSED LETTER addressed to Magistrate Judge Gabriel W. Gorenstein from Bruce E. Yannett dated 1/15/10 re: In follow-up to Your Honor's order of January 11, 2010, the parties are able to report the following: (1) The SEC agrees it will not attempt to introduce any testimony or affidavit in this action from Paul Lorber or Nigel Potter. (2) The parties have agreed on a briefing schedule for a motion by defendants to preclude the SEC from introducing any testimony or affidavit of William K. Lenhart or other representative of the Independent Examiner team. The defendants will submit their letter on January 22, 2010, and the SEC will submit its letter on January 29, 2010. ENDORSEMENT: So Ordered. (Signed by Magistrate Judge Gabriel W. Gorenstein on 1/19/10) (rjm)
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Filing 124
ENDORSED LETTER addressed to Magistrate Judge Gabriel W. Gorenstein from Patrick F. Linehan dated 1/14/10 re: Accordingly, on behalf of Mr. Rindner I request, with the consent of all parties, Your Honor's confirmation that the continuation of Mr. Ridner's deposition would be permitted, if necessary, one day beyond the current discovery cut-off date. ENDORSEMENT: Granted. So Ordered. (Signed by Magistrate Judge Gabriel W. Gorenstein on 1/14/10) (rjm)
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Filing 123
ORDER: The Court is in receipt ofa letter dated January 8, 2010 from defendant J. Michael Kelly regarding his desire to preclude four witnesses recently identified by the SEC. The parties are directed to consult as to the best way to present the merits of this issue to the Court, which may be either by letter or formal motion. Either method is acceptable as long as all briefing is completed by January 29, 2010. If the parties cannot reach agreement, plaintiff shall file its motion by January 15, 2010, and briefing shall proceed in accordance with Local Civil Rule 6.1(a). While all discovery otherwise concludes on January 22, 2010, the Court will petmit the deposition of any witness after January 22 in the event Court denies the motion to preclude as to that witness. Accordingly, it is unnecessary to arrange for the deposition of these witnesses prior to that date. SO ORDERED. (Signed by Magistrate Judge Gabriel W. Gorenstein on 1/11/2010) (tve)
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| Filing 122 TRANSCRIPT of proceedings held on December 17, 2009 before Magistrate Judge Gabriel W. Gorenstein. (mro) |
| Filing 121 TRANSCRIPT of Civil Cause for Conference proceedings held on November 6, 2009 before Magistrate Judge Gabriel W. Gorenstein. (mro) |
| Minute Entry for proceedings held before Magistrate Judge Gabriel W. Gorenstein: Telephone Conference held on 12/17/2009. (mro) |
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Filing 120
ORDER: For the reasons stated today on the record, plaintiffs motion for a protective order (Docket # 84) and defendants' motion to compel (Docket # 81) are each granted in part and denied in part. (Signed by Magistrate Judge Gabriel W. Gorenstein on 12/17/2009) (jfe)
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Filing 119
ORDER. The Court has been informed that every attorney on this matter wishes to participate in the proceeding scheduled for December 17 at 4:00p.m. by telephone. Accordingly, the proceeding is hereby changed to a telephone conference before Magistrate Judge Gabriel W. Gorenstein.) (Signed by Magistrate Judge Gabriel W. Gorenstein on 12/15/09) (djc)
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| Filing 118 NOTICE of Withdrawal of Motion for Issuance of a Request for International Judicial Assistance re: #116 MOTION for Issuance of Letters Rogatory / Motion for and Memorandum of Law in Support of Issuance of a Request for International Judicial Assistance.. Document filed by John Michael Kelly. (Bierbauer, Erik) |
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Filing 117
ORDER that the Court will hold renewed oral argument on the pending discovery motions on 12/17/09 at 4:00 p.m. in courtroom 17A, 500 Pearl Street, New York, NY. Because the Court expects that it will have only limited questions, parties are welcome to attend the proceeding by telephone. (Signed by Magistrate Judge Gabriel W. Gorenstein on 12/3/09) (dle)
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| Filing 116 MOTION for Issuance of Letters Rogatory / Motion for and Memorandum of Law in Support of Issuance of a Request for International Judicial Assistance. Document filed by John Michael Kelly. (Attachments: #1 Exhibit 1 to Motion, #2 Exhibit 2 to Motion)(Bierbauer, Erik) |
| CASHIERS OFFICE REMARK on #110 Motion to Appear Pro Hac Vice in the amount of $25.00, paid on 11/12/2009, Receipt Number 705881. (jd) |
| Filing 115 DECLARATION of Melissa Robertson in Support re: #84 MOTION for Protective Order.. Document filed by Securities and Exchange Commission. (Worland, John) |
| Filing 114 DECLARATION of Joan McKown in Support re: #84 MOTION for Protective Order.. Document filed by Securities and Exchange Commission. (Worland, John) |
