Securities and Exchange Commission v. Sugarman
| Securities and Exchange Commission |
| Jason Sugarman |
| United States Attorney's Office, Southern District of New York |
| 1:2019cv05998 |
| June 26, 2019 |
| US District Court for the Southern District of New York |
| William H Pauley |
| Ona T Wang |
| Gregory H Woods |
| Securities/Commodities |
| 15 U.S.C. § 77 Securities Fraud |
| Plaintiff |
Docket Report
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This docket was last retrieved on June 12, 2023. A more recent docket listing may be available from PACER.
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Filing 131
ORDER granting #128 Motion to Withdraw as Attorney. IT IS HEREBY ORDERED that David M. Zinn, Adam D. Harber, A. Joshua Podoll, Amy B. McKinlay, and Danielle Sochaczevski are granted leave to withdraw as counsel and will no longer receive docketing notifications via the ECF system for Defendant Jason Sugarman. IT IS FURTHER ORDERED that the Clerk of Court shall remove David M. Zinn, Adam D. Harber, A. Joshua Podoll, Amy B. McKinlay, and Danielle Sochaczevski from the list of counsel of record for Mr. Sugarman in this action. The Clerk of Court is directed to terminate the motion pending at Dkt. No. 128. Attorney Adam Joshua Podoll; Danielle Sochaczevski; David M. Zinn; Adam Harber and Amy McKinlay terminated.. (Signed by Judge Gregory H. Woods on 6/12/2023) (rro)
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Filing 130
PROPOSED ORDER FOR WITHDRAWAL OF ATTORNEY. Document filed by Jason Sugarman. Related Document Number: #128 ..(Zinn, David)
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Filing 129
DECLARATION of David M. Zinn in Support re: #128 MOTION for David M. Zinn, Adam D. Harber, A. Joshua Podoll, Amy B. McKinlay, and Danielle Sochaczevski to Withdraw as Attorney .. Document filed by Jason Sugarman..(Zinn, David)
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Filing 128
MOTION for David M. Zinn, Adam D. Harber, A. Joshua Podoll, Amy B. McKinlay, and Danielle Sochaczevski to Withdraw as Attorney . Document filed by Jason Sugarman..(Zinn, David)
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Filing 127
ORDER granting #126 Motion for Steven Matthew Goldsobel to Appear Pro Hac Vice. (HEREBY ORDERED by Judge Gregory H. Woods)(Text Only Order) (wv)
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Filing 126
MOTION for Steven Matthew Goldsobel to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Jason Sugarman. (Attachments: #1 Affidavit Declaration of S. Goldsobel, #2 Text of Proposed Order Proposed Order).(Goldsobel, Steven)
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>>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #126 MOTION for Steven Matthew Goldsobel 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. (va)
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>>>NOTICE REGARDING DEFICIENT MOTION TO APPEAR PRO HAC VICE. Notice to RE-FILE Document No. #125 MOTION for Steven Matthew Goldsobel to Appear Pro Hac Vice. Motion and supporting papers to be reviewed by Clerk's Office staff. The filing is deficient for the following reason(s): missing notarized affidavit or declaration pursuant to Local Rule 1.3. Re-file the motion as a Motion to Appear Pro Hac Vice - attach the correct signed PDF - select the correct named filer/filers - attach valid Certificates of Good Standing issued within the past 30 days - attach Proposed Order. (va)
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>>>NOTICE REGARDING DEFICIENT MOTION TO APPEAR PRO HAC VICE. Notice to RE-FILE Document No. #125 MOTION for Steven Matthew Goldsobel to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff... The filing is deficient for the following reason(s): Missing Affidavit Pursuant to Local Rule 1.3;. Re-file the motion as a Motion to Appear Pro Hac Vice - attach the correct signed PDF - select the correct named filer/filers - attach valid Certificates of Good Standing issued within the past 30 days - attach Proposed Order.. (dsh)
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Filing 125
FILING ERROR - DEFICIENT DOCKET ENTRY - MOTION for Steven Matthew Goldsobel to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Jason Sugarman. (Attachments: #1 Text of Proposed Order Proposed Order).(Goldsobel, Steven) Modified on 6/6/2023 (dsh).
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Filing 124
FILING ERROR - DEFICIENT DOCKET ENTRY - MOTION for Steven Matthew Goldsobel to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-27810655. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Jason Sugarman. (Attachments: #1 Supplement Declaration, #2 Text of Proposed Order Proposed Order).(Goldsobel, Steven) Modified on 5/31/2023 (sgz).
