United States Securities and Exchange Commission v. Paulsen
Plaintiff: U.S. Securities and Exchange Commission and United States Securities and Exchange Commission
Defendant: John A Paulsen
Case Number: 1:2018cv06718
Filed: July 26, 2018
Court: US District Court for the Southern District of New York
Office: Foley Square Office
County: XX Out of State
Presiding Judge: Paul G Gardephe
Nature of Suit: Securities/Commodities
Cause of Action: 15 U.S.C. § 77
Jury Demanded By: Both
RSS RSS Track this Docket
Docket Report

This docket was last retrieved on November 22, 2021. A more recent docket listing may be available from PACER.

Date Filed Document Text
April 18, 2020 Opinion or Order Filing 98 ORDER denying #72 Motion for Summary Judgment; terminating #83 Letter Motion for Oral Argument. Because there are material issues of fact as to whether Paulsen acted with scienter, the SEC's motion for summary judgment is denied. The Clerk of Court is directed to terminate Dkt. Nos. 72 and 83. This matter will proceed to trial on July 13, 2020. The joint pretrial order, motions in limine, requested voir dire, and requests to charge are due on June 15, 2020. Responsive papers are due June 22, 2020. The parties are directed to consult this Court's Individual Rules as to the contents of these materials. SO ORDERED. (Signed by Judge Paul G. Gardephe on 4/18/2020) (mml)
April 18, 2020 Opinion or Order Set/Reset Deadlines: Motions due by 6/15/2020. Joint Pretrial Order due by 6/15/2020. Responses due by 6/22/2020. (mml)
March 11, 2020 Opinion or Order Filing 97 MOTION for William Tyler Perry to Withdraw as Attorney . Document filed by John A Paulsen..(Perry, William)
March 11, 2020 Opinion or Order Filing 96 MOTION for Vincent P. Sherman to Withdraw as Attorney . Document filed by John A Paulsen..(Sherman, Vincent)
March 11, 2020 Opinion or Order Filing 95 MOTION for Shira Lauren Feldman to Withdraw as Attorney . Document filed by John A Paulsen..(Feldman, Shira)
March 11, 2020 Opinion or Order Filing 94 MOTION for Melissa Giger to Withdraw as Attorney . Document filed by John A Paulsen..(Giger, Melissa)
October 21, 2019 Opinion or Order Filing 93 ORDER granting #82 Motion to Strike Document No. 78 . The application is granted. The Clerk of Court is directed to terminate the motion (Dkt. No. 82). (Signed by Judge Paul G. Gardephe on 10/21/2019) (rro)
September 27, 2019 Opinion or Order Filing 92 RESPONSE in Support of Motion re: #72 MOTION for Summary Judgment . . Document filed by United States Securities and Exchange Commission. (Attachments: #1 Exhibit 1 - Jones Dep. Transcript, #2 Exhibit 2 - Jones Declaration, #3 Exhibit 3 - Paulsen Dep. Transcript)(Qualls, Alyssa)
September 27, 2019 Opinion or Order Filing 91 SUPPLEMENTAL MEMORANDUM OF LAW in Opposition re: #72 MOTION for Summary Judgment . per Court's Order dated September 4, 2019, relating to evidence adduced in connection with discovery concerning Donald Jones. Document filed by John A Paulsen. (Attachments: #1 Exhibit A-Records of FINRA Investigation (submitted under seal due to protective order), #2 Exhibit B-SEC 2-16-2019 Tip (submitted under seal due to protective order), #3 Exhibit C-FINRA 7-17-2019 Tip (submitted under seal due to protective order), #4 Exhibit D-Tr. 9-23-2019 D. Jones Deposition, #5 Exhibit E-Tr. 9-24-2019 J. Paulsen Deposition, #6 Exhibit F-Declaration of D. Jones 8-20-2019, #7 Exhibit G-FINRA 8-26-2015 Letter to J. Paulsen, #8 Exhibit H-D.Jones 6-9-2015 email to N. Kang and G. Sposato (personal email address and phone number redacted), #9 Exhibit I-D. Jones 6-22-2015 email to N. Kang (personal email address and phone number redacted), #10 Exhibit J-D. Jones 7-8-2015 email to N. Kang and G. Sposato)(Creizman, Eric)
September 4, 2019 Opinion or Order Filing 90 ORDER granting #88 LETTER MOTION for Leave to File Declaration In Support of Summary Judgment Motion. The parties will conduct discovery related to Mr. Jones for the next three weeks. The parties are directed to submit letters bySeptember 27, 2019, supplementing their summary judgmentbriefing with any new evidence regarding Mr. Jones. SO ORDERED (Signed by Judge Paul G. Gardephe on 9/4/2019) (jca)
August 23, 2019 Opinion or Order Filing 89 LETTER RESPONSE in Opposition to Motion addressed to Judge Paul G. Gardephe from Eric M. Creizman dated August 23, 2019 re: #88 LETTER MOTION for Leave to File Declaration In Support of Summary Judgment Motion addressed to Judge Paul G. Gardephe from Alyssa A. Qualls dated August 21, 2019. . Document filed by John A Paulsen. (Creizman, Eric)
August 21, 2019 Opinion or Order Filing 88 LETTER MOTION for Leave to File Declaration In Support of Summary Judgment Motion addressed to Judge Paul G. Gardephe from Alyssa A. Qualls dated August 21, 2019. Document filed by United States Securities and Exchange Commission. (Attachments: #1 Exhibit 1 - Jones Declaration)(Qualls, Alyssa)
