Securities and Exchange Commisison v. Bajic et al
| Securities and Exchange Commisison |
| SSID Ltd., Kenneth Ciapala, Sure Mighty Ltd., Tamarind Investments, Inc., Crystalmount Ltd., Aaron Dale Wise, Island Fortune Global Ltd., Fountain Drive Ltd., Norfolk Heights Ltd., Anthony Killarney, Blacklight SA, Steve M. Bajic, Wisdom Chain Ltd., Rajesh Taneja and Christopher Lee McKnight |
| 1:2020cv00007 |
| January 2, 2020 |
| US District Court for the Southern District of New York |
| Lorna G Schofield |
| Securities/Commodities |
| 15 U.S.C. § 77 |
| Plaintiff |
Docket Report
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This docket was last retrieved on September 27, 2023. A more recent docket listing may be available from PACER.
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Filing 58
LETTER MOTION to Continue Initial Pre-Trial Conference addressed to Judge Lorna G. Schofield from Plaintiff, Securities and Exchange Commission dated 2/27/20. Document filed by Securities and Exchange Commisison. (Attachments: #1 Exhibit Update on Service of Process).(Israel, Rebecca)
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Filing 57
SUMMONS RETURNED EXECUTED. Aaron Dale Wise served on 2/18/2020, answer due 3/10/2020. Service was accepted by Ben Gilkey as co-resident. Document filed by Securities and Exchange Commisison..(Shields, Kathleen)
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Filing 56
NOTICE OF APPEARANCE by Rebecca Israel on behalf of Securities and Exchange Commisison..(Israel, Rebecca)
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Filing 55
ORDER granting #53 Motion for Rebecca Israel to Appear Pro Hac Vice (HEREBY ORDERED by Judge Lorna G. Schofield)(Text Only Order) (jcs)
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Filing 54
STIPULATION AND ORDER FREEZING ASSETS AS TO DEFENDANT STEVE M. BARC: IT IS HEREBY STIPULATED, AGREED AND ORDERED that: A. Defendant Bajic, and each of his, agents, servants, employees and attorneys and those persons in active concert or participation with him who receive actual notice of this Stipulation and Order by personal service or otherwise, including facsimile transmission, electronic mail, or overnight delivery service, shall hold and retain the funds held by Bajic, or for his direct or indirect benefit, or under his direct or indirect control in the following accounts, and shall prevent any withdrawal, sale, payment (including, but not limited to, any charges on any credit card or draws on any other credit arrangement), transfer, dissipation, assignment, pledge, alienation, encumbrance, disposal, or diminution in value of any such funds or other assets, which are hereby frozen (As further set forth in this Order.) Unless otherwise ordered by the Court, this Order shall remain in effect until entry of a Final Judgment as to Defendant Bajic or other final disposition of this action as to him. (Signed by Judge Lorna G. Schofield on 1/30/2020) (cf) Transmission to Finance Unit (Cashiers) for processing.
