Securities and Exchange Commission v. Sugarman
Plaintiff: Securities and Exchange Commission
Defendant: Jason Sugarman
Intervenor Plaintiff: United States Attorney's Office, Southern District of New York
Case Number: 1:2019cv05998
Filed: June 26, 2019
Court: US District Court for the Southern District of New York
Presiding Judge: William H Pauley
Referring Judge: Ona T Wang
2 Judge: Gregory H Woods
Nature of Suit: Securities/Commodities
Cause of Action: 15 U.S.C. ยง 77 Securities Fraud
Jury Demanded By: Plaintiff
Docket Report

This docket was last retrieved on June 12, 2023. A more recent docket listing may be available from PACER.

Date Filed Document Text
June 12, 2023 Opinion or Order 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)
June 12, 2023 Opinion or Order Filing 130 PROPOSED ORDER FOR WITHDRAWAL OF ATTORNEY. Document filed by Jason Sugarman. Related Document Number: #128 ..(Zinn, David)
June 12, 2023 Opinion or Order 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)
June 12, 2023 Opinion or Order 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)
June 7, 2023 Opinion or Order 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)
June 7, 2023 Opinion or Order 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)
June 7, 2023 Opinion or Order >>>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)
June 6, 2023 Opinion or Order >>>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)
June 6, 2023 Opinion or Order >>>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)
June 5, 2023 Opinion or Order 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).
May 31, 2023 Opinion or Order 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).
May 31, 2023 Opinion or Order >>>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)
April 7, 2023 Opinion or Order Filing 123 NOTICE OF APPEARANCE by Adam Seth. Grace on behalf of Securities and Exchange Commission..(Grace, Adam)
March 17, 2023 Opinion or Order Filing 122 NOTICE OF APPEARANCE by Maureen Peyton King on behalf of Securities and Exchange Commission..(King, Maureen)
January 13, 2023 Opinion or Order 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)
January 12, 2023 Opinion or Order 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)
January 10, 2023 Opinion or Order 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)
January 10, 2023 Opinion or Order 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)
January 10, 2023 Opinion or Order Filing 117 PROPOSED JUDGMENT. Document filed by Securities and Exchange Commission..(Brown, Nancy) Proposed Judgment to be reviewed by Clerk's Office staff.
January 10, 2023 Opinion or Order ***NOTICE TO COURT REGARDING PROPOSED JUDGMENT. Document No. #117 Proposed Judgment was reviewed and approved as to form. (km)
January 10, 2023 Opinion or Order Terminate Transcript Deadlines (ama)
November 2, 2022 Opinion or Order Filing 116 STATUS REPORT. Document filed by Securities and Exchange Commission..(Brown, Nancy)
November 2, 2022 Opinion or Order 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)
November 1, 2022 Opinion or Order 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)
November 1, 2022 Opinion or Order 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)
October 31, 2022 Opinion or Order Filing 112 PROPOSED STIPULATION AND ORDER. Document filed by Securities and Exchange Commission..(Brown, Nancy)
October 4, 2022 Opinion or Order LETTERS ROGATORY ISSUED on October 4, 2022 and picked up by U.S. Securities and Exchange Commission and to be served in Bermuda..(nd)
September 23, 2022 Opinion or Order 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.
September 23, 2022 Opinion or Order 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)
September 22, 2022 Opinion or Order 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)
September 22, 2022 Opinion or Order 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)
September 22, 2022 Opinion or Order Filing 107 PROPOSED STIPULATION AND ORDER. Document filed by Securities and Exchange Commission..(Bronen, Mariel)
September 15, 2022 Opinion or Order 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)
September 13, 2022 Opinion or Order 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)
August 10, 2022 Opinion or Order 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)
August 3, 2022 Opinion or Order 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)
August 3, 2022 Opinion or Order 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)
August 1, 2022 Opinion or Order Filing 101 NOTICE OF APPEARANCE by Mariel Bronen on behalf of Securities and Exchange Commission..(Bronen, Mariel)
July 29, 2022 Opinion or Order 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)
June 16, 2022 Opinion or Order 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)
June 15, 2022 Opinion or Order Filing 98 PROPOSED STIPULATION AND ORDER. Document filed by Securities and Exchange Commission..(Brown, Nancy)
June 15, 2022 Opinion or Order 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)
June 9, 2022 Opinion or Order 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)
June 9, 2022 Opinion or Order Filing 95 PROPOSED STIPULATION AND ORDER. Document filed by Securities and Exchange Commission..(Brown, Nancy)
May 27, 2022 Opinion or Order Filing 94 MOTION to Amend/Correct #90 MOTION to Amend/Correct . . Document filed by Securities and Exchange Commission..(Brown, Nancy)
May 27, 2022 Opinion or Order 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)
May 26, 2022 Opinion or Order Filing 92 MEMORANDUM OF LAW in Support re: #90 MOTION to Amend/Correct . . Document filed by Securities and Exchange Commission..(Brown, Nancy)
May 26, 2022 Opinion or Order 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)
May 26, 2022 Opinion or Order 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).
