State of New York et al v. United States Securities and Exchange Commission et al
| District of Columbia, State of Maine, State of Connecticut, State of New Mexico, State of New York, State of Delaware, State of Oregon and State of California |
| United States Securities and Exchange Commission and Walter "Jay" Clayton III |
| XY Planning Network, LLC and Ford Financial Solutions, LLC |
| 1:2019cv08365 |
| September 9, 2019 |
| US District Court for the Southern District of New York |
| Gabriel W Gorenstein |
| Victor Marrero |
| Other Statutes: Administrative Procedures Act/Review or Appeal of Agency Decision |
| 05 U.S.C. § 702 |
| None |
Docket Report
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This docket was last retrieved on October 8, 2019. A more recent docket listing may be available from PACER.
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Filing 30
JUDGMENT: The Court, having entered a Decision and Order on September 27, 2019 dismissing the above-captioned consolidated actions for lack of subject matter jurisdiction, it is hereby: ORDERED that, for the reasons stated in the Opinion and Order, these consolidated actions are dismissed without prejudice to refiling or reinstating the actions; and IT IS FURTHER ORDERED that, in the event the Second Circuit determines it lacks jurisdiction to resolve Plaintiffs' petitions for review pursuant to 15 U.S.C. 78y, Plaintiffs may refile these actions if the Second Circuit decides not to transfer the petitions to the District Court pursuant to 28 U.S.C. 1631. (Signed by Judge Victor Marrero on 10/8/2019) (Attachments: #1 Appeal Package)Filed In Associated Cases: 1:19-cv-08365-VM-GWG, 1:19-cv-08415-VM(mro)
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Filing 29
ENDORSED LETTER addressed to Judge Victor Marrero from Letitia James by Jeffrey A. Novack dated 10/8/2019 re: We write, on behalf of all Plaintiffs in the above-referenced consolidated actions, to request that the Court enter the attached Proposed Judgment. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by plaintiffs. So ordered. (Signed by Judge Victor Marrero on 10/8/2019) Filed In Associated Cases: 1:19-cv-08365-VM-GWG, 1:19-cv-08415-VM. cc: (by email). (rjm)
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| Filing 28 AFFIDAVIT OF SERVICE. All Defendants. Service was made by Mail. Document filed by Ford Financial Solutions, LLC, XY Planning Network, LLC. (Gupta, Deepak) |
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Filing 27
DECISION AND ORDER: For the foregoing reasons, it is hereby ORDERED that this action is DISMISSED on the Court's own motion for lack of subject-matter jurisdiction and in favor of litigation pursuant to the petitions tor review filed in the United States Court of Appeals for the Second Circuit. (Signed by Judge Victor Marrero on 9/26/2019) (mro)
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| Filing 26 NOTICE OF APPEARANCE by Jillian Amy Lazar on behalf of State of Delaware. (Lazar, Jillian) |
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Filing 25
ENDORSED LETTER addressed to Judge Victor Marrero from Michael Conley, Jeffrey Berger, Daniel Matro dated 9/23/2019 re: Defendant's response to Plaintiff's letter requesting a pre-motion conference. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by Defendants. SO ORDERED. (Signed by Judge Victor Marrero on 9/24/2019) (ne)
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| Filing 23 LETTER addressed to Magistrate Judge Gabriel W. Gorenstein from Matthew Colangelo dated September 24, 2019 re: transmission of prior correspondence to the Court in response to Judge Marrero's September 23 Order of Reference.. Document filed by State of New York. (Attachments: #1 Exhibit 1 (Plaintiffs' letter to the Court dated September 20, 2019), #2 Exhibit 2 (Defendants' letter to the Court dated September 23, 2019))(Colangelo, Matthew) |
| Filing 22 NOTICE OF APPEARANCE by Jeffrey Adam Novack on behalf of State of New York. (Novack, Jeffrey) |
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Filing 21
ENDORSED LETTER addressed to Judge Victor Marrero from Matthew Colangelo dated 9/20/19 re: Plaintiffs write pursuant to Fed. R. Civ. P. 16(b) and Rule 11.A of this Court's Individual Practices to request a pre-motion conference to discuss their anticipated motion for issuance of a scheduling order in this action. ENDORSEMENT: The parties are directed to address the matter set forth above to Magistrate Judge Gabriel Gorenstein, to whom this dispute has been referred for resolution, as well as for supervision of remaining pretrial proceedings, establishing case management schedules as necessary, and settlement. (Signed by Judge Victor Marrero on 9/23/2019) Filed In Associated Cases: 1:19-cv-08365-VM-GWG, 1:19-cv-08415-VM(mro)