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Filing 53
MOTION for Rebecca Israel to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Securities and Exchange Commisison. (Attachments: #1 Affidavit of Rebecca Israel, #2 Certificate of Good Standing, #3 Text of Proposed Order)(Shields, Kathleen)
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>>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #53 MOTION for Rebecca Israel 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)
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Filing 52
PROPOSED STIPULATION AND ORDER. Document filed by Securities and Exchange Commisison. (Shields, Kathleen)
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Filing 51
MEMO ENDORSEMENT on re: #50 Letter filed by Securities and Exchange Commission. As stated below, the SEC shall file the proposed asset freeze order by January 29, 2020. Until Defendant Bajic appears, Defendant's substantive arguments made to the Court will not be considered, unless Defendant justifies how extraordinary circumstances or legal authority require that his arguments be considered, notwithstanding his nonappearance. SO ORDERED. (Signed by Judge Lorna G. Schofield on 1/22/2020) (kv)
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Filing 50
LETTER addressed to Judge Lorna G. Schofield from Kathleen Shields dated January 21, 2020 re: response to Court Order, Docket No. 46. Document filed by Securities and Exchange Commisison.(Shields, Kathleen)
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Filing 49
NOTICE OF APPEARANCE by Kathleen B. Shields on behalf of Securities and Exchange Commisison. (Shields, Kathleen)
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Filing 48
ORDER granting #3 Motion for Kathleen Burdette Shields to Appear Pro Hac Vice (HEREBY ORDERED by Judge Lorna G. Schofield)(Text Only Order) (jcs)
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Filing 47
STATUS REPORT. as to service of Docket No. 40 Document filed by Securities and Exchange Commisison.(Reed, Alicia)
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Filing 46
MEMO ENDORSEMENT on re: #43 Letter filed by Steve M. Bajic, #44 Letter filed by Steve M. Bajic. ENDORSEMENT: The Court construes the letter motion below as applying to the Revised Order to Freeze Assets, entered today. Plaintiff, the Securities Exchange Commission, shall file a response -- not to exceed 5 single-spaced pages -- to the motion to vacate or modify the Revised Order below, by January 21, 2020. No reply will be allowed. The parties shall meet and confer, as soon as possible and no later than January 21, 2020, to attempt to resolve the below issues on their own, and to agree on terms and/or a modification to the Revised Order. If the parties are successful, they shall file a letter by January 21, 2020, in lieu of the SEC's motion response: (1) advising on the resolution, including specifically on terms, if any, for Defendant's use of assets for reasonable attorney's fees and living expenses, and (2) attaching a proposed Second Revised Order. (Responses due by 1/21/2020) (Signed by Judge Lorna G. Schofield on 1/15/2020) (cf)
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Filing 45
REVISED ORDER FREEZING AND REPATRIATING ASSETS granting #5 Motion for Preliminary Injunction. IT IS HEREBY ORDERED that: The Bajic-Taneja Defendants, and each of their officers, agents, servants, employees and attorneys and those persons in active concert or participation with them who receive actual notice of this Order by personal service or otherwise, including facsimile transmission, electronic mail, or overnight delivery service, shall hold and retain funds and other assets of any of the Bajic-Taneja Defendants presently held by them, for their direct or indirect benefit, under their direct or indirect control or over which they exercise actual or apparent investment or other authority (including assets held in the name of or for the benefit of any of the Bajic-Taneja Defendants, in whatever form such assets may presently exist and wherever located, and shall prevent any withdrawal, sale, payment (including, but not limited to, any charges on any credit card or draws on any other credit arrangement)), transfer, dissipation, assignment, pledge, alienation, encumbrance, disposal, or diminution in value of any such funds or other assets, which are hereby frozen, including, but not limited to, real property located at 7850 Mayfield St. V6B OH6 Burnaby, British Columbia BC V5E 2J6, and funds held in the following accounts (as further set forth in this Order.) IT IS HEREBY FURTHER ORDERED that the Bajic-Taneja Defendants, and each of their officers, agents, servants, employees and attorneys, and those persons in active concert or participation with them who receive actual notice of this Order by personal service or otherwise, including via facsimile or email transmission, or overnight delivery service, and each of them, shall, within five days of receiving actual notice of this Order, take such steps as are necessary to repatriate and deposit into the registry of the Court in an interest bearing account, any and all funds or assets that presently may be located outside of the United States that were obtained directly or indirectly from the trading described in the Complaint. (Signed by Judge Lorna G. Schofield on 1/15/2020) (cf) Transmission to Finance Unit (Cashiers) for processing.