August 7, 2019 Opinion or Order Filing 87 ORDER granting #86 Letter Motion for Leave to File Document. The Application is granted. SO ORDERED. (Signed by Judge Paul G. Gardephe on 8/7/2019) (rro)
July 26, 2019 Opinion or Order Filing 86 LETTER MOTION for Leave to File Corrected Counter-Rule 56.1 Statement and Corrected Exhibits to Appendix in opposition to the SEC's Motion for Summary Judgment addressed to Judge Paul G. Gardephe from Eric M. Creizman dated July 26, 2019. Document filed by John A Paulsen. (Attachments: #1 Exhibit A-Proposed Corrected Counter-Rule 56.1 Statement of John Paulsen, #2 Exhibit B-Proposed Corrected Appendix Exhibit 6, #3 Exhibit C-Proposed Corrected Appendix Exhibit 15)(Creizman, Eric)
July 22, 2019 Opinion or Order ***STRICKEN DOCUMENT. Deleted document number 78 from the case record. The document was stricken from this case pursuant to #93 Order on Motion to Strike. (rro)
July 22, 2019 Opinion or Order Filing 85 RESPONSE re: #79 Counter Statement to Rule 56.1 . Document filed by United States Securities and Exchange Commission. (Qualls, Alyssa)
July 22, 2019 Opinion or Order Filing 84 REPLY MEMORANDUM OF LAW in Support re: #72 MOTION for Summary Judgment . . Document filed by United States Securities and Exchange Commission. (Qualls, Alyssa)
July 22, 2019 Opinion or Order Filing 83 LETTER MOTION for Oral Argument on the SEC's Motion for Summary Judgment addressed to Judge Paul G. Gardephe from Eric M. Creizman dated July 22, 2019. Document filed by John A Paulsen.(Creizman, Eric)
July 22, 2019 Opinion or Order Filing 82 MOTION to Strike Document No. 78 because it was incorrectly labeled as "Rule 56.1 Statement". Document filed by John A Paulsen.(Creizman, Eric)
July 22, 2019 Opinion or Order Filing 81 CERTIFICATE OF SERVICE of Memorandum of law in opposition to motion for summary judgment, declaration of Eric M. Creizman in opposition to motion for summary judgment, John A. Paulsen's Counter-Rule 56.1 Statement, Appendix to John A. Paulsen's Counter-Rule 56.1 Statement with Exhibits served on U.S. Securities and Exchange Commission on July 16, 2019. Service was made by EMAIL. Document filed by John A Paulsen. (Creizman, Eric)
July 22, 2019 Opinion or Order Filing 80 DECLARATION of Eric M. Creizman in Opposition re: #72 MOTION for Summary Judgment .. Document filed by John A Paulsen. (Attachments: #1 Appendix Appendix Cover and List of 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, #18 Exhibit 17, #19 Exhibit 18, #20 Exhibit 19, #21 Exhibit 20, #22 Exhibit 21, #23 Exhibit 22, #24 Exhibit 23, #25 Exhibit 24, #26 Exhibit 25, #27 Exhibit 26, #28 Exhibit 27, #29 Exhibit 28, #30 Exhibit 29, #31 Exhibit 30, #32 Exhibit 31, #33 Exhibit 32, #34 Exhibit 33, #35 Exhibit 34, #36 Exhibit 35, #37 Exhibit 36, #38 Exhibit 37, #39 Exhibit 38)(Creizman, Eric)
July 22, 2019 Opinion or Order Filing 79 COUNTER STATEMENT TO #73 Rule 56.1 Statement,,,,,,. Document filed by John A Paulsen. (Creizman, Eric)
July 22, 2019 Opinion or Order Filing 78 RULE 56.1 STATEMENT. Document filed by John A Paulsen. (Creizman, Eric)
July 22, 2019 Opinion or Order Filing 77 MEMORANDUM OF LAW in Opposition re: #72 MOTION for Summary Judgment . . Document filed by John A Paulsen. (Creizman, Eric)
July 22, 2019 Opinion or Order Filing 76 CERTIFICATE OF SERVICE of Motion for Summary Judgment served on John A. Paulsen on June 26, 2019. Service was made by Mail. Document filed by United States Securities and Exchange Commission. (Qualls, Alyssa)
July 22, 2019 Opinion or Order Filing 75 DECLARATION of Alyssa A. Qualls in Support re: #72 MOTION for Summary Judgment .. Document filed by United States Securities and Exchange Commission. (Qualls, Alyssa)
July 22, 2019 Opinion or Order Filing 74 MEMORANDUM OF LAW in Support re: #72 MOTION for Summary Judgment . . Document filed by United States Securities and Exchange Commission. (Qualls, Alyssa)
July 22, 2019 Opinion or Order Filing 73 RULE 56.1 STATEMENT. Document filed by United States Securities and Exchange Commission. (Attachments: #1 Appendix Table of Contents, #2 Exhibit Appendix Ex. 1, #3 Exhibit Appendix Ex. 2, #4 Exhibit Appendix Ex. 3, #5 Exhibit Appendix Ex. 4, #6 Exhibit Appendix Ex. 5, #7 Exhibit Appendix Ex. 6, #8 Exhibit Appendix Ex. 7, #9 Exhibit Appendix Ex. 8, #10 Exhibit Appendix Ex. 9, #11 Exhibit Appendix Ex. 10, #12 Exhibit Appendix Ex. 11, #13 Exhibit Appendix Ex. 12, #14 Exhibit Appendix Ex. 13, #15 Exhibit Appendix Ex. 14, #16 Exhibit Appendix Ex. 15, #17 Exhibit Appendix Ex. 16, #18 Exhibit Appendix Ex. 17, #19 Exhibit Appendix Ex. 18, #20 Exhibit Appendix Ex. 19, #21 Exhibit Appendix Ex. 20, #22 Exhibit Appendix Ex. 21, #23 Exhibit Appendix Ex. 22, #24 Exhibit Appendix Ex. 23, #25 Exhibit Appendix Ex. 24, #26 Exhibit Appendix Ex. 25, #27 Exhibit Appendix Ex. 26, #28 Exhibit Appendix Ex. 27, #29 Exhibit Appendix Ex. 28, #30 Exhibit Appendix Ex. 29, #31 Exhibit Appendix Ex. 30, #32 Exhibit Appendix Ex. 31, #33 Exhibit Appendix Ex. 32, #34 Exhibit Appendix Ex. 33, #35 Exhibit Appendix Ex. 34, #36 Exhibit Appendix Ex. 35, #37 Exhibit Appendix Ex. 36, #38 Exhibit Appendix. Ex. 37, #39 Exhibit Appendix Ex. 38, #40 Exhibit Appendix Ex. 39, #41 Exhibit Appendix Ex. 40, #42 Exhibit Appendix Ex. 41, #43 Exhibit Appendix Ex. 42, #44 Exhibit Appendix Ex. 43)(Qualls, Alyssa)
