Securities and Exchange Commission v. David et al
| Securities and Exchange Commission |
| Alkiviades David and Hologram USA Networks Inc. |
| Spencer G. Feldman |
| 1:2019cv09013 |
| September 27, 2019 |
| US District Court for the Southern District of New York |
| Jed S Rakoff |
| Securities/Commodities |
| 15 U.S.C. § 77 Securities Fraud |
| Both |
Docket Report
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This docket was last retrieved on February 24, 2022. A more recent docket listing may be available from PACER.
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Filing 41
ORDER ESTABLISHING A FAIR FUND, APPROVING A DISTRIBUTION PLAN, AND APPOINTING A DISTRIBUTION AGENT granting #37 Motion for Disbursement of Funds. IT IS HEREBY ORDERED that: 1. The Commission's motion is GRANTED; 2. A Fair Fund is established pursuant to Section 308(a) of the Sarbanes Oxley Act of 2002, 15 U.S.C. 7246(a), for all funds under the Court's jurisdiction in this matter, including any accrued interest (the "Fair Fund"); 3. The Commission is ordered to include in the Fair Fund all amounts it currently holds in this action; 4. Richard G. Primoff is appointed as the Distribution Agent under the terms set forth in the Plan; 5. The Plan is approved; 6. The Fair Fund shall be distributed in accordance with Appendix A to the Plan; and 7. If a Residual remains in the Fair Fund after the distribution set forth in paragraph 5, above, the Residual may, in the discretion of the Commission acting through the Distribution Agent, be distributed in accordance with the Plan. IT IS SO ORDERED.. (Signed by Judge Jed S. Rakoff on 7/27/2021) (kv)
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Filing 40
DECLARATION of Richard G. Primoff in Support re: #37 FIRST MOTION for Disbursement of Funds Motion for Establishment of Fair Fund, Approval of Proposed Plan and Appointment of Distribution Agent.. Document filed by Securities and Exchange Commission..(Primoff, Richard)
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Filing 39
MEMORANDUM OF LAW in Support re: #37 FIRST MOTION for Disbursement of Funds Motion for Establishment of Fair Fund, Approval of Proposed Plan and Appointment of Distribution Agent. Plaintiff's Memorandum of Law dated May 3, 2021. Document filed by Securities and Exchange Commission..(Primoff, Richard)
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Filing 38
DECLARATION of Yitzchok Klug in Support re: #37 FIRST MOTION for Disbursement of Funds Motion for Establishment of Fair Fund, Approval of Proposed Plan and Appointment of Distribution Agent.. Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit Exh. A, exemplar of Investor Notice).(Primoff, Richard)
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Filing 37
FIRST MOTION for Disbursement of Funds Motion for Establishment of Fair Fund, Approval of Proposed Plan and Appointment of Distribution Agent. Document filed by Securities and Exchange Commission. (Attachments: #1 Text of Proposed Order Proposed Order, #2 Exhibit Exh A to proposed Order, proposed Plan, #3 Appendix Appendix A to proposed Plan).(Primoff, Richard)
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Minute Entry for proceedings held before Judge Jed S. Rakoff: Telephone Conference held on 5/3/2021. The Security and Exchange Commissions application for leave to file a motion is granted. (Kotowski, Linda)
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Filing 36
ORDER APPOINTING TAX ADMINISTRATOR AND AUTHORIZING PAYMENT OF TAX-RELATED FEES, EXPENSES, AND OBLIGATIONS: IT IS HEREBY ORDERED: 1. Miller Kaplan is appointed Tax Administrator to execute all income tax reporting requirements, including the preparation and filing of tax returns, for all funds under the Court's jurisdiction in this case (the "Fund"). 2. Miller Kaplan shall be designated the Tax Administrator of the Fund, pursuant to Section 468B(g) of the Internal Revenue Code (IRC), 26 U.S.C. 468B(g), and related regulations, and shall satisfy the administrative requirements imposed by those regulations, including but not limited to (a) obtaining a taxpayer identification number, (b) filing applicable federal, state, and local tax returns and paying taxes reported thereon out of the Fund, and (c) satisfying any information, reporting, or withholding requirements imposed on distributions from the Fund. Upon request, the Tax Administrator shall provide copies of any filings to the Commission's counsel of record. 