Securities and Exchange Commission v. Hu
| Securities and Exchange Commission |
| David Hu |
| UNITED STATES OF AMERICA |
| 1:2020cv05496 |
| July 17, 2020 |
| US District Court for the Southern District of New York |
| Denise L Cote |
| Securities/Commodities |
| 15 U.S.C. § 77 Securities Fraud |
| Plaintiff |
Docket Report
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This docket was last retrieved on November 1, 2022. A more recent docket listing may be available from PACER.
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Filing 33
STATUS REPORT. Document filed by Securities and Exchange Commission..(Moilanen, Lindsay)
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Filing 32
FINAL JUDGMENT AS TO DEFENDANT DAVID HU: IT IS HEREBY ORDERED, ADJUDGED, AND DECREED that Defendant is permanently restrained and enjoined from violating, directly or indirectly, Section 1O(b) of the SecU1ities Exchange Act of 1934 (the "Exchange Act") [15 U.S.C. 78j(b)] and Rule 10b-5 promulgated thereunder [17 C.F.R. 240.10b-5], by using any means or instrumentality of interstate commerce, or of the mails, or of any facility of any national securities exchange, in connection with the purchase or sale of any security: As further set forth by this Order. IT IS HEREBY FURTHER ORDERED, ADJUDGED, AND DECREED that Defendant is liable for disgorgement of $4,798,232, representing his ill-gotten gains as a result of the conduct alleged in the Complaint, together with prejudgment interest in the amount of $461,477. However, Defendant's obligation to pay disgorgement and prejudgment interest shall be deemed satisfied upon entry of this Final Judgment by the order of restitution entered against him in United States v. Hu, et al., 20 Cr. 360 (S.D.N.Y.) (Alfi) (Dkt. No. 86). (Signed by Judge Denise L. Cote on 9/22/2022) (tg)
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Filing 31
LETTER addressed to Judge Denise L. Cote from Philip A. Fortino dated September 14, 2022 re: Proposed Final Judgment. Document filed by Securities and Exchange Commission..(Fortino, Philip)
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Filing 30
PROPOSED JUDGMENT. Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit Consent to Judgment).(Fortino, Philip) Proposed Judgment to be reviewed by Clerk's Office staff.
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***NOTICE TO COURT REGARDING PROPOSED JUDGMENT. Document No. #30 Proposed Judgment was reviewed and approved as to form. (tp)
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Filing 29
MEMO ENDORSEMENT on re: #28 Status Report filed by Securities and Exchange Commission. ENDORSEMENT: Status letter is due 11/1/22. (Signed by Judge Denise L. Cote on 8/15/2022) (vfr)
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Filing 28
STATUS REPORT. Document filed by Securities and Exchange Commission..(Fortino, Philip)
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Filing 27
MEMO ENDORSEMENT on re: #26 Status Report filed by Securities and Exchange Commission. ENDORSEMENT: Status report is due 8/15/22. (Signed by Judge Denise L. Cote on 5/13/2022) (vfr)
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Filing 26
STATUS REPORT. Document filed by Securities and Exchange Commission..(Moilanen, Lindsay)
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Filing 25
MEMO ENDORSEMENT on re: #24 Status Report filed by Securities and Exchange Commission. ENDORSEMENT: Status letter is due 5/15/2022. (Signed by Judge Denise L. Cote on 3/16/2022) (vfr)
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Filing 24
STATUS REPORT. Document filed by Securities and Exchange Commission..(Moilanen, Lindsay)
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Filing 23
MEMO ENDORSEMENT on re: #22 Status Report filed by Securities and Exchange Commission. ENDORSEMENT: Status letter is due 3/15/22. (Signed by Judge Denise L. Cote on 1/28/2022) (vfr)
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Filing 22
STATUS REPORT. Document filed by Securities and Exchange Commission..(Moilanen, Lindsay)
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Filing 21
MEMO ENDORSEMENT on re: #20 Status Report filed by Securities and Exchange Commission. ENDORSEMENT: The parties shall submit a status letter by 1/28/22. (Signed by Judge Denise L. Cote on 12/2/2021) (vfr)
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Filing 20
STATUS REPORT. Document filed by Securities and Exchange Commission..(Fortino, Philip)
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Filing 19
ORDER: IT IS HEREBY ORDERED that the conference scheduled for November 3, 2021 is adjourned sine die. IT IS FURTHER ORDERED that the parties shall submit a status letter by Wednesday, December 1. (Signed by Judge Denise L. Cote on 11/2/2021) (jwh)
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Filing 18
MEMO ENDORSEMENT on re: #17 Status Report filed by Securities and Exchange Commission. ENDORSEMENT: A telephone conference shall be held on November 3, 2021 at 2:00 pm. The parties shall use the following dial-in credentials for the conference. Dial-in: 888-363-4749 Access code: 4324948 The parties shall use a landline if one is available. ( Telephone Conference set for 11/3/2021 at 02:00 PM before Judge Denise L. Cote.) (Signed by Judge Denise L. Cote on 9/20/2021) (vfr)
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Filing 17
STATUS REPORT. Document filed by Securities and Exchange Commission..(Fortino, Philip)
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Filing 16
JUDGMENT AS TO DEFENDANT DAVID HU: IT IS HEREBY ORDERED, ADJUDGED, AND DECREED that Defendant is permanently restrained and enjoined from violating, directly or indirectly, Section 10(b) of the Securities Exchange Act of 1934 (the "Exchange Act") [15 U.S.C. 78j(b)] and Rule 10b-5 promulgated thereunder [17 C.F.R. 240.10b-5], by using any means or instrumentality of interstate commerce, or of the mails, or of any facility of any national securities exchange, in connection with the purchase or sale of any security: (a) to employ any device, scheme, or artifice to defraud, and as further set forth in this judgment. 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 Judgment. (Signed by Judge Denise L. Cote on 2/1/2021) (jwh)
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Filing 15
ORDER: It is hereby ORDERED that the request to lift the stay of this case for the limited purpose of seeking approval of a proposed partial consent judgment is granted. (Signed by Judge Denise L. Cote on 2/1/2021) (jwh)
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Filing 14
PROPOSED JUDGMENT. Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit Consent to Judgment).(Fortino, Philip) Proposed Judgment to be reviewed by Clerk's Office staff.