July 22, 2019 Opinion or Order Filing 72 MOTION for Summary Judgment . Document filed by United States Securities and Exchange Commission.(Qualls, Alyssa)
July 11, 2019 Opinion or Order Filing 71 ORDER granting #70 Letter Motion for Extension of Time to File Response/Reply. The Application is granted. SO ORDERED. Responses due by 7/15/2019, Replies due by 7/22/2019.. (Signed by Judge Paul G. Gardephe on 7/11/2019) (jca)
July 10, 2019 Opinion or Order Filing 70 CONSENT LETTER MOTION for Extension of Time to File Response/Reply as to Set/Reset Deadlines extending the time to serve the SEC with John Paulsen's opposition to the SEC's motion for summary judgment to July 15, 2019 addressed to Judge Paul G. Gardephe from Eric M. Creizman dated July 10, 2019. Document filed by John A Paulsen.(Creizman, Eric)
June 11, 2019 Opinion or Order Filing 69 ORDER terminating #61 LETTER MOTION for Conference Requesting Permission to File Summary Judgment Motion. It is hereby ORDERED that the following schedule will apply to Plaintiff's motion: 1. Plaintiff's motion is due on June 26, 2019; 2. Defendant's opposition is due on July 10, 2019; 3. Plaintiff's reply, if any, is due on July 17, 2019. It is further ORDERED that the pretrial conference in this action previously scheduled for July 13, 2019 is adjourned sine die. The Clerk of Court is directed to terminate Plaintiff's letter motion (Dkt. No. 61). SO ORDERED.. (Signed by Judge Paul G. Gardephe on 6/10/2019) (jca) (Main Document 69 replaced on 6/11/2019) (jca).
June 11, 2019 Opinion or Order Set/Reset Deadlines: Motions due by 6/26/2019. Responses due by 7/10/2019, Replies due by 7/17/2019. (jca)
June 10, 2019 Opinion or Order Filing 68 ORDER granting #63 LETTER MOTION to Reopen Discovery for the limited purpose of permitting Paulsen to serve a revised subpoena on FINRA, and enabling FINRA to respond. The application to reopen discovery for the limited purposes of serving another subpoena on FINRA is granted. Any such subpoenas is to be served forth with. SO ORDERED. (Signed by Judge Paul G. Gardephe on 6/10/2019) (jca)
May 31, 2019 Opinion or Order Filing 67 LETTER RESPONSE in Opposition to Motion addressed to Judge Paul G. Gardephe from Eric M. Creizman dated May 31, 2019 re: #61 LETTER MOTION for Conference Requesting Permission to File Summary Judgment Motion addressed to Judge Paul G. Gardephe from Alyssa Qualls dated May 22, 2019. . Document filed by John A Paulsen. (Creizman, Eric)
May 29, 2019 Opinion or Order Filing 66 ORDER granting #65 Letter Motion for Extension of Time. The application is granted. SO ORDERED. (Signed by Judge Paul G. Gardephe on 5/29/2019) (kv)
May 28, 2019 Opinion or Order Filing 65 CONSENT LETTER MOTION for Extension of Time addressed to Judge Paul G. Gardephe from Eric M. Creizman, Esq. dated May 28, 2019. Document filed by John A Paulsen.(Creizman, Eric)
May 26, 2019 Opinion or Order Filing 64 DECLARATION of Eric M. Creizman in Support re: #63 LETTER MOTION to Reopen Discovery for the limited purpose of permitting Paulsen to serve a revised subpoena on FINRA, and enabling FINRA to respond addressed to Judge Paul G. Gardephe from Eric M. Creizman dated May 26, 2019.. Document filed by John A Paulsen. (Attachments: #1 Exhibit A-Subpoena to FINRA dated 4-25-19, #2 Exhibit B-Proof of Service of 4-25-19 Subpoena on FINRA, #3 Exhibit C-Emails from FINRA, #4 Exhibit D-Subpoena to FINRA dated 5-23-19, #5 Exhibit E-SEC's Privilege Log, #6 Exhibit F-Paulsen's First Set of Document Requests, #7 Exhibit G-Paulsen's First Set of Interrogatories)(Creizman, Eric)
May 26, 2019 Opinion or Order Filing 63 LETTER MOTION to Reopen Discovery for the limited purpose of permitting Paulsen to serve a revised subpoena on FINRA, and enabling FINRA to respond addressed to Judge Paul G. Gardephe from Eric M. Creizman dated May 26, 2019. Document filed by John A Paulsen.(Creizman, Eric)
May 24, 2019 Opinion or Order Filing 62 ORDER granting in part #60 Letter Motion to Adjourn Conference. The Conference is adjourned to June 13, 2019 at 10:30A.M. SO ORDERED. (Status Conference set for 6/13/2019 at 10:30 AM before Judge Paul G. Gardephe.) (Signed by Judge Paul G. Gardephe on 5/24/2019) (jca)
May 22, 2019 Opinion or Order Filing 61 FILING ERROR - WRONG EVENT TYPE SELECTED FROM MENU - LETTER MOTION for Conference Requesting Permission to File Summary Judgment Motion addressed to Judge Paul G. Gardephe from Alyssa Qualls dated May 22, 2019. Document filed by United States Securities and Exchange Commission.(Qualls, Alyssa) Modified on 8/7/2019 (db).