| Filing 113 DECLARATION of Jane Poulin in Support re: #84 MOTION for Protective Order.. Document filed by Securities and Exchange Commission. (Worland, John) |
| Filing 112 RESPONSE in Support re: #84 MOTION for Protective Order. Supplemental Memorandum. Document filed by Securities and Exchange Commission. (Worland, John) |
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Filing 111
ORDER FOR ADMISSION PRO HAC VICE ON WRITTEN MOTION, that John V. Ponyicsanyi is admitted to practice pro hac vice as counsel for J. Michael Kelly in the above captioned case in the United States District Court for the Southern District of New York. (Signed by Judge Colleen McMahon on 11/16/09) (pl)
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| Transmission to Attorney Admissions Clerk. Transmitted re: #111 Order on Motion to Appear Pro Hac Vice,, to the Attorney Admissions Clerk for updating of Attorney Information. (pl) |
| Filing 110 MOTION for John V. Ponyicsanyi to Appear Pro Hac Vice. Document filed by John Michael Kelly.(mro) |
| Filing 109 NOTICE OF APPEARANCE by Erik Bierbauer on behalf of John Michael Kelly (Bierbauer, Erik) |
| Filing 108 MEMO ENDORSED withdrawing #79 Motion to Compel without prejudice to reinstatement in the event that the course of action discussed at today's conference does not resolve the matters raised in the motion. (Signed by Magistrate Judge Gabriel W. Gorenstein on 11/6/09) (cd) |
| Minute Entry for proceedings held before Magistrate Judge Gabriel W. Gorenstein: Oral Argument held on 11/6/2009 at 4:00p.m. (tro) |
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Filing 107
ORDER, Oral Argument re pending discovery motions set for 11/6/2009 at 04:00 PM in Courtroom 17A, 500 Pearl Street, New York, NY 10007 before Magistrate Judge Gabriel W. Gorenstein. (Signed by Magistrate Judge Gabriel W. Gorenstein on 10/26/09) (cd)
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| Filing 106 ANSWER to Complaint with JURY DEMAND. Document filed by Joseph A. Ripp.(Little, Gregory) |
| Filing 105 ANSWER to Complaint with JURY DEMAND. Document filed by John Michael Kelly. (Attachments: #1 Certificate of Service)(Tuttle, Jonathan) |
| Filing 104 ANSWER to Complaint with JURY DEMAND. Document filed by Mark Wovsaniker.(Nikfar, Bethany) |
| Filing 103 ANSWER to Complaint with JURY DEMAND. Document filed by Steven Rindner.(Drimmer, Jonathan) |
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Filing 102
ORDER, the action has been referred to this Court for certain pre-trial purposes. All discovery must be initiated in time to be concluded by the deadline for all discovery... (Signed by Magistrate Judge Gabriel W. Gorenstein on 10/2/09) (cd)
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| MEMORANDUM TO THE DOCKET CLERK: The motions to dismiss at docket numbers 31, 34, 35 and 41 in the above referenced case were resolved on 9/30/09, by Judge McMahon's Order and Decision denying defendants' Motions to Dismiss the complaint. Please remove docket numbers 31, 34, 35 and 41 from the outstanding motions list. (mro) |
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Filing 101
DECISION AND ORDER DENYING DEFENDANTS' MOTION TO DISMISS THE COMPLAINT: Defendants' motions to dismiss (Docket Nos. 31, 34, 35, and 41) are denied in their entirety. The Clerk of the Court should immediately remove these motions from the Court's outstanding motion list. This constitutes the decision and order of this Court. (Signed by Judge Colleen McMahon on 9/30/2009) (jfe)
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| Filing 100 NOTICE OF REASSIGNMENT OF A REFERRAL TO ANOTHER MAGISTRATE JUDGE. The referral in the above entitled action has been reassigned to Magistrate Judge Gabriel W. Gorenstein, for Specific Non-Dispositive Motion/Dispute. Magistrate Judge Kevin Nathaniel Fox no longer referred to the case. (ldi) |
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Filing 99
ORDER FOR ADMISSION PRO HAC VICE ON WRITTEN MOTION granting #75 Motion for Jeremy Engle to Appear Pro Hac Vice for defendant Steven E. Rinder.. (Signed by Judge Colleen McMahon on 9/28/09) (cd)
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Filing 98
ORDER FOR ADMISSION PRO HAC VICE ON WRITTEN MOTION granting #76 Motion for Jennie Leah Kneedler to Appear Pro Hac Vice for defendant Steven E. Rindner. (Signed by Judge Colleen McMahon on 9/28/09) (cd)
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| Transmission to Attorney Admissions Clerk. Transmitted re: #99 Order on Motion to Appear Pro Hac Vice, to the Attorney Admissions Clerk for updating of Attorney Information. (cd) |
| Transmission to Attorney Admissions Clerk. Transmitted re: #98 Order on Motion to Appear Pro Hac Vice, to the Attorney Admissions Clerk for updating of Attorney Information. (cd) |
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Filing 97
ORDER REFERRING CASE TO MAGISTRATE JUDGE: Order that case be referred to the Clerk of Court for assignment to a Magistrate Judge for Specific Non-Dispositive Motion/Dispute. All motions relating to discovery four motions are pending see attached letter. Referred to Magistrate Judge Kevin Nathaniel Fox and Magistrate Judge Kevin Nathaniel Fox. ENDORSEMENT: Discovery will not be extended beyond January 22, 2010. So Ordered. (Signed by Judge Colleen McMahon on 9/22/09) (js)