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>>>NOTICE REGARDING DEFICIENT MOTION TO APPEAR PRO HAC VICE. Notice to RE-FILE Document No. #124 MOTION for Steven Matthew Goldsobel to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-27810655. Motion and supporting papers to be reviewed by Clerk's Office staff.. The filing is deficient for the following reason(s): missing Certificate of Good Standing from Supreme Court of California 415-865-7000;. Re-file the motion as a Motion to Appear Pro Hac Vice - attach the correct signed PDF - select the correct named filer/filers - attach valid Certificates of Good Standing issued within the past 30 days - attach Proposed Order. (sgz)
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Filing 123
NOTICE OF APPEARANCE by Adam Seth. Grace on behalf of Securities and Exchange Commission..(Grace, Adam)
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Filing 122
NOTICE OF APPEARANCE by Maureen Peyton King on behalf of Securities and Exchange Commission..(King, Maureen)
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Filing 121
MEMO ENDORSEMENT on re: #120 Letter filed by Securities and Exchange Commission. ENDORSEMENT: Application GRANTED. ECF 111 is hereby VACATED as moot. (Signed by Magistrate Judge Ona T. Wang on 1/13/2023) (rro)
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Filing 120
LETTER addressed to Magistrate Judge Ona T. Wang from Mariel R. Bronen dated January 12, 2023 re: Request to Vacate Order Issuing Requests for Judicial Assistance. Document filed by Securities and Exchange Commission..(Bronen, Mariel)
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Filing 119
FINAL JUDGMENT AS TO DEFENDANT JASON SUGARMAN: IT IS HEREBY FURTHER ORDERED, ADJUDGED, AND DECREED that Defendant is liable for disgorgement of $7,157,232.19 as a result of the conduct alleged in the Amended Complaint, together with prejudgment interest thereon in the amount of $1,317,703.82, and a civil penalty in the amount of $1,789,308.05 pursuant to Section 20(d)(2) of the SecuritiesAct [15 U.S.C. 78t(d)(2)] and Section 21(d)(3) of the Exchange Act [15 U.S.C. 78u(d)(3)], for a total of $10,264,244.06. Defendant shall satisfy this obligation by paying $7,698,183.04 to the Securities and Exchange Commission pursuant to the terms of the payment schedule set forth in paragraph VI below after entry of this Final Judgment, and the civil penalty and remaining portion of his prejudgment interest obligation of $2,566,061.02 (the "Remaining Amount") by making the payments detailed in paragraph V below.The Commission may enforce the Court's judgment for penalties, subject to paragraphs V and VI below, by the use of all collection procedures authorized by law, including the Federal Debt Collection Procedures Act, 28 U.S.C. 3001 et seq., and moving for civil contempt for the violation of any Court orders issued in this action. Subject to paragraphs V and VI below, Defendant shall pay post judgment interest on any amounts (excluding the Remaining Amount) due after 30 days of the entry of this Final Judgment pursuant to 28 U.S.C. 1961. Defendant's obligation to pay the Remaining Amount of $2,566,061.02 in prejudgment interest and civil penalty shall be offset by the U.S. Dollar value of any cash payments made by Defendant to the Joint Liquidators, appointed by the Bermuda Supreme Court on or before December 18, 2020 as Joint Provisional Liquidators and on July 26, 2021 as permanent Joint Liquidators to oversee the liquidation of VL Assurance (Bermuda) Ltd. ("VL Assurance"), Valor Group Ltd. and Valor Management Ltd. for distribution to creditors pursuant to the Bermuda Companies Act of 1981 and Section 17(7) of the Segregated Account Companies Act of 2000 (the "Bermuda Liquidation") (or any other bankruptcy trustee, liquidator, or receiver appointed in the Bermuda Liquidation). Within 10 days of any cash payments made by Defendant to the Joint Liquidators, Defendant shall transmit photocopies of evidence of payment and case identifying information in a form acceptable to Commission staff. If the Remaining Amount of $2,566,061.02 in prejudgment interest and civil penalty is not offset in full by Defendant's payments to the Joint Liquidators (or any other bankruptcy trustee, liquidator, or receiver described above) within thirty (30) months of the entry of this Final Judgment (plus any extensions of this period as set forth below), Defendant shall remit to the Commission the outstanding balance of the Remaining Amount of his prejudgment interest and civil penalty obligations, plus post judgment interest on the Remaining Amount pursuant to 28 U.S.C. 196l, calculated as accruing from 30 days after entry of this Final Judgment. Jason Sugarman shall pay the total of disgorgement and that portion of prejudgment interest due, $7,698,183.04, in three installment payments to the Commission according to thefollowing schedule: (1) $2,566,061.02, within ten (10) days of entry of this Final Judgment; (2) $2,566,061.02 within 180 days thereafter; and (3) $2,566,061.00 within 365 days after entry of this Final Judgment. Payments shall be deemed made on the date they are received by the Commission and shall be applied first to post judgment interest, which accrues pursuant to 28 U.S.C. 1961 on any unpaid amounts due after 30 days of the entry of Final Judgment.Prior to making the final payment set forth herein, Jason Sugarman shall contact the staff of the Commission for the amount due for the final payment. IT IS FURTHER ORDERED, ADJUDGED, AND DECREED that this Court shall retain jurisdiction of this matter for the purposes of enforcing the terms of this Final Judgment. And as set forth herein., Jason Sugarman terminated. (Signed by Judge Gregory H. Woods on 1/10/2023) (ama)
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Filing 118
LETTER addressed to Judge Gregory H. Woods from Nancy Brown and Amy McKinlay dated January 10, 2023 re: Joint Letter pursuant to Individual Practice 1(F). Document filed by Securities and Exchange Commission..(Brown, Nancy)
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Filing 117
PROPOSED JUDGMENT. Document filed by Securities and Exchange Commission..(Brown, Nancy) Proposed Judgment to be reviewed by Clerk's Office staff.