May 20, 2019 Opinion or Order Filing 60 CONSENT LETTER MOTION to Adjourn Conference scheduled for May 30, 2019 to June 4, 2019 or June 6, 2019 (after 11 a.m.) addressed to Judge Paul G. Gardephe from Eric M. Creizman dated May 20, 2019. Document filed by John A Paulsen.(Creizman, Eric)
May 16, 2019 Opinion or Order Filing 59 ORDER: It is hereby ORDERED that the conference presently scheduled for May 30, 2019 at 11:00 a.m. is rescheduled to May 30, 2019 at 10:15 a.m. SO ORDERED. (Status Conference set for 5/30/2019 at 10:15 AM before Judge Paul G. Gardephe.) (Signed by Judge Paul G. Gardephe on 5/16/2019) (jca)
April 26, 2019 Opinion or Order Filing 58 NOTICE OF APPEARANCE by William Tyler Perry on behalf of John A Paulsen. (Perry, William)
April 26, 2019 Opinion or Order Filing 57 NOTICE OF APPEARANCE by Melissa Giger on behalf of John A Paulsen. (Giger, Melissa)
March 7, 2019 Opinion or Order Filing 56 JOINT STIPULATION TO EXTEND FACT DISCOVERY ORDER: The parties further agree that the remaining deadlines are as follows: a. The parties must complete fact discovery by no later than May 15, 2019; b. The parties must complete depositions of fact witnesses by May 15, 2019; c. Parties seeking to make post-discovery dispositive motions should submit a letter to the Court in accordance with Rule 4(A) of the Court's Individual Practices by May 22, 2019. Opposition letters are due May 27, 2019; and d. The status conference scheduled for April 10, 2019, at 12:30 pm EDT is adjourned to May 30, 2019 at 11:00 a.m. IT IS SO ORDERED. (Signed by Judge Paul G. Gardephe on 3/7/2019) ( Deposition due by 5/15/2019., Fact Discovery due by 5/15/2019., Status Conference set for 5/30/2019 at 11:00 AM before Judge Paul G. Gardephe.) (ks) Modified on 3/8/2019 (ks).
March 6, 2019 Opinion or Order Filing 55 ANSWER to #11 Complaint with JURY DEMAND. Document filed by John A Paulsen.(Creizman, Eric)
March 6, 2019 Opinion or Order Filing 54 PROPOSED STIPULATION AND ORDER. Document filed by United States Securities and Exchange Commission. (Qualls, Alyssa)
March 4, 2019 Opinion or Order Filing 53 ORDER granting #51 Letter Motion for Extension of Time to Answer re #11 Complaint. The Application is granted. SO ORDERED. John A Paulsen answer due 3/6/2019 (Signed by Judge Paul G. Gardephe on 3/2/2019) (kv)
February 28, 2019 Opinion or Order Filing 52 NOTICE OF APPEARANCE by Vincent Paul Sherman on behalf of John A Paulsen. (Sherman, Vincent)
February 28, 2019 Opinion or Order Filing 51 CONSENT LETTER MOTION for Extension of Time to File Answer re: #11 Complaint to March 6, 2019 addressed to Judge Paul G. Gardephe from Eric M. Creizman dated February 28, 2019. Document filed by John A Paulsen.(Creizman, Eric)
February 26, 2019 Opinion or Order Filing 50 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a DECISON proceeding held on 2/13/19 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days...(McGuirk, Kelly)
February 26, 2019 Opinion or Order Filing 49 TRANSCRIPT of Proceedings re: DECISON held on 2/13/2019 before Judge Paul G. Gardephe. Court Reporter/Transcriber: Khristine Sellin, (212) 805-0300. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 3/19/2019. Redacted Transcript Deadline set for 3/29/2019. Release of Transcript Restriction set for 5/28/2019.(McGuirk, Kelly)
February 13, 2019 Opinion or Order Filing 48 ORDER denying #34 Motion to Dismiss. For the reasons stated in open court, Defendant's motion to dismiss (Dkt. No. 34) is denied. The Clerk of the Court is directed to terminate the motion. It is hereby ORDERED that there shall be a status conference in this case on Wednesday, April 10, 2019 at 12:30 p.m. in Courtroom 705 of the Thurgood Marshall United States Courthouse, 40 Foley Square, New York, New York. SO ORDERED. (Signed by Judge Paul G. Gardephe on 2/13/2019) (jca)
February 13, 2019 Opinion or Order Minute Entry for proceedings held before Judge Paul G. Gardephe: Status Conference held on 2/13/2019, ( Status Conference set for 4/10/2019 at 12:30 AM in Courtroom 705, 40 Centre Street, New York, NY 10007 before Judge Paul G. Gardephe.). (Court Reporter Khris Sellin) (mr)
February 13, 2019 Opinion or Order Set/Reset Hearings: Status Conference set for 4/10/2019 at 12:30 PM in Courtroom 705, 40 Centre Street, New York, NY 10007 before Judge Paul G. Gardephe. (jca)
February 8, 2019 Opinion or Order Filing 47 AMENDED CIVIL CASE MANAGEMENT PLAN AND SCHEDULING ORDER: All parties do not consent to conducting further proceedings before a Magistrate Judge, including motions and trial, pursuant to 28 U.S.C. 636(c). This case is to be tried to a jury. Counsel for the parties have conferred and their present best estimate of the length of trial is: 3-5 days. The next pretrial conference is scheduled for February 13, 2019 at 2:00 p.m. Deposition due by 3/20/2019. Fact Discovery due by 3/20/2019. (Signed by Judge Paul G. Gardephe on 2/8/2019) (kv)