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Filing 13
LETTER addressed to Judge Denise L. Cote from Philip A. Fortino dated February 1, 2021 re: Proposed Judgment. Document filed by Securities and Exchange Commission..(Fortino, Philip)
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***NOTICE TO COURT REGARDING PROPOSED JUDGMENT. Document No. #14 Proposed Judgment was reviewed and approved as to form. (km)
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Filing 12
ORDER granting #10 Motion to Intervene. It is hereby ORDERED that the Government's motion to intervene is granted. IT IS FURTHER ORDERED that the above-captioned civil action is stayed until the conclusion of the parallel criminal case. IT IS FURTHER ORDERED that the SEC shall submit a status report on September 18, 2021. (As further set forth in this Order.) (Signed by Judge Denise L. Cote on 9/21/2020) (cf)
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Case Stayed (cf)
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Filing 11
MEMORANDUM OF LAW in Support re: #10 MOTION to Intervene and for Stay. . Document filed by UNITED STATES OF AMERICA. (Attachments: #1 Exhibit A, #2 Exhibit B).(Rossmiller, Alex)
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Filing 10
MOTION to Intervene and for Stay. Document filed by UNITED STATES OF AMERICA..(Rossmiller, Alex)
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Filing 9
NOTICE OF APPEARANCE by Alex Rossmiller on behalf of UNITED STATES OF AMERICA..(Rossmiller, Alex)
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Filing 8
NOTICE OF APPEARANCE by Jason Thomas Mitchell on behalf of David Hu..(Mitchell, Jason)
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Filing 7
NOTICE OF APPEARANCE by Howard Schiffman on behalf of David Hu..(Schiffman, Howard)
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Filing 6
WAIVER OF SERVICE RETURNED EXECUTED. David Hu waiver sent on 7/21/2020, answer due 9/21/2020. Document filed by Securities and Exchange Commission..(Fortino, Philip)
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CASE ACCEPTED AS RELATED. Create association to 1:19-cv-10796-DLC. Notice of Assignment to follow. (wb)
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NOTICE OF CASE REASSIGNMENT to Judge Denise L. Cote. Judge Unassigned is no longer assigned to the case..(wb)
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Magistrate Judge Robert W. Lehrburger 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. (wb)
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Filing 5
STATEMENT OF RELATEDNESS re: that this action be filed as related to 19-cv-10796. Document filed by Securities and Exchange Commission..(Michael, Daniel)
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***NOTICE TO ATTORNEY TO ELECTRONICALLY FILE RELATED CASE STATEMENT. Notice to Attorney Daniel Michael, for non compliance with Local Rule 13 of the Division of Business Among Judges. Attorney must electronically file the Related Case Statement. Use the event type Statement of Relatedness found under the event list Other Documents. (jgo)
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***NOTICE TO ATTORNEY REGARDING CIVIL CASE OPENING STATISTICAL ERROR CORRECTION: Notice to attorney Daniel Michael. The following case opening statistical information was erroneously selected/entered: Fee Status code none (no fee required);. The following correction(s) have been made to your case entry: the Fee Status code has been modified to wv (waived);. (jgo)
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CASE OPENING INITIAL ASSIGNMENT NOTICE: The above-entitled action is assigned to Judge Unassigned. .(jgo)
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Case Designated ECF. (jgo)
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CASE REFERRED TO Judge Denise L. Cote as possibly related to 19-cv-10796. (jgo)
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Filing 4
NOTICE OF APPEARANCE by Lindsay Senechal Moilanen on behalf of Securities and Exchange Commission..(Moilanen, Lindsay)
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Filing 3
NOTICE OF APPEARANCE by Philip Andrew Fortino on behalf of Securities and Exchange Commission..(Fortino, Philip)
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Filing 2
CIVIL COVER SHEET filed..(Michael, Daniel)
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Filing 1
COMPLAINT against David Hu. Document filed by Securities and Exchange Commission..(Michael, Daniel)
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