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***NOTICE TO COURT REGARDING PROPOSED JUDGMENT. Document No. #117 Proposed Judgment was reviewed and approved as to form. (km)
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Terminate Transcript Deadlines (ama)
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Filing 116
STATUS REPORT. Document filed by Securities and Exchange Commission..(Brown, Nancy)
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Filing 115
AMENDED COMPLAINT amending #6 Complaint against Jason Sugarman with JURY DEMAND.Document filed by Securities and Exchange Commission. Related document: #6 Complaint..(Brown, Nancy)
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Filing 114
ORDER terminating #94 Motion to Amend/Correct. Resolved by ECF 113. (HEREBY ORDERED by Magistrate Judge Ona T. Wang)(Text Only Order) (sfh)
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Filing 113
STIPULATION AND ORDER: NOW, THEREFORE, Mr. Sugarman and the Commission, by and through their respective attorneys, hereby stipulate and agree: Mr. Sugarman consents to the filing of the Proposed Amended Complaint. The Commission shall file its Amended Complaint in substantially the same form as the Proposed Amended Complaint within five days of the entry of the Order approving this Stipulation. Mr. Sugarman's deadline to answer the Proposed Amended Complaint shall be extended to January 16, 2023. If the parties are unable to submit a proposed consent judgment to the Court by the time Mr. Sugarman's responsive pleading is due and Mr. Sugarman files his responsive pleadingto the Amended Complaint, the parties shall submit a proposed revised Case Management Plan and Scheduling Order for the Court's review and approval within two weeks of the date Mr. Sugarman files his responsive pleading. (Signed by Magistrate Judge Ona T. Wang on 11/1/2022) (rro)
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Filing 112
PROPOSED STIPULATION AND ORDER. Document filed by Securities and Exchange Commission..(Brown, Nancy)
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LETTERS ROGATORY ISSUED on October 4, 2022 and picked up by U.S. Securities and Exchange Commission and to be served in Bermuda..(nd)
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Filing 111
ORDER ISSUING REQUESTS FOR INTERNATIONAL JUDICIAL ASSISTANCE FOR ORAL EXAMINATIONS AND THE PRODUCTION OF DOCUMENTS IN BERMUDA (LETTERS ROGATORY granting #108 Motion for Issuance of Letters Rogatory. IT IS HEREBY ORDERED: The Commission's Motion is GRANTED. This Court shall sign the Letters Rogatory attached to the Motion as Exhibits A, B and C and affix the seal of the United States District Court for the Southern District of New York over said signature in each of the Letters Rogatory. The Clerk of the Court is directed to return the original, signed Letters Rogatory to Mariel R. Bronen, Securities and Exchange Commission, 100 Pearl Street, Suite 20-100, New York, New York 10004, so that said documents may be transmitted to the Bermuda Supreme Court. Mariel R. Bronen of the Securities and Exchange Commission is directed to cause the transmittal of the original, signed Letters Rogatory to the Bermuda Supreme Court, Government Administration Building, 2nd Floor, 30 Parliament Street, Hamilton, Bermuda, together with a copy of the Commission's Complaint (ECF No. 6) and the Proposed Amended Complaint (ECF No. 94).. (Signed by Magistrate Judge Ona T. Wang on 9/23/2022) (rro) Transmission to Orders and Judgments Clerk for processing.
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Filing 110
STIPULATION AND ORDER: IT IS HEREBY STIPULATED AND AGREED, by and between Defendant Sugarman and the Commission, by and through their respective attorneys: Without waiving his objections to the Commission's characterization in its Letters Rogatory motion papers of the facts alleged in its Complaint and proposed Amended Complaint, Defendant Sugarman consents to the issuance of Letters Rogatory as sought by the Commission's Letters Rogatory motion. Defendant Sugarman and the Commission agree that no oral examination as contemplated in the Letters Rogatory motion shall occur prior to the Court's ruling on the Commission's Motion to Amend. (ECF No. 94). SO ORDERED. (Signed by Magistrate Judge Ona T. Wang on 9/23/2022) (rro)
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Filing 109
MEMORANDUM OF LAW in Support re: #108 CONSENT MOTION for Issuance of Letters Rogatory as to Valor Group, Ltd., David Ezekiel and Mark Waddington in Bermuda . . Document filed by Securities and Exchange Commission..(Bronen, Mariel)
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Filing 108
CONSENT MOTION for Issuance of Letters Rogatory as to Valor Group, Ltd., David Ezekiel and Mark Waddington in Bermuda . Document filed by Securities and Exchange Commission. (Attachments: #1 Text of Proposed Order Granting Motion for Letters Rogatory, #2 Exhibit A (Proposed Letter Rogatory - Valor Group, Ltd.), #3 Exhibit B (Proposed Letter Rogatory-David Ezekiel), #4 Exhibit C (Proposed Letter Rogatory - Mark Waddington)).(Bronen, Mariel)
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Filing 107
PROPOSED STIPULATION AND ORDER. Document filed by Securities and Exchange Commission..(Bronen, Mariel)
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Filing 106
MEMO ENDORSEMENT on re: #105 Letter, filed by Securities and Exchange Commission. ENDORSEMENT: Plaintiff may file their proposed motion by September 23, 2022. If the motion is on consent, the parties are directed to file a joint stipulation, also by September 23, 2022. ( Motions due by 9/23/2022.) (Signed by Magistrate Judge Ona T. Wang on 9/15/2022) (rro)
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Filing 105
LETTER addressed to Magistrate Judge Ona T. Wang from Mariel R. Bronen dated September 13, 2022 re: requesting a pre-motion conference regarding a proposed motion for the issuance of a request for international judicial assistance. Document filed by Securities and Exchange Commission..(Bronen, Mariel)
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Filing 104
ORDER: denying #100 Letter Motion to Compel. The Court has reviewed the parties' submissions regarding the SEC's initial disclosures. See ECF Nos.100 and 102. Defendant's motion to compel the SEC to revise its initial disclosures to include a list of witnesses is DENIED as premature. Witness lists are governed by Fed. R. Civ. P. 26(a)(3), not 26(a) (1). SO ORDERED. (Signed by Magistrate Judge Ona T. Wang on 8/10/2022) (ama)
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Filing 103
STIPULATION AND PROTECTIVE ORDER...regarding procedures to be followed that shall govern the handling of confidential material... (Signed by Magistrate Judge Ona T. Wang on 8/3/2022) (rro)
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Filing 102
LETTER RESPONSE in Opposition to Motion addressed to Magistrate Judge Ona T. Wang from Nancy A. Brown dated 08.03.2022 re: #100 LETTER MOTION to Compel SEC to Revise Initial Disclosures addressed to Magistrate Judge Ona T. Wang from Josh Podoll dated 7/29/2022. . Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit A).(Brown, Nancy)
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Filing 101
NOTICE OF APPEARANCE by Mariel Bronen on behalf of Securities and Exchange Commission..(Bronen, Mariel)
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Filing 100
LETTER MOTION to Compel SEC to Revise Initial Disclosures addressed to Magistrate Judge Ona T. Wang from Josh Podoll dated 7/29/2022. Document filed by Jason Sugarman. (Attachments: #1 Exhibit SEC's Initial Disclosures, #2 Exhibit Letter re SEC's Initial Disclosures).(Sochaczevski, Danielle)
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Filing 99