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| Set Deadlines/Hearings: Discovery due by 1/22/2010. (js) |
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Filing 96
DECISION AND ORDER DENYING DEFENDANT STEVEN E. RINDNER'S MOTION TO SEVER AND TRANSER HIS CASE TO THE EASTERN DISTRICT OF VIRGINIA denying #24 Motion to Change Venue. For the reasons stated in the Securities and Exchange Commission's brief, the motion is denied. This constitutes the decision and order of the Court. (Signed by Judge Colleen McMahon on 9/18/2009) (tve)
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| Filing 95 REPLY MEMORANDUM OF LAW in Support re: #84 MOTION for Protective Order.. Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit)(Worland, John) |
| Filing 94 REPLY MEMORANDUM OF LAW in Support re: #81 MOTION to Compel.. Document filed by John Michael Kelly. (Attachments: #1 Certificate of Service)(Tuttle, Jonathan) |
| Filing 93 DECLARATION of Ada Fernandez Johnson in Support re: #81 MOTION to Compel.. Document filed by John Michael Kelly. (Attachments: #1 Certificate of Service)(Johnson, Ada) |
| Filing 92 REPLY MEMORANDUM OF LAW in Support / Defendant Joseph A. Ripp's Reply Memorandum in Support of an Order Compelling Plaintiff's Attendance at a Duly Noticed Deposition Pursuant to Federal Rule 30(b)(6). Document filed by Joseph A. Ripp. (Attachments: #1 Exhibit A, #2 Exhibit B, #3 Exhibit C)(Little, Gregory) |
| Filing 91 NOTICE OF CASE REASSIGNMENT to Judge Colleen McMahon. Judge Shirley Wohl Kram is no longer assigned to the case. (ldi) |
| Filing 90 MEMORANDUM OF LAW in Opposition re: #81 MOTION to Compel. SEC's Memorandum in Opposition to Defendant Kelly's Motion to Compel. Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit Exhibits A-D)(Hong, Richard) |
| Filing 89 DECLARATION of Ada Fernandez Johnson in Opposition re: #84 MOTION for Protective Order.. Document filed by John Michael Kelly. (Attachments: #1 Certificate of Service with Rule 11 Statement)(Johnson, Ada) |
| Filing 88 MEMORANDUM OF LAW in Opposition re: #84 MOTION for Protective Order. Defendant J. Michael Kelly's Memorandum of Law in Opposition to Plaintiff's Motion for Protective Order and Order to Quash. Document filed by John Michael Kelly. (Attachments: #1 Certificate of Service with Rule 11 Statement)(Tuttle, Jonathan) |
| Filing 87 MEMORANDUM OF LAW in Opposition re: #79 MOTION to Compel / Notice of Motion to Compel.. Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit 1, #2 Exhibit 2, #3 Exhibit 3, #4 Exhibit 4, #5 Exhibit 5, #6 Exhibit 6)(Hong, Richard) |
| Filing 86 DECLARATION of John D. Worland, Jr. in Support re: #84 MOTION for Protective Order.. Document filed by Securities and Exchange Commission. (Worland, John) |
| Filing 85 MEMORANDUM OF LAW in Support re: #84 MOTION for Protective Order.. Document filed by Securities and Exchange Commission. (Worland, John) |
| Filing 84 MOTION for Protective Order. Document filed by Securities and Exchange Commission.(Worland, John) |
| Filing 83 DECLARATION of Ada Fernandez Johnson in Support re: #81 MOTION to Compel.. Document filed by John Michael Kelly. (Attachments: #1 Certificate of Service)(Johnson, Ada) |
| Filing 82 MEMORANDUM OF LAW in Support re: #81 MOTION to Compel.. Document filed by John Michael Kelly. (Attachments: #1 Certificate of Service)(Tuttle, Jonathan) |
| Filing 81 MOTION to Compel. Document filed by John Michael Kelly. (Attachments: #1 Certificate of Service)(Tuttle, Jonathan) |
| Filing 80 MEMORANDUM OF LAW in Support re: #79 MOTION to Compel / Notice of Motion to Compel. Defendant Joseph A. Ripp's Memorandum of Law in Support of His Motion to Compel Plaintiff to Designate a Witness for a Duly Noticed Deposition Pursuant to Federal Rule 30(b)(6). Document filed by Joseph A. Ripp. (Attachments: #1 Exhibit A, #2 Exhibit B, #3 Exhibit C, #4 Exhibit D, #5 Exhibit E)(Little, Gregory) |
| Filing 79 MOTION to Compel / Notice of Motion to Compel. Document filed by Joseph A. Ripp.(Little, Gregory) |
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Filing 78
PROTECTIVE ORDER AND ORDER PURSUANT TO THE PRIVACY ACT...regarding procedures to be followed that shall govern the handling of confidential material. (Signed by Judge Shirley Wohl Kram on 8/13/2009) (tve)
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Filing 77
ORDER: Any motion to compel discovery, motion for a protective order, or motion to quash a subpoena pertaining to (a) documents from the files of the plaintiff's Office of the Chief Accountant (the "OCA"), or (b) depositions of current and former OCA employees, shall be filed on or before August 24, 2009. All oppositions to these motions shall be filed on or before September 4, 2009. All replies shall be filed on or before September 14, 2009. All depositions of current and former OCA employees shall be stayed pending the resolution of these motions. SO ORDERED. (Signed by Judge Shirley Wohl Kram on 8/13/2009) (tve) Modified on 8/20/2009 (tve).