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Filing 44
AMENDED LETTER addressed to Judge Lorna G. Schofield from Robert J. Anello dated 01/15/2020 re: Order dated January 9, 2020. Document filed by Steve M. Bajic.(Anello, Robert)
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Filing 43
LETTER addressed to Judge Lorna G. Schofield from Robert J. Anello dated January 15, 2020 re: Order Dated January 9, 2020. Document filed by Steve M. Bajic.(Anello, Robert)
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Filing 42
LETTER addressed to Judge Lorna G. Schofield from Kathleen Shields dated January 14, 2020 re: Letter filed as Docket No. 41. Document filed by Securities and Exchange Commisison.(Reed, Alicia)
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Filing 41
LETTER addressed to Judge Lorna G. Schofield from Robert J. Anello dated January 13, 2020 re: Order Dated January 9, 2020. Document filed by Steve M. Bajic.(Anello, Robert)
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Filing 40
ORDER: Initial Conference set for 3/5/2020 at 10:30 AM in Courtroom 1106, Thurgood Marshal Courthouse, 40 Foley Square, New York, NY 10007 before Judge Lorna G. Schofield. (Signed by Judge Lorna G. Schofield on 1/10/2020) (jca)
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Filing 39
ELECTRONIC SUMMONS ISSUED as to Steve M. Bajic. (dnh)
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Filing 38
MOTION to Amend/Correct #37 Order,,,,, . Document filed by Securities and Exchange Commisison. (Attachments: #1 Text of Proposed Order)(Reed, Alicia)
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Filing 37
ORDER: Having considered the motion for an asset freeze, and other preliminary relief filed by plaintiff Securities and Exchange Commission (the Commission), as well as the Complaint, the Commissions memorandum of law, and the accompanying declaration of Trevor Donelan, the Court finds that the Commission has shown that: (1) it is reasonably likely to establish that Steve M. Bajic, Rajesh Taneja, Norfolk Heights Ltd., Fountain Drive Ltd., Island Fortune Global Ltd., Crystalmount Ltd., Wisdom Chain Ltd., SSID Ltd., Sure Mighty Ltd., and Tamarind Investments Inc. (collectively, the Bajic-Taneja Defendants) have directly or indirectly engaged in the violations alleged in the Complaint; (2) there is a likelihood that unless restrained and enjoined by Order of this Court, the Bajic-Taneja Defendants may dissipate and conceal assets which could be subject to an order of disgorgement or an order to pay a civil monetary penalty in this action; and (3) entry of an order repatriating the Bajic-Taneja Defendants assets to the United States is in the public interest. In consideration of the foregoing: (As herein set forth in this Order). III. IT IS HEREBY FURTHER ORDERED that the conditions set forth in the preceding paragraphs of this Order shall expire on April 9, 2020, but this temporal limitation is applied without prejudice to an extension (upon Plaintiff's motion). (Signed by Judge Lorna G. Schofield on 1/9/2020) (va)
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Filing 36
REQUEST FOR ISSUANCE OF SUMMONS as to Steve M. Bajic, re: #4 Complaint,. Document filed by Securities and Exchange Commisison. (Reed, Alicia)
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Filing 35
ELECTRONIC SUMMONS ISSUED as to Wisdom Chain Ltd.. (dnh)
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Filing 34
ELECTRONIC SUMMONS ISSUED as to Tamarind Investments, Inc.. (dnh)
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Filing 33
ELECTRONIC SUMMONS ISSUED as to Sure Mighty Ltd.. (dnh)
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Filing 32
ELECTRONIC SUMMONS ISSUED as to SSID Ltd.. (dnh)
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Filing 31
ELECTRONIC SUMMONS ISSUED as to Rajesh Taneja. (dnh)
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Filing 30
ELECTRONIC SUMMONS ISSUED as to Norfolk Heights Ltd.. (dnh)
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Filing 29
ELECTRONIC SUMMONS ISSUED as to Kenneth Ciapala. (dnh)
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Filing 28
ELECTRONIC SUMMONS ISSUED as to Island Fortune Global Ltd.. (dnh)