REPLY MEMORANDUM OF LAW in Support re: #94 MOTION to Amend/Correct #90 MOTION to Amend/Correct . . . Document filed by Securities and Exchange Commission..(Brown, Nancy)
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Filing 98
PROPOSED STIPULATION AND ORDER. Document filed by Securities and Exchange Commission..(Brown, Nancy)
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Filing 97
LETTER addressed to Magistrate Judge Ona T. Wang from Nancy A. Brown/Adam Harber dated 06.15.2022 re: Proposed Confidentiality Stipulation and Order. Document filed by Securities and Exchange Commission..(Brown, Nancy)
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Filing 96
MEMORANDUM OF LAW in Opposition re: #94 MOTION to Amend/Correct #90 MOTION to Amend/Correct . . . Document filed by Jason Sugarman..(Zinn, David)
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Filing 95
PROPOSED STIPULATION AND ORDER. Document filed by Securities and Exchange Commission..(Brown, Nancy)
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Filing 94
MOTION to Amend/Correct #90 MOTION to Amend/Correct . . Document filed by Securities and Exchange Commission..(Brown, Nancy)
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Filing 93
ORDER: The Court has received Plaintiff's May 26, 2022 motion to file an amended complaint. Dkt. No. 90. On April 10, 2022, the Court referred this case to the assigned magistrate judge for general pretrial and dispositive motions. Dkt. No. 74. The parties are reminded that all motions falling under those categories should be directed to the assigned magistrate judge. (Signed by Judge Gregory H. Woods on 5/27/2022) (ate)
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Filing 92
MEMORANDUM OF LAW in Support re: #90 MOTION to Amend/Correct . . Document filed by Securities and Exchange Commission..(Brown, Nancy)
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Filing 91
DECLARATION of Nancy A. Brown in Support re: #90 MOTION to Amend/Correct .. Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit A).(Brown, Nancy)
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Filing 90
FILING ERROR - DEFICIENT DOCKET ENTRY - (SEE DOCUMENT#94) MOTION to Amend/Correct . Document filed by Securities and Exchange Commission..(Brown, Nancy) Modified on 5/27/2022 (lb).
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Filing 89
ORDER granting #86 Motion to Withdraw as Attorney. IT IS HEREBY ORDERED that attorney Carol J. Pruski is granted leave to withdraw as counsel and will no longer receive docketing notifications via the ECF system for Defendant Jason Sugarman. IT IS FURTHER ORDERED that the Clerk of Court shall remove Carol J. Pruski from the list of counsel of record for Mr. Sugarman in this action. Attorney Carol Joan Pruski terminated. (Signed by Magistrate Judge Ona T. Wang on 5/19/2022) (ate)
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Filing 88
PROPOSED ORDER FOR WITHDRAWAL OF ATTORNEY. Document filed by Jason Sugarman. Related Document Number: #86 ..(Pruski, Carol)
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Filing 87
DECLARATION of Carol J. Pruski in Support re: #86 MOTION for Carol J. Pruski to Withdraw as Attorney .. Document filed by Jason Sugarman..(Pruski, Carol)
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Filing 86
MOTION for Carol J. Pruski to Withdraw as Attorney . Document filed by Jason Sugarman..(Pruski, Carol)
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Filing 85
STATUS REPORT. Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit A).(Brown, Nancy)
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Filing 84
NOTICE OF CHANGE OF ADDRESS by Adam Harber on behalf of Jason Sugarman. New Address: Williams & Connolly LLP, 680 Maine Avenue SW, Washington, DC, 20024, (202) 434-5000..(Harber, Adam)
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Filing 83
NOTICE OF CHANGE OF ADDRESS by Adam Joshua Podoll on behalf of Jason Sugarman. New Address: Williams & Connolly LLP, 680 Maine Avenue SW, Washington, DC, 20024, (202) 434-5000..(Podoll, Adam)
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Filing 82
NOTICE OF CHANGE OF ADDRESS by Amy McKinlay on behalf of Jason Sugarman. New Address: Williams & Connolly LLP, 680 Maine Avenue SW, Washington, DC, 20024, (202) 434-5000..(McKinlay, Amy)
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Filing 81
NOTICE OF CHANGE OF ADDRESS by David M. Zinn on behalf of Jason Sugarman. New Address: Williams & Connolly LLP, 680 Maine Avenue SW, Washington, DC, 20024, (202) 434-5000..(Zinn, David)
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Filing 80
ORDER granting #76 Motion for Danielle Sochaczevski to Appear Pro Hac Vice. (HEREBY ORDERED by Judge Gregory H. Woods)(Text Only Order) (wv)
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Filing 79
NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a CONFERENCE proceeding held on 4/13/22 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....(Moya, Goretti)
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Filing 78
TRANSCRIPT of Proceedings re: CONFERENCE held on 4/13/2022 before Judge Gregory H. Woods. Court Reporter/Transcriber: Sonya Ketter Moore, (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 5/23/2022. Redacted Transcript Deadline set for 6/2/2022. Release of Transcript Restriction set for 8/1/2022..(Moya, Goretti)
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Filing 77
ORDER Parties are directed to submit a joint discovery status letter by May 13, 2022. (HEREBY ORDERED by Magistrate Judge Ona T. Wang) (Text Only Order) (Quinn, Diane)
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>>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #76 MOTION for Danielle Sochaczevski to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-26026928. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (vba)
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Filing 76
MOTION for Danielle Sochaczevski to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-26026928. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Jason Sugarman..(Sochaczevski, Danielle)
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Minute Entry for proceedings held before Judge Gregory H. Woods: Telephone Conference held on 4/13/2022. (Court Reporter present) (wv)
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Filing 75
CIVIL CASE MANAGEMENT PLAN AND SCHEDULING ORDER: All parties do not consent to conducting all further proceedings before a United States Magistrate Judge, including motions and trial 28 U.S.C. 636(c). Any motion to amend or to join additional parties shall be filed within 45 days from the date of this Order. Deposition notices may be served beginning on July 27, 2022. The parties agree that each side may take 15 fact depositions. Motions for summary judgment, if any, shall be filed no later than April 18, 2023. The parties expect that this case is to be tried to a jury. A joint letter updating the Court on the status of the case shall be filed on ECF by March 21, 2023. Counsel for the parties have conferred and their present best estimate of the length of trial is three weeks for Plaintiff's case in chief (including cross-examinations), and two weeks for Defendant. The joint pretrial order shall be due no later than April 18, 2023, or if any dispositive motion is filed, 5 weeks from the Courts decision on such motion. SO ORDERED. Motions due by 4/18/2023. Deposition due by 11/8/2022. Fact Discovery due by 12/13/2022. Expert Discovery due by 3/14/2023. Pretrial Order due by 4/18/2023. Estimate length of trial 2-3 weeks. Status Conference set for 3/28/2023 at 04:00 PM before Judge Gregory H. Woods. (Signed by Judge Gregory H. Woods on 4/13/2022) (tg) Modified on 4/21/2022 (tg).