3. The Tax Administrator shall, at such times as the Tax Administrator deems necessary to fulfill the tax obligations of the Fund, submit a request to the Commission's counsel of record for payment from the Fund of any tax obligations of the Fund. 4. The Tax Administrator shall be entitled to charge reasonable fees for tax compliance services and related expenses in accordance with its agreement with the Commission for the Tax Years 2019 through 2021. The Tax Administrator shall, at such times as the Tax Administrator deems appropriate, submit a request to the Commission's counsel of record for payment of fees and expenses from the Fund. 5. The Commission is authorized to approve and arrange payment of all tax obligations owed by the Fund and the fees and expenses of the Tax Administrator directly from the Fund without further approval of this Court. All payments for taxes and the fees and expenses of the Tax Administrator shall be reported to the Court in a final accounting. (Signed by Judge Jed S. Rakoff on 5/7/2020) (mro)
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Minute Entry for proceedings held before Judge Jed S. Rakoff: Telephone Application held on 5/7/2020. Present were counsel for both sides. (tro)
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Filing 35
FINAL JUDGMENT AS TO DEFENDANT ALKIVIADES DAVID: IT IS HEREBY FURTHER ORDERED, ADJUDGED, AND DECREED that Defendant is liable for a civil penalty in the amount of $100,000 pursuant to Section 20(d)(2) of the Securities Act [15 U.S.C. 77t(d)(2) and Section 21(d)(3) of the Exchange Act [15 U.S.C. 78u(d)(3). Defendant shall satisfy this obligation by paying $100,000 to the Securities and Exchange Commission within 30 days after entry of this Final Judgment. And as set forth herein. SO ORDERED. Alkiviades David terminated. (Signed by Judge Jed S. Rakoff on 3/19/2020) (ama)
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Filing 34
FINAL JUDGMENT AS TO DEFENDANT HOLOGRAM USA NETWORKS INC.: IT IS HEREBY FURTHER ORDERED, ADJUDGED, AND DECREED that Defendant is liable for disgorgement of $20,000, representing profits gained as a result of the conduct alleged in the Amended Complaint, together with prejudgment interest thereon in the amount of $2,419.26, for a total of $22,419.26. Defendant shall satisfy this obligation by paying $22,419.26 to the Securities and Exchange Commission within 30 days after entry of this Final Judgment. And as set forth herein. SO ORDERED. Hologram USA Networks Inc. terminated. (Signed by Judge Jed S. Rakoff on 3/19/2020) (ama)
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Minute Entry for proceedings held before Judge Jed S. Rakoff: Telephone Conference held on 3/18/2020. Phone PTC in SEC v. David, et al. (19 CV 9013). March 18, 2020 and lasted 15 min. (kgo)
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Filing 33
FIRST MOTION for Summary Judgment NOTICE OF MOTION. Document filed by Securities and Exchange Commission. Responses due by 4/3/2020 Return Date set for 4/21/2020 at 02:00 PM..(Primoff, Richard)
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Filing 32
NOTICE OF APPEARANCE by Dugan William Edward Bliss on behalf of Securities and Exchange Commission..(Bliss, Dugan)
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Filing 31
ORDER: On February 7, 2020, plaintiff Securities and Exchange Commission (the "Commission"), filed a letter with the Court requesting permission to serve the Commission's deposition subpoena on non-party witness Carl Dawson ("Dawson") by email. Based on the Commission's representations in the letter (attached as Exhibit A to this order), the Court is persuaded that alternative service by email is warranted in this case. Accordingly, the Court permits the Commission to serve Dawson with the subpoena by emailing it to him again. (Signed by Judge Jed S. Rakoff on 2/11/2020) (mro)
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Minute Entry for proceedings held before Judge Jed S. Rakoff: Telephone Conference held on 2/12/2020. (Kotowski, Linda)
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Filing 30
NOTICE OF APPEARANCE by Amanda Barrett Barkin on behalf of Alkiviades David, Hologram USA Networks Inc...(Barkin, Amanda)