February 8, 2019 Opinion or Order Filing 46 ORDER granting #45 Letter Motion for Extension of Time to Complete Discovery. The parties proposed extension in the Case Management Plan are approved, but the February 13, 2019 conference will proceed as scheduled. SO ORDERED. (Signed by Judge Paul G. Gardephe on 2/8/2019) (kv)
February 6, 2019 Opinion or Order Filing 45 JOINT LETTER MOTION for Extension of Time to Complete Discovery Due to Stay of Proceedings addressed to Judge Paul G. Gardephe from Alyssa A. Qualls dated 02/06/2019. Document filed by United States Securities and Exchange Commission. (Attachments: #1 Text of Proposed Order Amended Case Management Plan)(Qualls, Alyssa)
February 4, 2019 Opinion or Order Filing 44 ORDER: It is hereby ORDERED that the status conference presently scheduled for February 13, 2019 at 12:30 p.m. is adjourned to February 13, 2019 at 2:00 p.m. in Courtroom 705 of the Thurgood Marshall United States Courthouse, 40 Foley Square, New York, New York. SO ORDERED. (Status Conference set for 2/13/2019 at 02:00 PM in Courtroom 705, 40 Centre Street, New York, NY 10007 before Judge Paul G. Gardephe.) (Signed by Judge Paul G. Gardephe on 2/4/2019) (jca)
January 18, 2019 Opinion or Order Filing 43 ORDER. Pursuant to Standing Order M10-468, issued by Chief Judge McMahon on December 27, 2018, it is hereby ORDERED that all court deadlines in this action are tolled during the duration of the government shutdown and extended thereafter for a period of time equal to the number of calendar days between December 21, 2018, and the date the President signs into law a budget appropriation that restores Department of Justice funding. SO ORDERED. (Signed by Judge Paul G. Gardephe on 1/18/19) (yv)
January 17, 2019 Opinion or Order Filing 42 LETTER MOTION to Stay This Proceeding addressed to Judge Paul G. Gardephe from Alyssa A. Qualls dated January 17, 2019. Document filed by United States Securities and Exchange Commission.(Qualls, Alyssa)
January 10, 2019 Opinion or Order Filing 41 REPLY MEMORANDUM OF LAW in Support re: #34 MOTION to Dismiss . . Document filed by John A Paulsen. (Creizman, Eric)
January 2, 2019 Opinion or Order Filing 40 LETTER MOTION for Extension of Time to File Response/Reply of three business days to Wednesday, January 9, 2019 addressed to Judge Paul G. Gardephe from Eric M. Creizman dated January 2, 2019. Document filed by John A Paulsen.(Creizman, Eric)
December 27, 2018 Opinion or Order Filing 39 MEMORANDUM OF LAW in Opposition re: #34 MOTION to Dismiss . . Document filed by United States Securities and Exchange Commission. (Qualls, Alyssa)
November 28, 2018 Opinion or Order Filing 38 NOTICE OF APPEARANCE by Shira Lauren Feldman on behalf of John A Paulsen. (Feldman, Shira)
November 25, 2018 Opinion or Order Filing 37 LETTER addressed to Judge Paul G. Gardephe from Eric M. Creizman dated November 25, 2018 re: apologizing to the Court and opposing counsel for filing papers in support of Defendant's motion to dismiss in violation of the "Bundling Rule.". Document filed by John A Paulsen.(Creizman, Eric)
November 24, 2018 Opinion or Order Filing 36 DECLARATION of Eric M. Creizman in Support re: #34 MOTION to Dismiss .. Document filed by John A Paulsen. (Attachments: #1 Exhibit A-Complaint in SEC v. Kang, et al., #2 Exhibit B-Relevant excerpts from Paulsen expense report)(Creizman, Eric)
November 24, 2018 Opinion or Order Filing 35 MEMORANDUM OF LAW in Support re: #34 MOTION to Dismiss . the complaint. Document filed by John A Paulsen. (Creizman, Eric)
November 24, 2018 Opinion or Order Filing 34 MOTION to Dismiss . Document filed by John A Paulsen.(Creizman, Eric)
November 20, 2018 Opinion or Order Filing 33 ORDER: It is hereby ORDERED that the following schedule will apply to Defendant's motion to dismiss: 1. Defendant's motion is due on November 23, 2018; 2. Plaintiffs opposition is due on December 21, 2018; 3. Defendants' reply, if any, is due on January 4, 2019. It is further ORDERED that the pretrial conference in this action previously scheduled for February 13, 2019 is adjourned sine die. Motions due by 11/23/2018. Responses due by 12/21/2018 Replies due by 1/4/2019. (Signed by Judge Paul G. Gardephe on 11/20/2018) (kgo)
November 19, 2018 Opinion or Order Filing 32 LETTER addressed to Judge Paul G. Gardephe from Eric M. Creizman dated November 19, 2018 re: motion to dismiss on behalf of John A. Paulsen.. Document filed by John A Paulsen.(Creizman, Eric)