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Filing 74
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) and Dispositive Motion (i.e., motion requiring a Report and Recommendation) and All such motions. Referred to Magistrate Judge Ona T. Wang. (Signed by Judge Gregory H. Woods on 4/10/2022) (rro)
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Filing 73
LETTER addressed to Judge Gregory H. Woods from Nancy A. Brown/David M. Zinn dated 04.06.2022 re: Initial Pretrial Conference Letter. Document filed by Securities and Exchange Commission..(Brown, Nancy)
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Filing 72
NOTICE OF INITIAL PRETRIAL CONFERENCE: The conference will be conducted by telephone. The parties are directed to the Court's Emergency Rules in Light of COVID-19, which are available on the Court's website, for the dial-in number and other instructions. The parties are specifically directed to comply with Rule 2(C) of the Court's Emergency Rules. Initial Conference set for 4/13/2022 at 03:00 PM before Judge Gregory H. Woods. (Signed by Judge Gregory H. Woods on 3/2/2022) (tg)
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Filing 71
STATUS REPORT. Document filed by Securities and Exchange Commission..(Brown, Nancy)
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Filing 70
MEMO ENDORSEMENT on re: #69 Status Report filed by Securities and Exchange Commission. ENDORSEMENT: The parties request to submit a joint status report by March 1, 2022 is granted. (Signed by Judge Gregory H. Woods on 1/18/2022) (rro)
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Filing 69
STATUS REPORT. Document filed by Securities and Exchange Commission..(Brown, Nancy)
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Filing 68
ORDER. The Court has received the parties' December 1, 2021 joint status report. Dkt. No. 67. As requested in that report, the parties are directed to submit a letter no later than January 18, 2022 setting out their positions regarding ongoing discovery in this matter and /or the date by which they will be prepared to submit a proposed scheduling order and case management plan. (HEREBY ORDERED by Judge Gregory H. Woods) (Text Only Order) (wv)
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Filing 67
STATUS REPORT. Document filed by Securities and Exchange Commission..(Brown, Nancy)
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Filing 66
ORDER granting #65 . The parties' November 23, 2021 joint request for an extension to file a letter regarding the status of this matter, Dkt. No. 65, is granted. The letter is due no later than December 1, 2021. (HEREBY ORDERED by Judge Gregory H. Woods)(Text Only Order) (wv)
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Filing 65
JOINT LETTER MOTION for Extension of Time to File Status Report addressed to Judge Gregory H. Woods from Adam D. Harber and Nancy A. Brown dated November 23, 2021. Document filed by Jason Sugarman..(Harber, Adam)
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Filing 64
ORDER. On August 16, 2021, the Securities and Exchange Commission ("SEC") informed the Court, among other things, that Mr. Devon D. Archer had filed a petition for certiorari in a related criminal matter involving the fraud alleged in the SEC's complaint. See Dkt. No. 268. On November 1, 2021, the Supreme Court denied Mr. Archer's petition. See Order List, United States Supreme Court (Nov. 1, 2021). Accordingly, the parties are directed to file a joint letter updating the Court on the status of this case, including the parties' plans for proceeding, no later than November 23, 2021. (HEREBY ORDERED by Judge Gregory H. Woods) (Text Only Order) (wv)
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Filing 63
STATUS REPORT. Document filed by Securities and Exchange Commission..(Brown, Nancy)
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Filing 62
ORDER. This case was recently reassigned to me. The parties in this case are directed to submit a joint status letter regarding this case to the Court no later than August 16, 2021. The letter should describe the current status of the case, any pending applications or motions before the Court, and the parties' respective proposals regarding appropriate steps in the case going forward. (HEREBY ORDERED by Judge Gregory H. Woods) (Text Only Order) (Woods, Gregory)
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NOTICE OF CASE REASSIGNMENT to Judge Gregory H. Woods. Judge William H. Pauley, III is no longer assigned to the case. (sjo)
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Filing 61
DIRECTION TO THE BAR AND INTERIM ORDER OF REFERENCE: IT IS HEREBY ORDERED THAT, pending the reassignment of Judge Pauley's civil cases, all appearances that were scheduled before Judge Pauley are adjourned. Urgent matters should be taken either to the Magistrate Judge to whom the case has been referred or to the District Judge sitting in Part I. In cases in which Judge Pauley did not sign an order of reference, this order operates as an interim order of reference to the Magistrate Judge for general pre-trial supervision. Routine case management requests (such as, for extension of time) should be directed to the Magistrate Judge, not to the Part I Judge. (Signed by Judge Laura Taylor Swain on 7/13/2021) (mml)
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Filing 60
STATUS REPORT. Document filed by Securities and Exchange Commission..(Brown, Nancy)
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Filing 59
ANSWER to #6 Complaint. Document filed by Jason Sugarman..(Harber, Adam)
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Filing 58
ORDER: The parties shall file a joint statement regarding the status of this matter and the ongoing discovery stay by November 20, 2020. SO ORDERED. (Signed by Judge William H. Pauley, III on 10/14/2020) (kv)
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Filing 57
STIPULATION AND ORDER CONCERNING ANSWER DEADLINE, NOW, THEREFORE, Mr. Sugarman and the Commission, by and through their respective attorneys, hereby stipulate and agree that Mr. Sugarman's deadline to answer the SEC's Complaint shall be extended by one month to Friday, November 13. SO ORDERED. Jason Sugarman answer due 11/13/2020. (Signed by Judge William H. Pauley, III on 10/8/2020) (kv)
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Filing 56
PROPOSED STIPULATION AND ORDER. Document filed by Jason Sugarman..(Podoll, Adam)
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Filing 55