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| CASHIERS OFFICE REMARK on #76 Motion to Appear Pro Hac Vice in the amount of $25.00, paid on 07/27/2009, Receipt Number 695656. (jd) |
| Filing 76 MOTION for Jennie Leah Kneedler to Appear Pro Hac Vice. Document filed by Steven Rindner.(dle) |
| CASHIERS OFFICE REMARK on #75 Motion to Appear Pro Hac Vice in the amount of $25.00, paid on 06/05/2009, Receipt Number 690229. (jd) |
| Filing 75 MOTION for Jeremy Engle to Appear Pro Hac Vice. Document filed by Steven Rindner.(mbe) |
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Filing 74
ORDER granting #66 Motion for Erin S. Vagley to Appear Pro Hac Vice for defendant Rindner. (Signed by Judge Shirley Wohl Kram on 6/3/2009) (tve) Modified on 6/3/2009 (tve).
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Filing 73
ORDER granting #69 Motion for Glenn R. Reichardt to Appear Pro Hac Vice for defendant Wovsaniker. (Signed by Judge Shirley Wohl Kram on 6/3/2009) (tve)
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Filing 72
ORDER granting #65 Motion for Patrick F. Linehan to Appear Pro Hac Vice for defendant Rindner. (Signed by Judge Shirley Wohl Kram on 6/3/2009) (tve)
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Filing 71
ORDER granting #70 Motion for Anthony Rapa to Appear Pro Hac Vice for defendant Rindner. (Signed by Judge Shirley Wohl Kram on 6/3/2009) (tve) Modified on 6/3/2009 (tve).
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| Transmission to Attorney Admissions Clerk. Transmitted re: #74 Order on Motion to Appear Pro Hac Vice, #73 Order on Motion to Appear Pro Hac Vice, #71 Order on Motion to Appear Pro Hac Vice, #72 Order on Motion to Appear Pro Hac Vice, to the Attorney Admissions Clerk for updating of Attorney Information. (tve) |
| CASHIERS OFFICE REMARK on #70 Motion to Appear Pro Hac Vice in the amount of $25.00, paid on 05/14/2009, Receipt Number 688147. (jd) |
| CASHIERS OFFICE REMARK on #69 Motion to Appear Pro Hac Vice in the amount of $25.00, paid on 05/13/2009, Receipt Number 688009. (jd) |
| Filing 70 MOTION for Anthony Rapa to Appear Pro Hac Vice. Document filed by Steven Rindner.(dle) |
| CASHIERS OFFICE REMARK on #66 Motion to Appear Pro Hac Vice, #65 Motion to Appear Pro Hac Vice in the amount of $50.00, paid on 05/04/2009, Receipt Number 686975. (jd) |
| Filing 69 MOTION for Glenn R. Reichardt to Appear Pro Hac Vice. Document filed by Mark Wovsaniker.(dle) |
| Filing 68 NOTICE OF CHANGE OF ADDRESS by Gregory Gene Little on behalf of Joseph A. Ripp. New Address: White & Case LLP, 1155 Avenue of the Americas, New York, New York, 10036, (212) 819-8200. (Little, Gregory) |
| Filing 67 NOTICE OF CHANGE OF ADDRESS by Scott Edward Hershman on behalf of Joseph A. Ripp. New Address: White & Case LLP, 1155 Avenue of the Americas, New York, New York, 10036, (212) 819-8200. (Hershman, Scott) |
| Filing 64 NOTICE OF APPEARANCE by Timothy Patrick Peterson on behalf of John Michael Kelly (Peterson, Timothy) |
| Filing 66 MOTION for Erin S. Vagley to Appear Pro Hac Vice. Document filed by Steven Rindner.(dle) |
| Filing 65 MOTION for Patrick F. Linehan to Appear Pro Hac Vice. Document filed by Steven Rindner.(dle) |
| CASHIERS OFFICE REMARK on #62 Motion to Appear Pro Hac Vice in the amount of $25.00, paid on 04/09/2009, Receipt Number 683856. (jd) |
| Transmission to Attorney Admissions Clerk. Transmitted re: #63 Order on Motion to Appear Pro Hac Vice, to the Attorney Admissions Clerk for updating of Attorney Information. (kkc) |
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Filing 63
ORDER granting #62 Motion for Bethany M. Nifkar to Appear Pro Hac Vice as counsel for defendant Mark Wovsaniker. (Signed by Judge Shirley Wohl Kram on 4/15/2009) (kkc)
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| Filing 62 MOTION for Bethany M. Nikfar to Appear Pro Hac Vice. Document filed by Mark Wovsaniker.(dle) |
| Filing 61 NOTICE OF APPEARANCE by Scott Edward Hershman on behalf of Joseph A. Ripp (Hershman, Scott) |
| Filing 60 DECLARATION of Stephen G. Topetzes in Support re: #41 MOTION to Dismiss the Complaint.. Document filed by Mark Wovsaniker. (Attachments: #1 Exhibit Exhibit 1)(Topetzes, Stephen) |