November 14, 2018 Opinion or Order Filing 31 STIPULATED CONFIDENTIALITY AGREEMENT AND PROTECTIVE ORDER...regarding procedures to be followed that shall govern the handling of confidential material... (As further set forth in this Order.) (Signed by Judge Paul G. Gardephe on 11/13/2018) (cf)
November 14, 2018 Opinion or Order Filing 30 CIVIL CASE MANAGEMENT PLAN AND SCHEDULING ORDER: All parties do not consent to conducting further proceedings before a magistrate Judge, including motions and trial, pursuant to 28U.S.C. 636(c). This case is to be tried to a jury. No later than 14 days following the close of fact discovery, all counsel must meet face-to-face for at least one hour to discuss settlement. Deposition due by 2/13/2019. All Fact Discovery due by 2/13/2019. All Expert Discovery due by 3/13/2019. Counsel for the parties have conferred and their present best estimate of the length of trial is 3-5 days. Pretrial Conference set for 2/13/2019 at 12:30 PM before Judge Paul G. Gardephe. (Signed by Judge Paul G. Gardephe on 11/13/2018) (kv)
November 13, 2018 Opinion or Order Minute Entry for proceedings held before Judge Paul G. Gardephe: Initial Pretrial Conference held on 11/13/2018, ( Status Conference set for 2/13/2019 at 12:30 PM before Judge Paul G. Gardephe.). (Court Reporter Steven Griffing) (mr)
November 9, 2018 Opinion or Order Filing 29 LETTER addressed to Judge Paul G. Gardephe from Alyssa A. Qualls dated November 9, 2018 re: Proposed Protective Order. Document filed by United States Securities and Exchange Commission. (Attachments: #1 Protective Order, #2 Blackline)(Qualls, Alyssa)
November 6, 2018 Opinion or Order Filing 28 JOINT LETTER addressed to Judge Paul G. Gardephe from Alyssa A. Qualls and Eric M. Creizman dated November 6, 2018 re: Initial Pretrial Conference. Document filed by United States Securities and Exchange Commission. (Attachments: #1 Exhibit Proposed Case Management Plan)(Qualls, Alyssa)
October 16, 2018 Opinion or Order Filing 27 ORDER granting #26 Letter Motion to Adjourn Conference. It is hereby ORDERED that the conference in this matter currently scheduled for November 8, 2018 is adjourned to Tuesday, November 13, 2018 at 2:15 p.m. SO ORDERED. (Initial Conference set for 11/13/2018 at 02:15 PM before Judge Paul G. Gardephe.) (Signed by Judge Paul G. Gardephe on 10/16/2018) (jca)
October 15, 2018 Opinion or Order Filing 26 CONSENT LETTER MOTION to Adjourn Conference from November 8, 2018 to November 13, 15, or 16. addressed to Judge Paul G. Gardephe from Eric M. Creizman dated October 15, 2018. Document filed by John A Paulsen.(Creizman, Eric)
October 3, 2018 Opinion or Order Filing 25 LETTER RESPONSE to Motion addressed to Judge Paul G. Gardephe from Alyssa A. Qualls dated October 3, 2018 re: #24 LETTER MOTION for Conference under Section IV.A of the Court's Individual Rules of Practice addressed to Judge Paul G. Gardephe from Eric M. Creizman dated September 28, 2018. . Document filed by United States Securities and Exchange Commission. (Qualls, Alyssa)
September 28, 2018 Opinion or Order Filing 24 LETTER MOTION for Conference under Section IV.A of the Court's Individual Rules of Practice addressed to Judge Paul G. Gardephe from Eric M. Creizman dated September 28, 2018. Document filed by John A Paulsen.(Creizman, Eric)
September 24, 2018 Opinion or Order Filing 23 ORDER: It is hereby ORDERED that Defendant's time to respond to the Complaint is extended to September 28, 2018. Defendant is directed to consult Rule IV.A of this Court's Individual Rules of Practices in Civil Cases as to the requirement to file a pre-motion letter in connection with a motion to dismiss. John A Paulsen answer due 9/28/2018. (Signed by Judge Paul G. Gardephe on 9/21/2018) (cf)
September 19, 2018 Opinion or Order Filing 22 NOTICE OF APPEARANCE by Melissa Madrigal on behalf of John A Paulsen. (Madrigal, Melissa)
September 19, 2018 Opinion or Order Filing 21 LETTER MOTION for Extension of Time to File Motion to Dismiss Complaint addressed to Judge Paul G. Gardephe from Eric Creizman dated September 19, 2018. Document filed by John A Paulsen.(Creizman, Eric)
September 7, 2018 Opinion or Order Filing 20 ORDER FOR ADMISSION PRO HAC VICE granting #19 Motion for Eric Arthur Celauro to Appear Pro Hac Vice. (As further set forth in this Order.) (Signed by Judge Paul G. Gardephe on 9/7/2018) (cf)
September 6, 2018 Opinion or Order Filing 19 MOTION for Eric Arthur Celauro to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by United States Securities and Exchange Commission. (Attachments: #1 Affidavit in Support, #2 Certificate of Admission, #3 Proposed Order)(Celauro, Eric)
September 6, 2018 Opinion or Order >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #19 MOTION for Eric Arthur Celauro to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (jc)