OPINION AND ORDER re: #38 MOTION to Dismiss Complaint. filed by Jason Sugarman. For the foregoing reasons, Sugarman's motion to dismiss is denied. The Clerk of Court is directed to terminate the motion pending at ECF No. 38. SO ORDERED. (Signed by Judge William H. Pauley, III on 9/30/2020) (kv)
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Filing 54
STIPULATION AND ORDER GOVERNING PRESERVATION OF DOCUMENTS. NOW, THEREFORE, Mr. Sugarman and the Commission, by and through their respective attorneys, hereby stipulate and agree: 1. Mr. Sugarman agrees to continue to furnish the costs of preserving the Hard Drives through engagement of the services of FTI Consulting until such time as this matter is resolved by final Order of dismissal or final Judgment, or further Order of the Court. 2. Should there come a time during the period when the Stay Order is in effect when Mr. Sugarman wishes to relieve himself of the obligation to furnish the costs of maintaining the White Documents under this Stipulation and Order, he shall provide Commission counsel three weeks notice of his intention and the grounds therefore so the Commission may petition the Court for relief, if appropriate. SO ORDERED. (Signed by Judge William H. Pauley, III on 7/15/20) (yv)
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Filing 53
PROPOSED STIPULATION AND ORDER. Document filed by Securities and Exchange Commission..(Brown, Nancy)
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Filing 52
TRANSCRIPT of Proceedings re: CONFERENCE held on 2/6/2020 before Judge William H. Pauley, III. Court Reporter/Transcriber: Martha Martin, (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 3/24/2020. Redacted Transcript Deadline set for 4/3/2020. Release of Transcript Restriction set for 6/1/2020..(McGuirk, Kelly)
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Minute Entry for proceedings held before Judge William H. Pauley, III: Oral Argument held on 2/6/2020 re: #51 Order on Motion to Adjourn Conference, #50 LETTER MOTION to Adjourn Conference addressed to Judge William H. Pauley, III from Nancy A. Brown dated 01.30.2020. filed by Securities and Exchange Commission, #32 Scheduling Order,,.
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Filing 51
ORDER granting #50 Letter Motion to Adjourn Conference: Application granted. The oral argument scheduled for January 31, 2020 is rescheduled to February 6, 2020 at 11:00 a.m. (Oral Argument set for 2/6/2020 at 11:00 AM before Judge William H. Pauley III.) (Signed by Judge William H. Pauley, III on 1/30/2020) (jwh)
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Filing 50
LETTER MOTION to Adjourn Conference addressed to Judge William H. Pauley, III from Nancy A. Brown dated 01.30.2020. Document filed by Securities and Exchange Commission.(Brown, Nancy)
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Filing 49
STIPULATION AND ORDER GOVERNING PRESERVATION OF DOCUMENTS: Now, therefore, the Camden Entities and the Commission, hereby stipulate and agree: 1. During such time as the Stay order is in effect, the Camden Entities will act in good faith to preserve all documents in its possession that contain the search terms (the "Preservation Terms"), attached hereto in Exhibit A. 2. The parties agree that the Camden Entities' maintenance of documents containing the Preservation Terms is not an agreement that such documents are relevant or would be within the scope of a reasonable Rule 45 subpoena in this matter. Rather, the parties expressly agree to reserve all rights concerning the appropriate scope of any subpoena issued by the Commission. 3. After the Stay Order is lifted, the parties will act in good faith and in accordance with the applicable Rules of Civil Procedure. 4. In the event that, during the time Stay Order is in effect, the Camden Entities wish to relieve themselves of the obligation to maintain Documents under this Stipulation and Order, then they shall provide Commission counsel three weeks' notice of their intention to seek such relief and the grounds therefore prior to petitioning the Court for such relief. So Ordered. (Signed by Judge William H. Pauley, III on 1/29/2020) (js)
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Filing 48
PROPOSED STIPULATION AND ORDER. Document filed by Securities and Exchange Commission. (Brown, Nancy)
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Filing 47
LETTER addressed to Judge William H. Pauley, III from David M. Zinn dated January 7, 2020 re: Motion Papers (Pursuant to Individual Rule of Practice III.F). Document filed by Jason Sugarman.(Zinn, David)
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Filing 46
DECLARATION of David M. Zinn in Support re: #38 MOTION to Dismiss Complaint.. Document filed by Jason Sugarman. (Attachments: #1 Exhibit D, #2 Exhibit E)(Zinn, David)
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Filing 45
REPLY MEMORANDUM OF LAW in Support re: #38 MOTION to Dismiss Complaint. . Document filed by Jason Sugarman. (Zinn, David)
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Filing 44
LETTER addressed to Judge William H. Pauley, III from Jorge G. Tenreiro dated 12/20/2019 re: Cover Letter to Courtesy Copies. Document filed by Securities and Exchange Commission.(Tenreiro, Jorge)
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Filing 43
DECLARATION of Jorge G. Tenreiro in Opposition re: #38 MOTION to Dismiss Complaint.. Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit A)(Tenreiro, Jorge)
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Filing 42
MEMORANDUM OF LAW in Opposition re: #38 MOTION to Dismiss Complaint. . Document filed by Securities and Exchange Commission. (Tenreiro, Jorge)
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Filing 41
PROPOSED STIPULATION AND ORDER. Document filed by Securities and Exchange Commission. (Brown, Nancy)
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Filing 40
DECLARATION of David M. Zinn in Support re: #38 MOTION to Dismiss Complaint.. Document filed by Jason Sugarman. (Attachments: #1 Exhibit A, #2 Exhibit B, #3 Exhibit C)(Zinn, David)
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Filing 39
MEMORANDUM OF LAW in Support re: #38 MOTION to Dismiss Complaint. . Document filed by Jason Sugarman. (Zinn, David)
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Filing 38
MOTION to Dismiss Complaint. Document filed by Jason Sugarman.(Zinn, David)
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Filing 37
NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a CONFERENCE proceeding held on 10/11/19 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)
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Filing 36