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Filing 20
ORDER REFERRING CASE TO MAGISTRATE JUDGE. Order that case be referred to the Clerk of Court for assignment to a Magistrate Judge for General Pretrial (includes scheduling, discovery, non-dispositive pretrial motions, and settlement). Referred to Magistrate Judge Gabriel W. Gorenstein. (Signed by Judge Victor Marrero on 9/23/2019) (mro)
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Filing 19
ORDER FOR ADMISSION PRO HAC VICE granting #16 Motion for Deepak Gupta to Appear Pro Hac Vice. (Signed by Judge Victor Marrero on 9/23/2019) (mro)
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| Filing 18 ENDORSED LETTER addressed to Judge Victor Marrero from Deepak Gupta dated 9/20/19 re: Counsel requests permission from the Court to file Requests for the Issuance of Summons in 19 Civ. 8415. ENDORSEMENT: Request GRANTED. Plaintiffs are authorized to file requests for issuance of summons referencing the complaint in Docket No. 19 cvi. 8415 for the reasons set forth above. (Signed by Judge Victor Marrero on 9/23/2019) (mro) |
| Filing 17 AFFIDAVIT OF SERVICE. All Defendants. Service was made by Mail. Document filed by State of New York. (Colangelo, Matthew) |
| Filing 16 MOTION for Deepak Gupta to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-17633613. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Ford Financial Solutions, LLC, XY Planning Network, LLC. (Attachments: #1 Affidavit in support of Motion to Appear Pro Hac Vice, #2 Exhibit Certificate of Good Standing, #3 Text of Proposed Order for Admission Pro Hac Vice)(Gupta, Deepak) |
| >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #16 MOTION for Deepak Gupta to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-17633613. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (bcu) |
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Filing 15
ORDER FOR ADMISSION PRO HAC VICE: granting #14 Motion for Joseph J. Chambers to Appear Pro Hac Vice. IT IS HEREBY ORDERED that Applicant is admitted to practice Pro Hac Vice in the above-captioned case in the United States District Court for the Southern District of New York. All attorneys appearing before this Court are subject to the Local Rules of this Court, including the Rules governing discipline of attorneys. So Ordered. (Signed by Judge Victor Marrero on 9/18/2019) (js)
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| Filing 14 MOTION for Joseph J. Chambers to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-17618996. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by State of Connecticut. (Attachments: #1 Affidavit Joseph J. Chambers, #2 Exhibit Certificate of Standing, #3 Text of Proposed Order)(Chambers, Joseph) |
| >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #14 MOTION for Joseph J. Chambers to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-17618996. 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 24
ENDORSED LETTER addressed to Judge Victor Marrero from Matthew Colangelo dated 9/16/2019 re: Plaintiffs write to advise the Court that they have filed a petition for review in the United States Court of Appeals for the Second Circuit. ENDORSEMENT: The Clerk of Court is directed to enter into the public record of this action the letter above submitted to the Court by Plaintiffs. SO ORDERED. (Signed by Judge Victor Marrero on 9/16/2019) (ne)
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Filing 13
ORDER: ORDERED that the Clerk of Court is directed to consolidate these actions for pretrial purposes; and it is further ORDERED that all filings in connection with the consolidated action be docketed against the remaining lower numbered case, 19 Civ. 8365; and it is finally ORDERED that the Clerk of Court close the referenced higher numbered case, 19 Civ. 8415, as a separate action and remove it from the Court's docket. (As further set forth in this Order.) (Signed by Judge Victor Marrero on 9/12/2019) Filed In Associated Cases: 1:19-cv-08365-VM, 1:19-cv-08415-VM(cf)
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Filing 12
ORDER FOR ADMISSION PRO HACE VICE ON ORAL MOTION granting #10 Motion for Gregg D. Bernstein to Appear Pro Hac Vice. (As further set forth in this Order.) (Signed by Judge Victor Marrero on 9/12/2019) (cf)
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Filing 11