August 9, 2018 Opinion or Order Filing 18 ORDER FOR ADMISSION PRO HAC VICE granting #14 Motion for John Edward Birkenheier to Appear Pro Hac Vice. (Signed by Judge Paul G. Gardephe on 8/8/2018) (jwh)
August 9, 2018 Opinion or Order Filing 17 ORDER FOR ADMISSION PRO HAC VICE granting #15 Motion for Brian David Fagel to Appear Pro Hac Vice. (Signed by Judge Paul G. Gardephe on 8/8/2018) (jwh)
August 3, 2018 Opinion or Order Filing 16 NOTICE of change of firm and email address. Document filed by John A Paulsen. (Creizman, Eric)
August 3, 2018 Opinion or Order >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #15 MOTION for Brian David Fagel to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff., #14 MOTION for John Edward Birkenheier to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (wb)
August 2, 2018 Opinion or Order Filing 15 MOTION for Brian David Fagel to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by United States Securities and Exchange Commission. (Attachments: #1 Affidavit in Support of Motion, #2 Certificate of Admission, #3 Proposed Order)(Fagel, Brian)
August 2, 2018 Opinion or Order Filing 14 MOTION for John Edward Birkenheier to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by United States Securities and Exchange Commission. (Attachments: #1 Affidavit in Support of Motion, #2 Certificate of Admission, #3 Proposed Order)(Birkenheier, John)
August 1, 2018 Opinion or Order Filing 13 NOTICE OF PRETRIAL CONFERENCE: Initial Conference set for 11/8/2018 at 11:30 AM in Courtroom 705, 40 Centre Street, New York, NY 10007 before Judge Paul G. Gardephe. (As further set forth in this Order.) (Signed by Judge Paul G. Gardephe on 8/1/2018) (cf)
July 31, 2018 Opinion or Order NOTICE OF CASE REASSIGNMENT to Judge Paul G. Gardephe. Judge Unassigned is no longer assigned to the case. (bcu)
July 31, 2018 Opinion or Order Magistrate Judge Gabriel W. Gorenstein is so designated. Pursuant to 28 U.S.C. Section 636(c) and Fed. R. Civ. P. 73(b)(1) parties are notified that they may consent to proceed before a United States Magistrate Judge. Parties who wish to consent may access the necessary form at the following link: #http://nysd.uscourts.gov/forms.php. (bcu)
July 31, 2018 Opinion or Order CASE ACCEPTED AS RELATED. Create association to 1:16-cv-09829-PGG. Notice of Assignment to follow. (bcu)
July 27, 2018 Opinion or Order Filing 12 CIVIL COVER SHEET filed. (Qualls, Alyssa)
July 27, 2018 Opinion or Order Filing 11 COMPLAINT against John A Paulsen. Document filed by United States Securities and Exchange Commission.(Qualls, Alyssa)
July 27, 2018 Opinion or Order ***NOTICE TO ATTORNEY REGARDING DEFICIENT CIVIL COVER SHEET. Notice to attorney Alyssa A. Qualls to RE-FILE Document No. #2 Civil Cover Sheet. The filing is deficient for the following reason(s): related case number must be on corresponding section of pdf; second page is missing;. Re-file the document using the event type Civil Cover Sheet found under the event list Other Documents and attach the correct PDF. Use civil cover sheet issued by S.D.N.Y. dated June 2017. The S.D.N.Y. Civil Cover Sheet dated June 2017 is located at#http://nysd.uscourts.gov/file/forms/civil-cover-sheet.. (jgo)
July 27, 2018 Opinion or Order ***NOTICE TO ATTORNEY REGARDING PARTY MODIFICATION. Notice to attorney Alyssa A. Qualls. The party information for the following party/parties has been modified: United States Securities and Exchange Commission. The information for the party/parties has been modified for the following reason/reasons: party name contained a typographical error;. (jgo)
July 27, 2018 Opinion or Order ***NOTICE TO ATTORNEY REGARDING DEFICIENT PLEADING. Notice to Attorney Alyssa A. Qualls to RE-FILE Document No. #1 Complaint. The filing is deficient for the following reason(s): due to party modification, the wrong filer was selected for the pleading. Re-file the pleading using the event type Complaint found under the event list Complaints and Other Initiating Documents - attach the correct signed PDF - select the individually named filer/filers - select the individually named party/parties the pleading is against. (jgo)
July 27, 2018 Opinion or Order ***NOTICE TO ATTORNEY REGARDING CIVIL CASE OPENING STATISTICAL ERROR CORRECTION: Notice to attorney Alyssa A. Qualls. The following case opening statistical information was erroneously selected/entered: Fee Status code none (no fee required);. The following correction(s) have been made to your case entry: the Fee Status code has been modified to wv (waived);. (jgo)
July 27, 2018 Opinion or Order CASE REFERRED TO Judge Paul G. Gardephe as possibly related to 16-cv-9829. (jgo)