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Minute Entry for proceedings held before Judge Jed S. Rakoff: Telephone Conference held on 1/31/2020, ( Opening papers related to summary judgment due by 3/20/2020., Replies due by 4/10/2020., Responses due by 4/3/2020). (Kotowski, Linda)
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Filing 29
NOTICE OF APPEARANCE by John G. Moon on behalf of Spencer G. Feldman. (Moon, John)
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Filing 28
ANSWER to Complaint with JURY DEMAND. Document filed by Alkiviades David, Hologram USA Networks Inc..(Heather, Fred)
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Minute Entry for proceedings held before Judge Jed S. Rakoff: ( Final Pretrial Conference set for 4/21/2020 at 02:00 PM before Judge Jed S. Rakoff., Oral Argument set for 4/21/2020 at 02:00 PM before Judge Jed S. Rakoff.). (Kotowski, Linda)
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Minute Entry for proceedings held before Judge Jed S. Rakoff: Telephone Conference held on 12/18/2019. (Kotowski, Linda)
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Filing 27
ORDER FOR ADMISSION PRO HAC VICE granting #23 Motion for Jesse B. Levin to Appear Pro Hac Vice. (Signed by Judge Jed S. Rakoff on 12/12/2019) (va)
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Filing 26
PROTECTIVE ORDER...regarding procedures to be followed that shall govern the handling of confidential material... (Signed by Judge Jed S. Rakoff on 12/6/2019) (va)
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Filing 25
ORDER FOR ADMISSION PRO HAC VICE granting #20 Motion for Sean Riley to Appear Pro Hac Vice. (Signed by Judge Jed S. Rakoff on 12/6/2019) (jwh)
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Filing 24
ORDER FOR ADMISSION PRO HAC VICE granting #21 Motion for Steven P. Basileo to Appear Pro Hac Vice. (Signed by Judge Jed S. Rakoff on 12/6/2019) (jwh)
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Filing 23
MOTION for Jesse B. Levin to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-18229917. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Alkiviades David, Hologram USA Networks Inc..(Levin, Jesse)
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>>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #23 MOTION for Jesse B. Levin to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-18229917. 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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Minute Entry for proceedings held before Judge Jed S. Rakoff: Telephone Conference held on 12/5/2019. (Kotowski, Linda)
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Filing 22
AMENDED COMPLAINT amending #1 Complaint against Alkiviades David, Hologram USA Networks Inc. with JURY DEMAND.Document filed by Securities and Exchange Commission. Related document: #1 Complaint.(Primoff, Richard)
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>>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #21 MOTION for Steven P. Basileo to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-18144162. 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 21
MOTION for Steven P. Basileo to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-18144162. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Alkiviades David, Hologram USA Networks Inc..(Basileo, Steven)
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Filing 20
MOTION for Sean Riley to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Alkiviades David, Hologram USA Networks Inc..(Riley, Sean)
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>>>NOTICE REGARDING DEFICIENT MOTION TO APPEAR PRO HAC VICE. Notice to RE-FILE Document No. #19 MOTION for Sean Riley to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-18119542. 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 STATE OF CALIFORNIA; MISSING AFFIDAVIT;. 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. (vba)
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Filing 19
FILING ERROR - DEFICIENT DOCKET ENTRY - MOTION for Sean Riley to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-18119542. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Alkiviades David, Hologram USA Networks Inc..(Riley, Sean) Modified on 11/22/2019 (vba).