ORDER FOR ADMISSION PRO HAC VICE: granting #4 Motion for Amy Winn to Appear Pro Hac Vice. IT IS HEREBY ORDERED that Applicant is admitted to practice Pro HaC Vice in the above captioned case in the United States District Court for the Southern District of New York. All attorneys appearing before this Court are subject to the Local Rules of the Court, including the rules governing discipline of attorneys. So Ordered. (Signed by Judge Victor Marrero on 9/12/2019) (js)
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| Filing 10 MOTION for Gregg D Bernstein to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-17587876. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by State of Maine. (Attachments: #1 Exhibit Certificate of Good Standings, #2 Text of Proposed Order)(Bernstein, Gregg) |
| >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #10 MOTION for Gregg D Bernstein to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-17587876. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (bcu) |
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Filing 9
ORDER FOR ADMISSION PRO HAC VICE granting #3 MOTION for Nathaniel Spencer-Mork to Appear Pro Hac Vice. (Signed by Judge Victor Marrero on 9/11/2019) (jca)
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| Filing 8 ELECTRONIC SUMMONS ISSUED as to Walter "Jay" Clayton III. (dnh) |
| Filing 7 ELECTRONIC SUMMONS ISSUED as to United States Securities and Exchange Commission. (dnh) |
| Filing 6 REQUEST FOR ISSUANCE OF SUMMONS as to Walter Jay Clayton III, in his official capacity as Chairman of the United States Securities and Exchange Commission, re: #1 Complaint,. Document filed by District of Columbia, State of California, State of Connecticut, State of Delaware, State of Maine, State of New Mexico, State of New York, State of Oregon. (Colangelo, Matthew) |
| Filing 5 REQUEST FOR ISSUANCE OF SUMMONS as to United States Securities and Exchange Commission, re: #1 Complaint,. Document filed by District of Columbia, State of California, State of Connecticut, State of Delaware, State of Maine, State of New Mexico, State of New York, State of Oregon. (Colangelo, Matthew) |
| Filing 4 MOTION for Amy Winn to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-17573981. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by State of California. (Attachments: #1 Affidavit Affidavit in support of Motion to Admit Pro Hac Vice, #2 Exhibit Certificate of Good Standing, #3 Text of Proposed Order [Proposed] Order For Admission Pro Hac Vice)(Winn, Amy) |
| CASE OPENING INITIAL ASSIGNMENT NOTICE: The above-entitled action is assigned to Judge Victor Marrero. Please download and review the Individual Practices of the assigned District Judge, located at #http://nysd.uscourts.gov/judges/District. Attorneys are responsible for providing courtesy copies to judges where their Individual Practices require such. Please download and review the ECF Rules and Instructions, located at #http://nysd.uscourts.gov/ecf_filing.php. (pne) |
| >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #3 MOTION for Nathaniel Spencer-Mork to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-17568234. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (wb) |
| Magistrate Judge Gabriel W. Gorenstein is so designated. Pursuant to 28 U.S.C. Section 636(c) and Fed. R. Civ. P. 73(b)(1) parties are notified that they may consent to proceed before a United States Magistrate Judge. Parties who wish to consent may access the necessary form at the following link: #http://nysd.uscourts.gov/forms.php. (pne) |
| Case Designated ECF. (pne) |
| >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #4 MOTION for Amy Winn to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-17573981. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (wb) |
| Filing 3 MOTION for Nathaniel Spencer-Mork to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-17568234. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by State of California. (Attachments: #1 Affidavit Affidavit in support of Motion to Admit Pro Hac Vice, #2 Exhibit Certificate of Good Standing, #3 Text of Proposed Order [Proposed] Order For Admission Pro Hac Vice)(Spencer-Mork, Nathaniel) |
| Filing 2 CIVIL COVER SHEET filed. (Colangelo, Matthew) |
| Filing 1 COMPLAINT against United States Securities and Exchange Commission, Walter "Jay" Clayton III. (Filing Fee $ 400.00, Receipt Number ANYSDC-17567320)Document filed by State of New Mexico, District of Columbia, State of New York, State of Delaware, State of Connecticut, State of Oregon, State of California, State of Maine.(Colangelo, Matthew) |
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