| Filing 59 REPLY MEMORANDUM OF LAW in Support re: #41 MOTION to Dismiss the Complaint.. Document filed by Mark Wovsaniker. (Topetzes, Stephen) |
| Filing 58 REPLY MEMORANDUM OF LAW in Support re: #34 MOTION to Dismiss Complaint of Plaintiff Securities & Exchange Commission.. Document filed by Steven Rindner. (Drimmer, Jonathan) |
| Filing 57 REPLY MEMORANDUM OF LAW in Support re: #35 MOTION to Dismiss Pursuant To FRCP 12(b)(6) and 9(b). / Defendant J. Michael Kelly's Reply in Support of His Motion to Dismiss the Complaint. Document filed by John Michael Kelly. (Tuttle, Jonathan) |
| Filing 56 REPLY MEMORANDUM OF LAW in Support re: #31 MOTION to Dismiss Notice of Motion to Dismiss the Complaint for Failure to State a Claim.. Document filed by Joseph A. Ripp. (Little, Gregory) |
| Filing 55 MEMORANDUM OF LAW in Opposition re: #35 MOTION to Dismiss Pursuant To FRCP 12(b)(6) and 9(b)., #34 MOTION to Dismiss Complaint of Plaintiff Securities & Exchange Commission., #41 MOTION to Dismiss the Complaint., #31 MOTION to Dismiss Notice of Motion to Dismiss the Complaint for Failure to State a Claim. (Corrected version). Document filed by Securities and Exchange Commission. (Hong, Richard) |
| Filing 54 MEMORANDUM OF LAW in Opposition re: #35 MOTION to Dismiss Pursuant To FRCP 12(b)(6) and 9(b)., #34 MOTION to Dismiss Complaint of Plaintiff Securities & Exchange Commission., #41 MOTION to Dismiss the Complaint., #31 MOTION to Dismiss Notice of Motion to Dismiss the Complaint for Failure to State a Claim. Omnibus Opposition Brief. Document filed by Securities and Exchange Commission. (Bowers, John) |
| Filing 53 REPLY MEMORANDUM OF LAW in Support re: #24 MOTION to Change Venue.. Document filed by Steven Rindner. (Attachments: #1 Exhibit A, #2 Exhibit B, #3 Exhibit C, #4 Exhibit D, #5 Exhibit E, #6 Exhibit F, #7 Exhibit G)(Drimmer, Jonathan) |
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Filing 52
SCHEDULING ORDER: Rule 26(f) Initial Disclosures: August 29, 2008. Last date of Fact Discovery: January 22, 2010. SEC Expert Disclosures/Report: February 26, 2010. Defense Expert Disclosure/Report: March 26, 2010. Last date of Expert Discovery: April 23, 2010. Dispositive Motion Cutoff: May 21, 2010. Pretrial Conference: September 8, 2010. Trial: September 20, 2010. (Signed by Judge Shirley Wohl Kram on 10/1/2008) (jfe) Modified on 10/2/2008 (tro).
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| Filing 51 AMENDED MEMORANDUM OF LAW in Opposition re: #24 MOTION to Change Venue. (Corrected version). Document filed by Securities and Exchange Commission. (Hong, Richard) |
| Filing 50 MEMORANDUM OF LAW in Opposition re: #24 MOTION to Change Venue.. Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit A)(Hong, Richard) |
| CASHIERS OFFICE REMARK on #46 Order on Motion to Appear Pro Hac Vice in the amount of $25.00, paid on 09/05/2008, Receipt Number 662278. (jd) |
| Filing 48 NOTICE of Attachment cited within paragraph 5 of the Rule 26(f) Report and Proposed Discovery Plan [docket entry 47] re: #47 Report of Rule 26(f) Planning Meeting. Document filed by Joseph A. Ripp. (Little, Gregory) |
| Filing 47 REPORT of Rule 26(f) Planning Meeting.(Little, Gregory) |
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Filing 46
ORDER granting #44 Motion for Bonnie K. Arthur to Appear Pro Hac Vice for defendant Joseph A. Ripp. (Signed by Judge Shirley Wohl Kram on 9/10/08) (cd)
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| Transmission to Attorney Admissions Clerk. Transmitted re: #46 Order on Motion to Appear Pro Hac Vice, to the Attorney Admissions Clerk for updating of Attorney Information. (cd) |
| Filing 45 NOTICE OF APPEARANCE by Stephen Roy Blacklocks on behalf of Joseph A. Ripp (Blacklocks, Stephen) |
| Filing 44 MOTION for Bonnie K. Arthur to Appear Pro Hac Vice. Document filed by Joseph A. Ripp.(dle) |
| Filing 43 DECLARATION of Stephen G. Topetzes, Esq. in Support re: #41 MOTION to Dismiss the Complaint.. Document filed by Mark Wovsaniker. (Attachments: #1 Exhibit 1-6, #2 Exhibit 7-10, #3 Exhibit 11-16)(Topetzes, Stephen) |
| Filing 42 MEMORANDUM OF LAW in Support re: #41 MOTION to Dismiss the Complaint.. Document filed by Mark Wovsaniker. (Topetzes, Stephen) |
| Filing 41 MOTION to Dismiss the Complaint. Document filed by Mark Wovsaniker.(Topetzes, Stephen) |