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Filing 18
RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent Anakando Media Group Ltd. for Hologram USA Networks Inc.. Document filed by Hologram USA Networks Inc..(Heather, Fred)
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Filing 17
ANSWER to #1 Complaint with JURY DEMAND. Document filed by Alkiviades David, Hologram USA Networks Inc..(Heather, Fred)
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Minute Entry for proceedings held before Judge Jed S. Rakoff: Initial Pretrial Conference held on 11/12/2019, ( Final Pretrial Conference set for 3/27/2020 at 04:00 PM before Judge Jed S. Rakoff.). (Kotowski, Linda)
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Filing 16
CIVIL CASE MANAGEMENT PLAN: Ready for Trial by 3/30/2020. The case is to be tried to a jury. Amended Pleadings due by 12/2/2019. Deposition due by 2/10/2020. Discovery due by 2/14/2020. Motions due by 2/28/2020. Responses due by 3/13/2020. Replies due by 3/20/2020. Oral Argument set for 3/27/2020 at 04:00 PM before Judge Jed S. Rakoff. Final Pretrial Conference set for 3/27/2020 at 04:00 PM before Judge Jed S. Rakoff. (Signed by Judge Jed S. Rakoff on 11/12/2019) (jwh)
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Filing 15
NOTICE OF APPEARANCE by Barry A. Bohrer on behalf of Alkiviades David, Hologram USA Networks Inc.. (Bohrer, Barry)
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Filing 14
NOTICE OF APPEARANCE by Fred D Heather on behalf of Alkiviades David, Hologram USA Networks Inc.. (Heather, Fred)
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Minute Entry for proceedings held before Judge Jed S. Rakoff: Telephone Conference held on 10/24/2019, ( Initial Conference set for 11/12/2019 at 11:00 AM before Judge Jed S. Rakoff.). (Kotowski, Linda)
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Filing 13
CERTIFICATE OF SERVICE of Summons and Complaint. Hologram USA Networks Inc. served on 10/2/2019, answer due 10/23/2019. Service was accepted by Alkiviades David. Document filed by Securities and Exchange Commission. (Primoff, Richard)
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Filing 12
CERTIFICATE OF SERVICE of Summons and Complaint. Alkiviades David served on 10/2/2019, answer due 10/23/2019. Service was accepted by Alkiviades David. Document filed by Securities and Exchange Commission. (Primoff, Richard)
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Filing 11
NOTICE OF COURT CONFERENCE: Initial Conference set for 10/29/2019 at 11:00 AM in Courtroom 14B, 500 Pearl Street, New York, NY 10007 before Judge Jed S. Rakoff, as further set forth in this order. (Signed by Judge Jed S. Rakoff on 10/4/2019) (jwh)
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Filing 10
ELECTRONIC SUMMONS ISSUED as to Hologram USA Networks Inc.. (dnh)
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Filing 9
ELECTRONIC SUMMONS ISSUED as to Alkiviades David. (dnh)
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Filing 8
NOTICE OF APPEARANCE by Adam Seth. Grace on behalf of Securities and Exchange Commission. (Grace, Adam)
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Filing 7
REQUEST FOR ISSUANCE OF SUMMONS as to Hologram USA Networks Inc., re: #1 Complaint. Document filed by Securities and Exchange Commission. (Primoff, Richard)
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Filing 6
REQUEST FOR ISSUANCE OF SUMMONS as to Alkiviades David, re: #1 Complaint. Document filed by Securities and Exchange Commission. (Primoff, Richard)
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***NOTICE TO ATTORNEY REGARDING CIVIL. CASE OPENING STATISTICAL ERROR CORRECTION: Notice to attorney Sanjay Wadhwa. The following case opening statistical information was erroneously selected/entered: Fee Status code pd (paid);. The following correction(s) have been made to your case entry: the Fee Status code has been modified to wv (waived);. (pc)
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CASE OPENING INITIAL ASSIGNMENT NOTICE: The above-entitled action is assigned to Judge Jed S. Rakoff. 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. (pc)
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Case Designated ECF. (pc)
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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. (pc)
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Filing 5
NOTICE OF APPEARANCE by Yitzchok Klug on behalf of Securities and Exchange Commission. (Klug, Yitzchok)
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Filing 4
NOTICE OF APPEARANCE by Marc Peter Berger on behalf of Securities and Exchange Commission. (Berger, Marc)
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Filing 3
NOTICE OF APPEARANCE by Richard G Primoff on behalf of Securities and Exchange Commission. (Primoff, Richard)
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Filing 2
CIVIL COVER SHEET filed. (Wadhwa, Sanjay)
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Filing 1
COMPLAINT against Alkiviades David, Hologram USA Networks Inc.. Document filed by Securities and Exchange Commission.(Wadhwa, Sanjay)
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