United States Securities and Exchange Commission v. Cohen et al
| United States Securities and Exchange Commission |
| Bryan Cohen and George Nikas |
| 1:2019cv09645 |
| October 18, 2019 |
| US District Court for the Southern District of New York |
| Colleen McMahon |
| Securities/Commodities |
| None |
Docket Report
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This docket was last retrieved on December 22, 2020. A more recent docket listing may be available from PACER.
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Filing 31
DECISION AND ORDER DENYING THE SEC'S MOTION TO AMEND THE COMPLAINT IN THIS ACTION WITHOUT PREJUDICE denying without prejudice #28 Motion to Amend/Correct. In short, the only thing that "relates" the two cases is the participation of Nikas and the fact that insider trading is alleged in both cases - precisely the factors that the court's Assignment Committee, which is charged with administering the Local Rules for the Division of Business Among Judges, "shall not" rely on in order to deem cases related under Rule 13(b). For that reason, the SEC must do what it should have done in the first place: moved before Judge Preska for leave to add Nikas as a party defendant in the case dealing with the Taylor-Windsor tipping scheme, which is pending before her. The motion for leave to amend is denied without prejudice to its being renewed in the action entitled SEC v. Taylor, Windsor and El-Khouri, 19 Civ. 0744 (LAP). A copy of this decision and order is being sent to Judge Preska for her information. The Clerk of Court is directed to remove the motion at Docket #28 from the court's list of open motions. (Signed by Judge Colleen McMahon on 1/6/2020) BY ECF TO ALL COUNSEL. BY EMAIL TO THE HON. LORETTA A. PRESKA. (mml)
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| Filing 30 LETTER addressed to Judge Colleen McMahon from Henry E. Klingeman, Esq. dated 12/30/2019 re: Reply letter re Motion to Dismiss. Document filed by George Nikas.(Klingeman, Henry) |
| Filing 29 MEMORANDUM OF LAW in Opposition re: #23 MOTION to Dismiss Plaintiff's Complaint. . Document filed by United States Securities and Exchange Commission. (Attachments: #1 Exhibit A)(Kelly, Rua) |
| Filing 28 MOTION to Amend/Correct #1 Complaint . Document filed by United States Securities and Exchange Commission. (Attachments: #1 Exhibit A (Commission's Amended Complaint))(Kelly, Rua) |
| Filing 27 LETTER addressed to Judge Colleen McMahon from Rua M. Kelly dated 12/23/2019 re: Commission's Motion to Amend Complaint. Document filed by United States Securities and Exchange Commission.(Kelly, Rua) |
| Filing 26 LETTER addressed to Judge Colleen McMahon from Ernesto Cerimele, Esq. dated 12/23/2019 re: Request for an extension of time. Document filed by George Nikas.(Cerimele, Ernesto) |
| Filing 25 PROPOSED ORDER. Document filed by George Nikas. Related Document Number: [#24]. (Klingeman, Henry) Proposed Order to be reviewed by Clerk's Office staff. |
| Filing 24 MEMORANDUM OF LAW in Support re: #23 MOTION to Dismiss Plaintiff's Complaint. Henry E. Klingeman, Esq.. Document filed by George Nikas. (Klingeman, Henry) |
| Filing 23 MOTION to Dismiss Plaintiff's Complaint. Document filed by George Nikas.(Klingeman, Henry) |
| Filing 22 NOTICE OF APPEARANCE by Henry Ellis Klingeman on behalf of George Nikas. (Klingeman, Henry) |
| ***NOTICE TO COURT REGARDING PROPOSED ORDER. Document No. #25 Proposed Order was reviewed and approved as to form. (dt) |
| Minute Entry for proceedings held before Judge Colleen McMahon: Show Cause Hearing held on 11/22/2019. Decision: Show Cause Hearing held. See 11/22 Order Freezing Assets and Granting Other Relief for details. (Dkt. No. 21)Submitted by: Michael L. Thomas, Jr. (mde) |
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Filing 21
ORDER FREEZING ASSETS AND GRANTING OTHER RELIEF granting #6 Motion for TRO. IT IS HEREBY ORDERED that the Commission's Application for an Order FreezingAssets and Other Relief is GRANTED. IT IS HEREBY FURTHER ORDERED that, pending further order of this Court, the asset freeze imposed by paragraph IV of the Temporary Restraining Order shall continue in full force and effect, and all such funds and other assets shall remain frozen, as further set forth. IT IS HEREBY FURTHER ORDERED that copies of this Order may be served by any means, including electronic mail, upon any entity or person that may have possession, custody, or control of any documents or assets of defendant Nikas, that may be subject to any provision of this Order, and that representatives of the Commission are specially appointed by the Court to effect service. IT IS HEREBY FURTHER ORDERED that this Order shall be, and is, binding ondefendant Nikas, and any of his agents or representatives and those persons in active concert or participation with them who receive actual notice of this Order by personal service or otherwise. IT IS HEREBY FURTHER ORDERED that this Order shall remain in effect until entry of a Final Judgment in, or other final disposition of, this action. IT IS HEREBY FURTHER ORDERED that the Court shall retain jurisdiction of this matter for all purposes. (Signed by Judge Colleen McMahon on 11/22/2019) (mml)