TRANSCRIPT of Proceedings re: CONFERNECE held on 10/11/2019 before Judge William H. Pauley, III. Court Reporter/Transcriber: Raquel Robles, (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 11/19/2019. Redacted Transcript Deadline set for 11/29/2019. Release of Transcript Restriction set for 1/27/2020.(McGuirk, Kelly)
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Filing 35
STIPULATION AND ORDER GOVERNING PRESERVATION OF DOCUMENTS: NOW, THEREFORE, Valor and Ezekiel, and the Commission, by and through their respective attorneys, hereby stipulate and agree: 1. Ezekiel and Valor consent to the jurisdiction of this Court for the purposes of enforcing the terms of this Stipulation and Order, and each agrees to accept service of process in connection with the enforcement of this Stipulation and Order through Schiff Hardin LLP, and as further set forth in this stipulation. (Signed by Judge William H. Pauley, III on 10/18/2019) (jwh)
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Filing 34
PROPOSED STIPULATION AND ORDER. Document filed by Securities and Exchange Commission. (Tenreiro, Jorge)
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Filing 33
FILING ERROR - DEFICIENT DOCKET ENTRY (SEE #34 Proposed Stipulation and Order) - PROPOSED STIPULATION AND ORDER. Document filed by Securities and Exchange Commission. (Tenreiro, Jorge) Modified on 10/21/2019 (db).
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Filing 32
SCHEDULING ORDER: The parties appeared for a pre-motion conference on October 11, 2019 and this Court adopted the following schedule on consent: 1. Defendant shall file any motion to dismiss by November 12, 2019. 2. The SEC shall file any opposition papers by December 20, 2019. 3. Defendant shall file any reply by January 7, 2020. 4. The parties shall appear for oral argument on January 31, 2020 at 12:00 p.m. Motions due by 11/12/2019. Responses due by 12/20/2019 Replies due by 1/7/2020. Oral Argument set for 1/31/2020 at 12:00 PM before Judge William H. Pauley III. (Signed by Judge William H. Pauley, III on 10/15/2019) (mro)
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Filing 31
NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a CONFERENCE proceeding held on 10/11/19 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)
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Filing 30
TRANSCRIPT of Proceedings re: CONFERENCE held on 10/11/2019 before Judge William H. Pauley, III. Court Reporter/Transcriber: Raquel Robles, (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 11/5/2019. Redacted Transcript Deadline set for 11/15/2019. Release of Transcript Restriction set for 1/13/2020.(McGuirk, Kelly)
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Minute Entry for proceedings held before Judge William H. Pauley, III: Pre-Motion Conference held on 10/11/2019.
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Filing 29
NOTICE OF APPEARANCE by Jorge Gerardo Tenreiro on behalf of Securities and Exchange Commission. (Tenreiro, Jorge)
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Filing 28
ORDER granting #26 Letter Motion for Conference. This Court schedules a pre-motion conference on October 11, 2019 at 12:00 p.m. to discus Defendant's proposed motion to dismiss. So Ordered. (Pre-Motion Conference set for 10/11/2019 at 12:00 PM before Judge William H. Pauley III.) (Signed by Judge William H. Pauley, III on 9/12/19) (yv)
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Filing 27
LETTER addressed to Judge William H. Pauley, III from Tejal D. Shah dated September 10, 2019 re: Sugarman's request for a pre-motion conference. Document filed by Securities and Exchange Commission.(Shah, Tejal)
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Filing 26
LETTER MOTION for Conference to Discuss Proposed Motion To Dismiss addressed to Judge William H. Pauley, III from David M. Zinn dated September 3, 2019. Document filed by Jason Sugarman.(Zinn, David)
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Filing 25
ORDER granting #22 MOTION to Intervene and Stay Discovery. Accordingly, the Governments motion to intervene is granted. The Governments request for a discovery stay is granted in part and denied in part. All discovery is stayed except to the extent the SEC seeks to preserve documents in the possession of third parties. (See ECF No. 23.) The discovery stay will be effective until judgments are entered in the Criminal Action or the charges against Defendants Archer and Morton are dismissed. The initial pre-trial conference scheduled for August 15, 2019 at 11:00 a.m. is adjourned sine die. The Government is directed to provide a status report on the Criminal Action onFebruary 13, 2020. In the event that the Criminal Action is terminated prior to that time, the Government is to notify this Court and the parties forthwith. SO ORDERED.. (Signed by Judge William H. Pauley, III on 8/13/2019) (jca)
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Filing 24
LETTER addressed to Judge William H. Pauley, III from David Zinn dated August 12, 2019 re: Dkt. 23 (SEC's Response to USAO's Motion to Intervene and Stay Discovery). Document filed by Jason Sugarman.(Zinn, David)
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Filing 23
RESPONSE to Motion re: #22 MOTION to Intervene and Stay Discovery. . Document filed by Securities and Exchange Commission. (Brown, Nancy)
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Filing 22
MOTION to Intervene and Stay Discovery. Document filed by United States Attorney's Office, Southern District of New York. (Attachments: #1 Memorandum of Law, #2 Proposed Order)(Tekeei, Negar)
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Filing 21
NOTICE OF APPEARANCE by Negar Tekeei on behalf of United States Attorney's Office, Southern District of New York. (Tekeei, Negar)
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Filing 20
RULE 26(f) DISCOVERY PLAN REPORT.Document filed by Securities and Exchange Commission.(Brown, Nancy)
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Filing 19
ORDER FOR ADMISSION PRO HAC VICE: granting #14 Motion for Adam D. Harber to Appear Pro Hac Vice. SO ORDERED. (Signed by Judge William H. Pauley, III on 8/08/2019) (ama)
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Filing 18
ORDER FOR ADMISSION PRO HAC VICE: granting #12 Motion for Carol J. Pruski to Appear Pro Hac Vice. SO ORDERED. (Signed by Judge William H. Pauley, III on 8/08/2019) (ama)
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Filing 17