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Filing 27
ELECTRONIC SUMMONS ISSUED as to Fountain Drive Ltd.. (dnh)
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Filing 26
ELECTRONIC SUMMONS ISSUED as to Crystalmount Ltd.. (dnh)
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Filing 25
ELECTRONIC SUMMONS ISSUED as to Christopher Lee McKnight. (dnh)
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Filing 24
ELECTRONIC SUMMONS ISSUED as to Blacklight SA. (dnh)
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Filing 23
ELECTRONIC SUMMONS ISSUED as to Anthony Killarney. (dnh)
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Filing 22
ELECTRONIC SUMMONS ISSUED as to Aaron Dale Wise. (dnh)
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***NOTICE TO ATTORNEY REGARDING DEFICIENT REQUEST FOR ISSUANCE OF SUMMONS. Notice to Attorney Alicia Marie Reed to RE-FILE Document No. #18 Request for Issuance of Summons. The filing is deficient for the following reason(s): the PDF attached to the docket entry for the issuance of summons is not correct; the party name listed in the as to docket entry must be spelled exactly as it appears in the pleading caption. 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)
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Filing 21
REQUEST FOR ISSUANCE OF SUMMONS as to Wisdom Chain LTD, re: #4 Complaint,. Document filed by Securities and Exchange Commisison. (Reed, Alicia)
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Filing 20
REQUEST FOR ISSUANCE OF SUMMONS as to Tamarind Investments Inc., re: #4 Complaint,. Document filed by Securities and Exchange Commisison. (Reed, Alicia)
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Filing 19
REQUEST FOR ISSUANCE OF SUMMONS as to Sure Mighty LTD, re: #4 Complaint,. Document filed by Securities and Exchange Commisison. (Reed, Alicia)
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Filing 18
FILING ERROR - DEFICIENT PLEADING - SUMMONS REQUEST As To - REQUEST FOR ISSUANCE OF SUMMONS as to Steve Bajic, re: #4 Complaint,. Document filed by Securities and Exchange Commisison. (Reed, Alicia) Modified on 1/8/2020 (dnh).
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Filing 17
REQUEST FOR ISSUANCE OF SUMMONS as to SSID LTD, re: #4 Complaint,. Document filed by Securities and Exchange Commisison. (Reed, Alicia)
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Filing 16
REQUEST FOR ISSUANCE OF SUMMONS as to Rajesh Teneja, re: #4 Complaint,. Document filed by Securities and Exchange Commisison. (Reed, Alicia)
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Filing 15
REQUEST FOR ISSUANCE OF SUMMONS as to Norfolk Heights Ltd, re: #4 Complaint,. Document filed by Securities and Exchange Commisison. (Reed, Alicia)
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Filing 14
REQUEST FOR ISSUANCE OF SUMMONS as to Kenneth Ciapala, re: #4 Complaint,. Document filed by Securities and Exchange Commisison. (Reed, Alicia)
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Filing 13
REQUEST FOR ISSUANCE OF SUMMONS as to Island Fortune Global LTD, re: #4 Complaint,. Document filed by Securities and Exchange Commisison. (Reed, Alicia)
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Filing 12
REQUEST FOR ISSUANCE OF SUMMONS as to Fountain Drive LTD, re: #4 Complaint,. Document filed by Securities and Exchange Commisison. (Reed, Alicia)
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Filing 11
REQUEST FOR ISSUANCE OF SUMMONS as to Crystalmount LTD, re: #4 Complaint,. Document filed by Securities and Exchange Commisison. (Reed, Alicia)
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Filing 10
REQUEST FOR ISSUANCE OF SUMMONS as to Christopher Lee McKnight, re: #4 Complaint,. Document filed by Securities and Exchange Commisison. (Reed, Alicia)
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Filing 9
REQUEST FOR ISSUANCE OF SUMMONS as to Blacklight SA, re: #4 Complaint,. Document filed by Securities and Exchange Commisison. (Reed, Alicia)
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Filing 8
REQUEST FOR ISSUANCE OF SUMMONS as to Anthony Killarney, re: #4 Complaint,. Document filed by Securities and Exchange Commisison. (Reed, Alicia)