| Filing 40 DECLARATION of /Certificate of Service of Gregory A. Senn in Support re: #35 MOTION to Dismiss Pursuant To FRCP 12(b)(6) and 9(b).. Document filed by John Michael Kelly. (Ceresney, Andrew) |
| Filing 39 MEMORANDUM OF LAW in Support re: #35 MOTION to Dismiss Pursuant To FRCP 12(b)(6) and 9(b).. Document filed by John Michael Kelly. (Ceresney, Andrew) |
| Filing 38 DECLARATION of Ada Fernandez Johnson in Support re: #35 MOTION to Dismiss Pursuant To FRCP 12(b)(6) and 9(b).. Document filed by John Michael Kelly. (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, #9 Exhibit 9, #10 Exhibit 10, #11 Exhibit 11, #12 Exhibit 12, #13 Exhibit 13, #14 Exhibit 14, #15 Exhibit 15)(Ceresney, Andrew) |
| Filing 37 MEMORANDUM OF LAW in Support re: #34 MOTION to Dismiss Complaint of Plaintiff Securities & Exchange Commission.. Document filed by Steven Rindner. (Drimmer, Jonathan) |
| Filing 36 DECLARATION of Jonathan C. Drimmer in Support re: #34 MOTION to Dismiss Complaint of Plaintiff Securities & Exchange Commission.. Document filed by Steven Rindner. (Drimmer, Jonathan) |
| Filing 35 MOTION to Dismiss Pursuant To FRCP 12(b)(6) and 9(b). Document filed by John Michael Kelly.(Ceresney, Andrew) |
| Filing 34 MOTION to Dismiss Complaint of Plaintiff Securities & Exchange Commission. Document filed by Steven Rindner.(Drimmer, Jonathan) |
| Filing 33 MEMORANDUM OF LAW in Support re: #31 MOTION to Dismiss Notice of Motion to Dismiss the Complaint for Failure to State a Claim.. Document filed by Joseph A. Ripp. (Little, Gregory) |
| Filing 32 DECLARATION of Gregory G. Little in Support re: #31 MOTION to Dismiss Notice of Motion to Dismiss the Complaint for Failure to State a Claim.. Document filed by Joseph A. Ripp. (Attachments: #1 Exhibit A to Little Declaration, #2 Exhibit B to Little Declaration, #3 Exhibit C to Little Declaration, #4 Exhibit D to Little Declaration, #5 Exhibit E to Little Declaration, #6 Exhibit F to Little Declaration, #7 Exhibit G to Little Declaration, #8 Exhibit H to Little Declaration, #9 Exhibit I to Little Declaration, #10 Exhibit J to Little Declaration, #11 Exhibit K to Little Declaration, #12 Exhibit L to Little Declaration, #13 Exhibit M to Little Declaration)(Little, Gregory) |
| Filing 31 MOTION to Dismiss Notice of Motion to Dismiss the Complaint for Failure to State a Claim. Document filed by Joseph A. Ripp.(Little, Gregory) |
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Filing 49
STIPULATED SCHEDULING ORDER: Defendants' motions to dismiss the Complaint shall be due( and subject to the page limitations noted) as follows: Opening briefs of Defendants: 9/5/08 (40 pages for each individual Defendant); Omnibus opposition brief of SEC: 10/17/08 (not to exceed 100 pages); Reply briefs of all Defendants: Twenty (20) days after receipt of SEC's opposition brief (20 pages for each individual Defendant). If any defendants elects to answer the Complaint in lieu of moving to dismiss, such Defendant's answer shall be due on 9/5/08. In addition, the parties agree that the discovery plan and report pursuant to Rule 26(f) shall be submitted to the Court on or before 9/10/08. (Signed by Judge Shirley Wohl Kram on 9/3/08) (tro)
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| Filing 30 ENDORSED LETTER addressed to Judge Shirley Wohl Kram from Jonathan Tuttle and Mark Hulkower dated 9/2/08 re: Request that each defendant file a motion to dismiss. ENDORSEMENT: Each defendant in this litigation is hereby granted permission to file a 40 page motion to dismiss the complaint. The court waives its pre-motion conference requirement with respect to these four motions. (Signed by Judge Shirley Wohl Kram on 9/3/08) (cd) |
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Filing 29
STIPULATED SCHEDULING ORDER: re defendant Steven Rindner's motion to transfer venue: Motion due by 8/28/2008. Response due by 9/18/2008 Reply due by 10/2/2008. (Signed by Judge Shirley Wohl Kram on 9/3/08) (cd)
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Filing 28
ORDER granting #18 Motion for Jonathan R. Tuttle to Appear Pro Hac Vice for defendant J. Michael Kelly. (Signed by Judge Shirley Wohl Kram on 9/3/08) (cd)