May 19, 2022 Opinion or Order 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)
May 17, 2022 Opinion or Order Filing 88 PROPOSED ORDER FOR WITHDRAWAL OF ATTORNEY. Document filed by Jason Sugarman. Related Document Number: #86 ..(Pruski, Carol)
May 17, 2022 Opinion or Order 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)
May 17, 2022 Opinion or Order Filing 86 MOTION for Carol J. Pruski to Withdraw as Attorney . Document filed by Jason Sugarman..(Pruski, Carol)
May 13, 2022 Opinion or Order Filing 85 STATUS REPORT. Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit A).(Brown, Nancy)
May 3, 2022 Opinion or Order 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)
May 3, 2022 Opinion or Order 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)
May 3, 2022 Opinion or Order 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)
May 3, 2022 Opinion or Order 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)
May 2, 2022 Opinion or Order 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)
May 2, 2022 Opinion or Order 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)
May 2, 2022 Opinion or Order 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)
April 26, 2022 Opinion or Order 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)
April 20, 2022 Opinion or Order >>>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)
April 19, 2022 Opinion or Order 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)
April 13, 2022 Opinion or Order Minute Entry for proceedings held before Judge Gregory H. Woods: Telephone Conference held on 4/13/2022. (Court Reporter present) (wv)
April 13, 2022 Opinion or Order 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).
April 10, 2022 Opinion or Order 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)
April 6, 2022 Opinion or Order 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)
March 2, 2022 Opinion or Order 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)
March 1, 2022 Opinion or Order Filing 71 STATUS REPORT. Document filed by Securities and Exchange Commission..(Brown, Nancy)
January 18, 2022 Opinion or Order 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)
January 18, 2022 Opinion or Order Filing 69 STATUS REPORT. Document filed by Securities and Exchange Commission..(Brown, Nancy)
December 2, 2021 Opinion or Order 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)
December 1, 2021 Opinion or Order Filing 67 STATUS REPORT. Document filed by Securities and Exchange Commission..(Brown, Nancy)
November 23, 2021 Opinion or Order 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)
November 23, 2021 Opinion or Order 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)
November 16, 2021 Opinion or Order 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)
August 16, 2021 Opinion or Order Filing 63 STATUS REPORT. Document filed by Securities and Exchange Commission..(Brown, Nancy)
July 28, 2021 Opinion or Order 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)
July 28, 2021 Opinion or Order NOTICE OF CASE REASSIGNMENT to Judge Gregory H. Woods. Judge William H. Pauley, III is no longer assigned to the case. (sjo)
July 13, 2021 Opinion or Order 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)
November 20, 2020 Opinion or Order Filing 60 STATUS REPORT. Document filed by Securities and Exchange Commission..(Brown, Nancy)
November 13, 2020 Opinion or Order Filing 59 ANSWER to #6 Complaint. Document filed by Jason Sugarman..(Harber, Adam)
October 14, 2020 Opinion or Order 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)
October 8, 2020 Opinion or Order 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)
October 7, 2020 Opinion or Order Filing 56 PROPOSED STIPULATION AND ORDER. Document filed by Jason Sugarman..(Podoll, Adam)
September 30, 2020 Opinion or Order 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)
July 15, 2020 Opinion or Order 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)
July 14, 2020 Opinion or Order Filing 53 PROPOSED STIPULATION AND ORDER. Document filed by Securities and Exchange Commission..(Brown, Nancy)
March 3, 2020 Opinion or Order 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)
February 6, 2020 Opinion or Order 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,,.
January 30, 2020 Opinion or Order 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)
January 30, 2020 Opinion or Order 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)
January 29, 2020 Opinion or Order 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)
January 24, 2020 Opinion or Order Filing 48 PROPOSED STIPULATION AND ORDER. Document filed by Securities and Exchange Commission. (Brown, Nancy)
January 7, 2020 Opinion or Order 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)
January 7, 2020 Opinion or Order 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)
January 7, 2020 Opinion or Order Filing 45 REPLY MEMORANDUM OF LAW in Support re: #38 MOTION to Dismiss Complaint. . Document filed by Jason Sugarman. (Zinn, David)
December 20, 2019 Opinion or Order 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)
December 20, 2019 Opinion or Order 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)
December 20, 2019 Opinion or Order Filing 42 MEMORANDUM OF LAW in Opposition re: #38 MOTION to Dismiss Complaint. . Document filed by Securities and Exchange Commission. (Tenreiro, Jorge)
December 11, 2019 Opinion or Order Filing 41 PROPOSED STIPULATION AND ORDER. Document filed by Securities and Exchange Commission. (Brown, Nancy)
November 12, 2019 Opinion or Order 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)
November 12, 2019 Opinion or Order Filing 39 MEMORANDUM OF LAW in Support re: #38 MOTION to Dismiss Complaint. . Document filed by Jason Sugarman. (Zinn, David)
November 12, 2019 Opinion or Order Filing 38 MOTION to Dismiss Complaint. Document filed by Jason Sugarman.(Zinn, David)
October 29, 2019 Opinion or Order 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)
October 29, 2019 Opinion or Order 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)
October 18, 2019 Opinion or Order 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)
October 17, 2019 Opinion or Order Filing 34 PROPOSED STIPULATION AND ORDER. Document filed by Securities and Exchange Commission. (Tenreiro, Jorge)
October 16, 2019 Opinion or Order 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).