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Filing 7
REQUEST FOR ISSUANCE OF SUMMONS as to Aaron Dale Wise, re: #4 Complaint,. Document filed by Securities and Exchange Commisison. (Reed, Alicia)
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Filing 6
MEMORANDUM OF LAW in Support re: #5 MOTION for Preliminary Injunction freeezing and repatriating assets belonging to defednants Bajic, Taneja and related entities. . Document filed by Securities and Exchange Commisison. (Attachments: #1 Affidavit of Trevor Donelan, #2 Exhibit 1, #3 Exhibit 2, #4 Exhibit 3, #5 Exhibit 4, #6 Exhibit 5, #7 Exhibit 6, #8 Exhibit 7, #9 Exhibit 8, #10 Exhibit 9, #11 Exhibit 10, #12 Exhibit 11, #13 Exhibit 12)(Reed, Alicia)
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Filing 5
MOTION for Preliminary Injunction freeezing and repatriating assets belonging to defednants Bajic, Taneja and related entities. Document filed by Securities and Exchange Commisison. (Attachments: #1 Text of Proposed Order)(Reed, Alicia)
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Filing 4
COMPLAINT against Steve M. Bajic, Blacklight SA, Kenneth Ciapala, Crystalmount Ltd., Fountain Drive Ltd., Island Fortune Global Ltd., Anthony Killarney, Christopher Lee McKnight, Norfolk Heights Ltd., SSID Ltd., Sure Mighty Ltd., Tamarind Investments, Inc., Rajesh Taneja, Wisdom Chain Ltd., Aaron Dale Wise. Document filed by Securities and Exchange Commisison.(Reed, Alicia)
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CASE OPENING INITIAL ASSIGNMENT NOTICE: The above-entitled action is assigned to Judge Lorna G. Schofield. Please download and review the Individual Practices of the assigned District Judge, located at #https://nysd.uscourts.gov/judges/district-judges. 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 #https://nysd.uscourts.gov/rules/ecf-related-instructions. (pne)
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Case Designated ECF. (pne)
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Magistrate Judge Katharine H. Parker 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: #https://nysd.uscourts.gov/sites/default/files/2018-06/AO-3.pdf. (pne)
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***NOTICE TO ATTORNEY REGARDING CIVIL CASE OPENING STATISTICAL ERROR CORRECTION: Notice to attorney Alicia Marie Reed. The following case opening statistical information was erroneously selected/entered: Jurisdiction code 3 (Federal Question); Fee Status code pd (paid). The following correction(s) have been made to your case entry: the Jurisdiction code has been modified to 1 (U.S. Government Plaintiff); the Fee Status code has been modified to wv (waived). (pne)
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***NOTICE TO ATTORNEY REGARDING DEFICIENT PLEADING. Notice to Attorney Alicia Marie Reed to RE-FILE Document No. #1 Complaint. The filing is deficient for the following reason(s): the All Defendant radio button was selected; the party/parties whom the pleading is against were not selected. Re-file the pleading using the event type Complaint found under the event list Complaints and Other Initiating Documents - attach the PDF - select the individually named filer/filers - select the individually named party/parties the pleading is against. (pne)
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Filing 3
MOTION for Kathleen Burdette Shields to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Securities and Exchange Commisison. (Attachments: #1 Affidavit, #2 Exhibit Certificate of Good Standing, #3 Text of Proposed Order)(Reed, Alicia)
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Filing 2
CIVIL COVER SHEET filed. (Reed, Alicia)
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Filing 1
FILING ERROR - DEFICIENT PLEADING - FILED AGAINST PARTY ERROR -COMPLAINT against All Defendants. Document filed by Securities and Exchange Commisison.(Reed, Alicia) Modified on 1/3/2020 (pne).
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>>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #3 MOTION for Kathleen Burdette Shields 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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