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Filing 20
ORDER ON MOTION FOR ADMISSION PRO HAC VICE granting #19 Motion for Michael D. Foster 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. If this action is assigned to the Electronic Case Filing (ECF) system, counsel shall immediately apply for an ECF password. (Signed by Judge Colleen McMahon on 11/22/2019) (mml)
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| Filing 19 MOTION for Michael D. Foster to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by United States Securities and Exchange Commission. (Attachments: #1 Affidavit of Michael D. Foster, #2 Exhibit Certificate of Good Standing, #3 Text of Proposed Order)(Kelly, Rua) |
| >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #19 MOTION for Michael D. Foster 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. (aea) |
| Filing 18 LETTER addressed to Judge Colleen McMahon from Rua M. Kelly dated 11/20/2019 re: 11/22/19 Hearing. Document filed by United States Securities and Exchange Commission. (Attachments: #1 Exhibit A, #2 Exhibit B, #3 Exhibit C, #4 Exhibit D)(Kelly, Rua) |
| Filing 17 NOTICE OF APPEARANCE by Joshua D. Kirshner on behalf of Bryan Cohen. (Kirshner, Joshua) |
| Filing 16 NOTICE OF APPEARANCE by Benjamin Brafman on behalf of Bryan Cohen. (Brafman, Benjamin) |
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Filing 15
MEMO ENDORSEMENT granting #14 Motion for Rua M. Kelly to Appear Pro Hac Vice. ENDORSEMENT: IT IS HEREBY ORDERED that Applicant is admitted to practice Pro Hae 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. If this action is assigned to the Electronic Case Filing (ECF) system, counsel shall immediately apply for an ECF password. (Signed by Judge Colleen McMahon on 11/5/2019) (rro)
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| Filing 14 MOTION for Rua M. Kelly to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by United States Securities and Exchange Commission. (Attachments: #1 Affidavit in Support of Motion, #2 Certificate of Good Standing, #3 Text of Proposed Order of Admission Pro Hac Vice)(Kelly, Rua) |
| >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #14 MOTION for Rua M. Kelly to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (wb) |
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Filing 13
STIPULATION REGARDING EXTENSION OF RELIEF PROVIDED IN THE COURT'S OCTOBER 18, 2019 ORDER AND ADJOURNMENT OF HEARING: IT IS HEREBY STIPULATED AND AGREED by plaintiff Securities and Exchange Commission (the "Commission"), through undersigned counsel, and defendant Nikas, through his undersigned counsel, that all of the relief granted in the Order, including but not limited to the freeze of Nikas's brokerage account held at Charles Schwab & Co., shall remain in full force and effect until November 22, 2019 at 11:59 p.m. or until such other time thereafter that the Court can hear and rule upon the Commission's application for relief. IT IS FURTHER AGREED that the date and time for defendant Nikas to appear and show cause, if there be any, why the Court should not enter a preliminary injunction extending the asset freeze and other relief set forth in the Order until a final adjudication on the merits shall be adjourned until November 22, 2019 at 10:00 a.m. or such other date and time set by the Court. IT IS FURTHER AGREED that the deadline for defendant Nikas to deliver any opposing papers pursuant to Section III of the Order is extended until November 14, 2019 at 5 p.m. IT IS FURTHER AGREED that the deadline for the Commission to file any reply papers pursuant to Section III of the Order is extended until November 20, 2019 at 5 p.m. IT IS FURTHER AGREED that by entering into this stipulation, defendant Nikas does not waive, and specifically preserves, any and all objections, affirmative defenses, and defenses, including but not limited to those that arise under Rule 12(b) of the Federal Rules of CivilProcedure. IT IS SO ORDERED., ( Show Cause Response due by 11/14/2019., Show Cause Hearing set for 11/22/2019 at 10:00 AM before Judge Colleen McMahon.) (Signed by Judge Colleen McMahon on 10/29/2019) (ama)