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Filing 27
ORDER granting #17 Motion for Ada Fernandez Johnson to Appear Pro Hac Vice for defendant J. Michael Kelly. (Signed by Judge Shirley Wohl Kram on 9/3/08) (cd)
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Filing 26
ORDER granting #16 Motion for Emily S. Pierce to Appear Pro Hac Vice for defendant J. Michael Kelly. (Signed by Judge Shirley Wohl Kram on 9/3/08) (cd)
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| Transmission to Attorney Admissions Clerk. Transmitted re: #26 Order on Motion to Appear Pro Hac Vice, to the Attorney Admissions Clerk for updating of Attorney Information. (cd) |
| Transmission to Attorney Admissions Clerk. Transmitted re: #28 Order on Motion to Appear Pro Hac Vice, to the Attorney Admissions Clerk for updating of Attorney Information. (cd) |
| Transmission to Attorney Admissions Clerk. Transmitted re: #27 Order on Motion to Appear Pro Hac Vice, to the Attorney Admissions Clerk for updating of Attorney Information. (cd) |
| Filing 25 MEMORANDUM OF LAW in Support re: #24 MOTION to Change Venue.. Document filed by Steven Rindner. (Attachments: #1 Exhibit Index to Exhibits, #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 Exhibit 12, #14 Exhibit 13, #15 Exhibit 14, #16 Exhibit 15, #17 Exhibit 16)(Drimmer, Jonathan) |
| Filing 24 MOTION to Change Venue. Document filed by Steven Rindner.(Drimmer, Jonathan) |
| ***NOTE TO ATTORNEY TO RE-FILE DOCUMENT - NON-ECF DOCUMENT ERROR. Note to Attorney Jonathan Drimmer to E-MAIL pdf copy to judgments@nysd.uscourts.gov Document No. #22 [PRPOSED] STIPULATED SCHEDULING ORDER. This document is not filed via ECF. (KA) |
| ***NOTE TO ATTORNEY TO RE-FILE DOCUMENT - DEFICIENT DOCKET ENTRY ERROR. Note to Attorney Jonathan Drimmer to RE-FILE Document #23 MOTION to Change Venue. ERROR(S): Supporting Memorandum must be filed individually. Event code located under Replies, Opposition and Supporting Documents. (KA) |
| Filing 23 FILING ERROR - DEFICIENT DOCKET ENTRY - MOTION to Change Venue. Document filed by Steven Rindner. (Attachments: #1 Supplement Memorandum of Law in Support of Motion, #2 Text of Proposed Order Proposed Order, #3 Exhibit Index to Exhibits, #4 Exhibit 1, #5 Exhibit 2, #6 Exhibit 3, #7 Exhibit 4, #8 Exhibit 5, #9 Exhibit 6, #10 Exhibit 7, #11 Exhibit 8, #12 Exhibit 9, #13 Exhibit 10, #14 Exhibit 11, #15 Exhibit 12, #16 Exhibit 13, #17 Exhibit 14, #18 Exhibit 15, #19 Exhibit 16)(Drimmer, Jonathan) Modified on 8/28/2008 (KA). |
| Filing 22 FILING ERROR - ELECTRONIC FILING FOR NON-ECF DOCUMENT - MOTION to Authorize Briefing Schedule for Motion to Transfer Venue;[PROPOSED] STIPULATED SCHEDULING ORDER. Document filed by Steven Rindner.(Drimmer, Jonathan) Modified on 8/28/2008 (KA). |
| Filing 21 NOTICE OF APPEARANCE by Gregory Gene Little on behalf of Joseph A. Ripp (Little, Gregory) |
| Filing 20 ENDORSED LETTER addressed to Judge Shirley Wohl Kram from Mark J. Hulkower dated 8/20/08 re: Mr Rindner requests that his case be transferred to the Alexandra Division of the Eastern District of Virginia. ENDORSEMENT: Application granted. The Court hereby waives its conference requirement with respect to Steven Rindner's anticipated motion to transfer venue on or before August 28, 2008, the parties shall submit to the Court a stipulated briefing schedule for this motion. (Signed by Judge Shirley Wohl Kram on 8/21/08) (tro) |
| CASHIERS OFFICE REMARK on #16 Motion to Appear Pro Hac Vice, #17 Motion to Appear Pro Hac Vice, #18 Motion to Appear Pro Hac Vice in the amount of $75.00, paid on 8/8/08, Receipt Number 659486. (Quintero, Marcos) |
| Filing 19 NOTICE of of Appearance by John Bowers. Document filed by Securities and Exchange Commission. (Worland, John) |
| Filing 18 MOTION for Jonathan R. Tuttle to Appear Pro Hac Vice. Document filed by John Michael Kelly.(dle) |
| Filing 17 MOTION for Ada Fernandez Johnson to Appear Pro Hac Vice. Document filed by John Michael Kelly.(dle) |
| Filing 16 MOTION for Emily S. Pierce to Appear Pro Hac Vice. Document filed by John Michael Kelly.(dle) |
| Filing 15 NOTICE OF APPEARANCE by John David Worland, Jr on behalf of Securities and Exchange Commission (Worland, John) |
| Filing 14 NOTICE OF APPEARANCE by Andrew J. Ceresney on behalf of John Michael Kelly (Ceresney, Andrew) |