July 27, 2018 Opinion or Order CASE OPENING INITIAL ASSIGNMENT NOTICE: The above-entitled action is assigned to Judge Unassigned. (jgo)
July 27, 2018 Opinion or Order ***NOTICE TO ATTORNEY REGARDING DEFICIENT REQUEST FOR ISSUANCE OF SUMMONS. Notice to Attorney Alyssa A. Qualls to RE-FILE Document No. #3 Request for Issuance of Summons. The filing is deficient for the following reason(s): due to party modification, the wrong filer was selected;. Re-file the document using the event type Request for Issuance of Summons found under the event list Service of Process - select the correct filer/filers - and attach the correct summons form PDF. (jgo)
July 27, 2018 Opinion or Order Case Designated ECF. (jgo)
July 26, 2018 Opinion or Order Filing 10 MOTION to Strike Document No. #8 because it was inadvertently filed without Exhibits. Document Entry 9 appropriately contains the Statement of Relatedness with Exhibits A and B. Document filed by John A Paulsen.(Creizman, Eric)
July 26, 2018 Opinion or Order Filing 9 STATEMENT OF RELATEDNESS re: that this action be filed as related to 16-cv-9829. Document filed by John A Paulsen. (Attachments: #1 Exhibit A-Complaint, 16-cv-9829 (PGG), #2 Exhibit B-Indictment, 16-cr-837 (JPO))(Creizman, Eric)
July 26, 2018 Opinion or Order Filing 8 STATEMENT OF RELATEDNESS re: that this action be filed as related to 16-cv-9829. Document filed by John A Paulsen.(Creizman, Eric)
July 26, 2018 Opinion or Order Filing 7 WAIVER OF SERVICE RETURNED EXECUTED. John A Paulsen waiver sent on 7/26/2018, answer due 9/24/2018. Document filed by U.S. Securities and Exchange Commission. (Qualls, Alyssa)
July 26, 2018 Opinion or Order Filing 6 NOTICE OF APPEARANCE by Eric M. Creizman on behalf of John A Paulsen. (Creizman, Eric)
July 26, 2018 Opinion or Order Filing 5 NOTICE OF APPEARANCE by Alyssa A. Qualls on behalf of U.S. Securities and Exchange Commission. (Qualls, Alyssa)
July 26, 2018 Opinion or Order Filing 4 STATEMENT OF RELATEDNESS re: that this action be filed as related to 1:16-cv-9829. Document filed by U.S. Securities and Exchange Commission.(Qualls, Alyssa)
July 26, 2018 Opinion or Order Filing 3 FILING ERROR - PDF ERROR - REQUEST FOR ISSUANCE OF SUMMONS as to John A. Paulsen, re: #1 Complaint. Document filed by U.S. Securities and Exchange Commission. (Qualls, Alyssa) Modified on 7/27/2018 (jgo).
July 26, 2018 Opinion or Order Filing 2 FILING ERROR - PDF ERROR - CIVIL COVER SHEET filed. (Qualls, Alyssa) Modified on 7/27/2018 (jgo).
July 26, 2018 Opinion or Order Filing 1 FILING ERROR - DEFICIENT PLEADING - FILER ERROR - COMPLAINT against John A Paulsen. Document filed by U.S. Securities and Exchange Commission.(Qualls, Alyssa) Modified on 7/27/2018 (jgo).

Access additional case information on PACER

Use the links below to access additional information about this case on the US Court's PACER system. A subscription to PACER is required.

Access this case on the New York Southern District Court's Electronic Court Filings (ECF) System

Search for this case: United States Securities and Exchange Commission v. Paulsen
Search News [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ]
Search Web [ Unicourt | Legal Web | Google | Bing | Yahoo | Ask ]
Plaintiff: U.S. Securities and Exchange Commission
Represented By: Alyssa A. Qualls
Search News [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ]
Search Finance [ Google Finance | Yahoo Finance | Hoovers | SEC Edgar Filings ]
Search Web [ Unicourt | Justia Dockets | Legal Web | Google | Bing | Yahoo | Ask ]
Plaintiff: United States Securities and Exchange Commission
Represented By: Alyssa A. Qualls
Represented By: Brian David Fagel
Represented By: John E. Birkenheier
Represented By: Eric Celauro
Search News [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ]
Search Finance [ Google Finance | Yahoo Finance | Hoovers | SEC Edgar Filings ]
Search Web [ Unicourt | Justia Dockets | Legal Web | Google | Bing | Yahoo | Ask ]
Defendant: John A Paulsen
Represented By: Eric M. Creizman
Represented By: Melissa Madrigal
Represented By: Vincent Paul Sherman
Represented By: William Tyler Perry
Represented By: Melissa Giger
Represented By: Shira Lauren Feldman
Search News [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ]
Search Finance [ Google Finance | Yahoo Finance | Hoovers | SEC Edgar Filings ]
Search Web [ Unicourt | Justia Dockets | Legal Web | Google | Bing | Yahoo | Ask ]

Disclaimer: Justia Dockets & Filings provides public litigation records from the federal appellate and district courts. These filings and docket sheets should not be considered findings of fact or liability, nor do they necessarily reflect the view of Justia.

Why Is My Information Online?