ORDER FOR ADMISSION PRO HAC VICE: granting #11 Motion for Adam Joshua Podoll to Appear Pro Hac Vice. SO ORDERED. (Signed by Judge William H. Pauley, III on 8/08/2019) (ama)
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Filing 16
ORDER FOR ADMISSION PRO HAC VICE granting #10 Motion for Amy B. McKinlay to Appear Pro Hac Vice. (Signed by Judge William H. Pauley, III on 8/8/2019) (rro)
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Filing 15
ORDER FOR ADMISSION PRO HAC VICE granting #9 Motion for David M. Zinn to Appear Pro Hac Vice. (Signed by Judge William H. Pauley, III on 8/8/2019) (rro)
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Filing 14
MOTION for Adam D. Harber to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-17389517. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Jason Sugarman. (Attachments: #1 Certificates of Good Standing, #2 Affidavit, #3 Text of Proposed Order)(Harber, Adam)
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>>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #14 MOTION for Adam D. Harber to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-17389517. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (wb)
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Filing 13
LETTER MOTION to Adjourn Conference addressed to Judge William H. Pauley, III from David M. Zinn dated August 6, 2019. Document filed by Jason Sugarman.(Zinn, David)
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Filing 12
MOTION for Carol J. Pruski to Appear Pro Hac Vice Filing Fee $200, Receipt Number ANYSDC-17381234. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Jason Sugarman. (Attachments: #1 Certificates of Good Standing, #2 Affidavit, #3 Text of Proposed Order)(Pruski, Carol)
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Filing 11
MOTION for Adam Joshua Podoll to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-17380676. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Jason Sugarman. (Attachments: #1 Affidavit Affidavit in Support of Motion to Appear Pro Hac Vice, #2 Exhibit Certificates of Good Standing, #3 Text of Proposed Order Text of Proposed Order)(Podoll, Adam)
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Filing 10
MOTION for Amy B. McKinlay to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-17379675. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Jason Sugarman. (Attachments: #1 Certificates of Good Standing, #2 Affidavit, #3 Text of Proposed Order)(McKinlay, Amy)
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Filing 9
MOTION for David M. Zinn to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-17379476. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Jason Sugarman. (Attachments: #1 Certificates of Good Standing, #2 Affidavit, #3 Text of Proposed Order)(Zinn, David)
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>>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #12 MOTION for Carol J. Pruski to Appear Pro Hac Vice Filing Fee $200, Receipt Number ANYSDC-17381234. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (wb)
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>>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #10 MOTION for Amy B. McKinlay to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-17379675. Motion and supporting papers to be reviewed by Clerk's Office staff., #9 MOTION for David M. Zinn to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-17379476. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (wb)
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>>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #11 MOTION for Adam Joshua Podoll to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-17380676. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (wb)
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Filing 8
WAIVER OF SERVICE RETURNED EXECUTED. Jason Sugarman waiver sent on 7/2/2019, answer due 9/3/2019. Document filed by Securities and Exchange Commission. (Brown, Nancy)
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Filing 7
ORDER FOR INITIAL PRETRIAL CONFERENCE: Initial Conference set for 8/15/2019 at 11:00 AM in Courtroom 20B, 500 Pearl Street, New York, NY 10007 before Judge William H. Pauley III, as further set forth in this order. (Signed by Judge William H. Pauley, III on 7/8/2019) (jwh)
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CASE ACCEPTED AS RELATED. Create association to 1:16-cv-03505-WHP-OTW. Notice of Assignment to follow. (ad)
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Magistrate Judge Ona T. Wang 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. (ad)
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NOTICE OF CASE REASSIGNMENT to Judge William H. Pauley, III. Judge Unassigned is no longer assigned to the case. (ad)
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Filing 6
COMPLAINT against Jason Sugarman. Document filed by Securities and Exchange Commission.(Wadhwa, Sanjay)
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***NOTICE TO ATTORNEY REGARDING DEFICIENT PLEADING. Notice to Attorney Nancy A Brown to RE-FILE Document No. #1 Complaint. The filing is deficient for the following reason(s): the pleading was not signed by the filing attorney. 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. (dnh)
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Case Designated ECF. (dnh)
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CASE OPENING INITIAL ASSIGNMENT NOTICE: The above-entitled action is assigned to Judge Unassigned. (dnh)
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CASE REFERRED TO Judge William H. Pauley as possibly related to 1:16-cv-03505-WHP-OTW. (dnh)
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Filing 5
RELATED CASE AFFIRMATION of Sanjay Wadhwa re: that this action be filed as related to 16-cv-3505. Document filed by Securities and Exchange Commission.(Brown, Nancy)
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Filing 4
NOTICE OF APPEARANCE by Tejal Deenesh Shah on behalf of Securities and Exchange Commission. (Shah, Tejal)
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Filing 3
NOTICE OF APPEARANCE by Nancy A Brown on behalf of Securities and Exchange Commission. (Brown, Nancy)
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Filing 2
CIVIL COVER SHEET filed. (Brown, Nancy)
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Filing 1
FILING ERROR - DEFICIENT PLEADING - SIGNATURE ERROR - COMPLAINT against Jason Sugarman. Document filed by Securities and Exchange Commission.(Brown, Nancy) Modified on 6/27/2019 (dnh).
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