| Filing 13 NOTICE OF APPEARANCE by Bruce E. Yannett on behalf of John Michael Kelly (Yannett, Bruce) |
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Filing 12
ORDER granting #8 Motion for Jonathan Drimmer to Appear Pro Hac Vice. Jonathan Drimmer is admitted to practice pro hac vice as counsel for defendant Rindner in the above-captioned case. (Signed by Judge Shirley Wohl Kram on 7/30/08) (tro)
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Filing 11
ORDER granting #7 Motion for Mark J. Hulkower to Appear Pro Hac Vice. Mark J. Hulkower is admitted to practice pro hac vice as counsel for defendant Rindner in the above captioned case. (Signed by Judge Shirley Wohl Kram on 7/30/08) (tro)
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Filing 10
ORDER granting #5 Motion for Stephen G. Topetzes to Appear Pro Hac Vice. Stephen G. Topetzes is admitted to practice pro hac vice as counsel for defendant Wavsaniker in the above-captioned case. (Signed by Judge Shirley Wohl Kram on 7/30/08) (tro)
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Filing 9
ORDER granting #4 Motion for Erin A. Koeppel to Appear Pro Hac Vice. Erin A. Koeppel is admitted to practice pro hac vice as counsel for defendant Wovsaniker in the above captioned case. (Signed by Judge Shirley Wohl Kram on 7/30/08) (tro)
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| Transmission to Attorney Admissions Clerk. Transmitted re: #10 Order on Motion to Appear Pro Hac Vice, #9 Order on Motion to Appear Pro Hac Vice, #11 Order on Motion to Appear Pro Hac Vice, #12 Order on Motion to Appear Pro Hac Vice, to the Attorney Admissions Clerk for updating of Attorney Information. (tro) |
| CASHIERS OFFICE REMARK on #8 Motion to Appear Pro Hac Vice, #7 Motion to Appear Pro Hac Vice in the amount of $50.00, paid on 07/25/2008, Receipt Number 657697. (jd) |
| Filing 8 MOTION for Jonathan Drimmer to Appear Pro Hac Vice. Document filed by Steven Rindner.(dle) |
| Filing 7 MOTION for Mark J. Hulkower to Appear Pro Hac Vice. Document filed by Steven Rindner.(dle) |
| CASHIERS OFFICE REMARK on #4 Motion to Appear Pro Hac Vice, #5 Motion to Appear Pro Hac Vice in the amount of $50.00, paid on 07/16/2008, Receipt Number 656883. (jd) |
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Filing 6
ORDER: It is hereby ordered that, for each motion, Morrison shall file a supplemental affidavit that complies with the instructions specified within. if Morrison cannot execute a sworn statement that complies with this District's requirements, he shall withdraw his motions, and the Court will adopt motions from an alternative sponsoring attorney. (Signed by Judge Shirley Wohl Kram on 7/23/2008) (jfe)
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| Filing 5 MOTION for Stephen G. Topetzes to Appear Pro Hac Vice. Document filed by Mark Wovsaniker.(jmi) (Additional attachment(s) added on 7/28/2008: #2 Affidavit) (dle). |
| Filing 4 MOTION for Erin A. Koeppel to Appear Pro Hac Vice. Document filed by Mark Wovsaniker.(jmi) (Additional attachment(s) added on 7/28/2008: #1 Affidavit) (dle). |
| Transmission to Case Assignment Clerk. Transmitted re: #2 Order, to the Case Assignment Clerk for preparation of notice of case assignment/reassignment.(ECF Case) (dle) |
| Filing 3 NOTICE OF CASE ASSIGNMENT to Judge Shirley Wohl Kram. (jeh) |
| Magistrate Judge Kevin N. Fox is so designated. (jeh) |
| CASE ACCEPTED AS RELATED. Create association to 1:02-cv-05575-SWK. Notice of Assignment to follow. (jeh) |
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Filing 2
ORDER that the Court hereby accepts this case as related and requests the assignment of the case to its calendar. (Signed by Judge Shirley Wohl Kram on 6/18/08) (dle)
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| Filing 1 COMPLAINT against Joseph A. Ripp, Mark Wovsaniker, John Michael Kelly, Steven Rindner. Document filed by Securities and Exchange Commission.(tve) |
| SUMMONS ISSUED as to Joseph A. Ripp, Mark Wovsaniker, John Michael Kelly, Steven Rindner. (tve) |
| Case Designated ECF. (tve) |
| CASE REFERRED TO Judge Shirley Wohl Kram as possibly related to 1:02-cv-5575. (tve) |
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