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| Filing 12 PROPOSED STIPULATION AND ORDER. Document filed by United States Securities and Exchange Commission. (Vivolo, Assunta) |
| Filing 11 ELECTRONIC SUMMONS ISSUED as to George Nikas. (dnh) |
| Filing 10 REQUEST FOR ISSUANCE OF SUMMONS as to George Nikas, re: #1 Complaint. Document filed by United States Securities and Exchange Commission. (Vivolo, Assunta) |
| ***NOTICE TO ATTORNEY REGARDING DEFICIENT REQUEST FOR ISSUANCE OF SUMMONS. Notice to Attorney Assunta Vivolo to RE-FILE Document No. #4 Request for Issuance of Summons. The filing is deficient for the following reason(s): the form used for the summons is blank. Re-file the document using the event type Request for Issuance of Summons found under the event list Service of Process - select the correct filer/filers - and attach the correct summons form PDF. (dnh) |
| Filing 9 DECLARATION of John S. Rymas in Support re: #6 MOTION for Temporary Restraining Order , Order Freezing Assets, and Granting Other Relief.. Document filed by United States Securities and Exchange Commission. (Attachments: #1 Exhibit 1, #2 Exhibit 2, #3 Exhibit 3, #4 Exhibit 4, #5 Exhibit 5, #6 Exhibit 6, #7 Exhibit 7, #8 Exhibit 8, #9 Exhibit 9, #10 Exhibit 10, #11 Exhibit 11, #12 Exhibit 12)(Vivolo, Assunta) |
| Filing 8 MEMORANDUM OF LAW in Support re: #6 MOTION for Temporary Restraining Order , Order Freezing Assets, and Granting Other Relief. . Document filed by United States Securities and Exchange Commission. (Vivolo, Assunta) |
| Filing 7 DECLARATION of Assunta Vivolo in Support re: #6 MOTION for Temporary Restraining Order , Order Freezing Assets, and Granting Other Relief.. Document filed by United States Securities and Exchange Commission. (Vivolo, Assunta) |
| Filing 6 MOTION for Temporary Restraining Order , Order Freezing Assets, and Granting Other Relief. Document filed by United States Securities and Exchange Commission. Return Date set for 10/28/2019 at 05:00 PM.(Vivolo, Assunta) |
| Filing 5 FILING ERROR - DUPLICATE DOCKET ENTRY -COMPLAINT against Bryan Cohen, George Nikas. Document filed by United States Securities and Exchange Commission.(Vivolo, Assunta) Modified on 10/23/2019 (dnh). |
| Filing 4 FILING ERROR - DEFICIENT PLEADING - SUMMONS REQUESTED BLANK SUMMONS FORM - REQUEST FOR ISSUANCE OF SUMMONS as to George Nikas, re: #1 Complaint. Document filed by United States Securities and Exchange Commission. (Vivolo, Assunta) Modified on 10/23/2019 (dnh). |
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Filing 3
ORDER TO SHOW CAUSE TEMPORARY RESTRAINING ORDER, AND ORDER FREEZING ASSETS AND GRANTING OTHER RELIEF: Defendant George Nikas shall show cause as to why this Court should not enter an Order pursuant to Rule 65 of the Federal Rules of Civil Procedure, Section 20 of the Securities Act [15 U.S.C. 77t], and Section 21 of the Exchange Act (15 U.S.C. 78u]: (a) Freezing Nikas's assets held in the United States; (b) Requiring the Defendants to preserve documents relevant to this case as further set forth. IT IS FURTHER ORDERED that defendant Nikas, shall deliver any opposing papers in response to this Order to Show Cause by no later than October 28, 2019 at 5pm. Service shall be made by delivering the papers, using the most expeditious means available, by that date and time, to the Boston Regional Office of the Commission at 33 Arch St., 24th Floor, Boston, MA 02110 Attn: Rua Kelly, or such other place as counsel for the Commission may direct in writing. The Commission may have until October 30, 2019 at 5pm to serve, by the most expeditious means available, any reply papers upon the Defendants or their counsel, if counsel shall have made an appearance in this action. All papers must be filed on ECF and a courtesy copy must be delivered simultaneously to chambers, as further set forth in this Order. Show Cause Hearing set for 11/1/2019 at 10:00 AM in Courtroom 24A, 500 Pearl Street, New York, NY 10007 before Judge Colleen McMahon. Show Cause Response due by 10/28/2019. (Signed by Judge Colleen McMahon on 10/22/2019) (mml)
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| Filing 2 CIVIL COVER SHEET filed. (pne) (pne). |
| Filing 1 COMPLAINT against Bryan Cohen, George Nikas. Document filed by United States Securities and Exchange Commission.(pne) (pne). |
| Case Designated ECF. (pne) |
| Magistrate Judge Sarah Netburn 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) |
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