October 15, 2019 Opinion or Order 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)
October 15, 2019 Opinion or Order 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)
October 15, 2019 Opinion or Order 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)
October 11, 2019 Opinion or Order Minute Entry for proceedings held before Judge William H. Pauley, III: Pre-Motion Conference held on 10/11/2019.
September 13, 2019 Opinion or Order Filing 29 NOTICE OF APPEARANCE by Jorge Gerardo Tenreiro on behalf of Securities and Exchange Commission. (Tenreiro, Jorge)
September 12, 2019 Opinion or Order 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)
September 10, 2019 Opinion or Order 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)
September 3, 2019 Opinion or Order 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)
August 13, 2019 Opinion or Order 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)
August 12, 2019 Opinion or Order 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)
August 9, 2019 Opinion or Order Filing 23 RESPONSE to Motion re: #22 MOTION to Intervene and Stay Discovery. . Document filed by Securities and Exchange Commission. (Brown, Nancy)
August 9, 2019 Opinion or Order 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)
August 9, 2019 Opinion or Order Filing 21 NOTICE OF APPEARANCE by Negar Tekeei on behalf of United States Attorney's Office, Southern District of New York. (Tekeei, Negar)
August 8, 2019 Opinion or Order Filing 20 RULE 26(f) DISCOVERY PLAN REPORT.Document filed by Securities and Exchange Commission.(Brown, Nancy)
August 8, 2019 Opinion or Order 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)
August 8, 2019 Opinion or Order 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)
August 8, 2019 Opinion or Order 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)
August 8, 2019 Opinion or Order 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)
August 8, 2019 Opinion or Order 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)
August 7, 2019 Opinion or Order 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)
August 7, 2019 Opinion or Order >>>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)
August 6, 2019 Opinion or Order 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)
August 6, 2019 Opinion or Order 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)
August 6, 2019 Opinion or Order 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)
August 6, 2019 Opinion or Order 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)
August 6, 2019 Opinion or Order 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)
August 6, 2019 Opinion or Order >>>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)
August 6, 2019 Opinion or Order >>>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)
August 6, 2019 Opinion or Order >>>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)
July 10, 2019 Opinion or Order 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)
July 8, 2019 Opinion or Order 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)
July 2, 2019 Opinion or Order CASE ACCEPTED AS RELATED. Create association to 1:16-cv-03505-WHP-OTW. Notice of Assignment to follow. (ad)
July 2, 2019 Opinion or Order 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)
July 2, 2019 Opinion or Order NOTICE OF CASE REASSIGNMENT to Judge William H. Pauley, III. Judge Unassigned is no longer assigned to the case. (ad)
June 27, 2019 Opinion or Order Filing 6 COMPLAINT against Jason Sugarman. Document filed by Securities and Exchange Commission.(Wadhwa, Sanjay)
June 27, 2019 Opinion or Order ***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)
June 27, 2019 Opinion or Order Case Designated ECF. (dnh)
June 27, 2019 Opinion or Order CASE OPENING INITIAL ASSIGNMENT NOTICE: The above-entitled action is assigned to Judge Unassigned. (dnh)
June 27, 2019 Opinion or Order CASE REFERRED TO Judge William H. Pauley as possibly related to 1:16-cv-03505-WHP-OTW. (dnh)
June 26, 2019 Opinion or Order 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)
June 26, 2019 Opinion or Order Filing 4 NOTICE OF APPEARANCE by Tejal Deenesh Shah on behalf of Securities and Exchange Commission. (Shah, Tejal)
June 26, 2019 Opinion or Order Filing 3 NOTICE OF APPEARANCE by Nancy A Brown on behalf of Securities and Exchange Commission. (Brown, Nancy)
June 26, 2019 Opinion or Order Filing 2 CIVIL COVER SHEET filed. (Brown, Nancy)
June 26, 2019 Opinion or Order 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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Defendant: Jason Sugarman
Represented By: Adam Harber
Represented By: Amy McKinlay
Represented By: Adam Joshua Podoll
Represented By: Carol Joan Pruski
Represented By: David M. Zinn
Represented By: Danielle Sochaczevski
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Plaintiff: Securities and Exchange Commission
Represented By: Nancy A Brown
Represented By: Tejal Deenesh Shah
Represented By: Sanjay Wadhwa
Represented By: Jorge Gerardo Tenreiro
Represented By: Mariel Bronen
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Intervenor plaintiff: United States Attorney's Office, Southern District of New York
Represented By: Negar Tekeei
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