Securities and Exchange Commission v. Silver
| Securities and Exchange Commission |
| Martin Silver |
| 1:2021cv03179 |
| April 13, 2021 |
| 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
RSS Track this Docket
This docket was last retrieved on March 23, 2023. A more recent docket listing may be available from PACER.
| Document Text |
|---|
Filing 23
FINAL JUDGMENT AS TO DEFENDANT MARTIN SILVER: 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: As further set forth by this Order. IT IS HEREBY FURTHER ORDERED, ADJUDGED, AND DECREED that Defendant is liable for disgorgement of $2,306,856, representing his ill-gotten gains as a result of the conduct alleged in the Complaint, together with prejudgment interest in the amount of $243,403.98. 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.) (AKH) (Dkt. No. 100). (Signed by Judge Denise L. Cote on 3/22/2023) (tg)
|
|
Filing 22
LETTER addressed to Judge Denise L. Cote from Lindsay Moilanen dated March 22, 2023 re: Proposed Judgment. Document filed by Securities and Exchange Commission..(Moilanen, Lindsay)
|
|
Filing 21
PROPOSED JUDGMENT. Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit Signed Consent).(Moilanen, Lindsay) Proposed Judgment to be reviewed by Clerk's Office staff.
|
|
***NOTICE TO COURT REGARDING PROPOSED JUDGMENT. Document No. #21 Proposed Judgment was reviewed and approved as to form. (km)
|
|
Filing 20
MEMO ENDORSEMENT on re: #19 Status Report filed by Securities and Exchange Commission. ENDORSEMENT: Status letter is due 5/15/23. (Signed by Judge Denise L. Cote on 2/24/2023) (vfr)
|
|
Filing 19
STATUS REPORT. Document filed by Securities and Exchange Commission..(Moilanen, Lindsay)
|
|
Filing 18
MEMO ENDORSEMENT on MOTION FOR WITHDRAWAL OF ATTORNEY: granting #16 Motion to Withdraw as Attorney. ENDORSEMENT: Granted. Attorney Philip Andrew Fortino terminated. (Signed by Judge Denise L. Cote on 1/04/2023) (ama)
|
|
Filing 17
CERTIFICATE OF SERVICE of Motion to Withdraw served on Martin Silver on 01/03/2023. Document filed by Securities and Exchange Commission..(Fortino, Philip)
|
|
Filing 16
MOTION for Philip A. Fortino to Withdraw as Attorney . Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit Proposed Order).(Fortino, Philip)
|
|
Filing 15
MEMO ENDORSEMENT on re: #14 Status Report filed by Securities and Exchange Commission. ENDORSEMENT: Status letter is due 2/24/2023. (Signed by Judge Denise L. Cote on 12/15/2022) (tg)
|
|
Filing 14
STATUS REPORT. Document filed by Securities and Exchange Commission..(Fortino, Philip)
|
|
Filing 13
MEMO ENDORSEMENT on re: #12 Status Report filed by Securities and Exchange Commission. ENDORSEMENT: Status letter is due 12/15/22. (Signed by Judge Denise L. Cote on 6/30/2022) (vfr)
|
|
Filing 12
STATUS REPORT. Document filed by Securities and Exchange Commission..(Moilanen, Lindsay)
|
|
Filing 11
MEMO ENDORSEMENT on re: #10 Status Report filed by Securities and Exchange Commission. ENDORSEMENT: Status letter is due 6/30/22. (Signed by Judge Denise L. Cote on 11/29/2021) (vfr)
|
|
Filing 10
STATUS REPORT. Document filed by Securities and Exchange Commission..(Fortino, Philip)
|
|
Filing 9
ORDER: It is hereby ORDERED that a status letter is due November 23, 2021. So Ordered. (Signed by Judge Denise L. Cote on 4/16/2021) (js)
|
|
Filing 8
JUDGMENT AS TO DEFENDANT MARTIN SILVER: The Securities and Exchange Commission having filed a Complaint and Defendant Martin Silver ("Defendant") having entered a general appearance; consented to the Court's jurisdiction over Defendant and the subject matter of this action; consented to entry of this Judgment; waived findings of fact and conclusions of law; and waived any right to appeal from this Judgment: IT IS FURTHER ORDERED, ADJUDGED, AND DECREED that, as provided in Federal Rule of Civil Procedure 65(d)(2), the foregoing paragraph also binds the following who receive actual notice of this Judgment by personal service or otherwise: (a) Defendant's officers, agents, servants, employees, and attorneys; and (b) other persons in active concert or participation with Defendant or with anyone described in (a). IT IS HEREBY ORDERED, ADJUDGED, AND DECREED that Defendant is permanently restrained and enjoined from violating Sections 206(1) and 206(2) of the Investment Advisers Act of 1940 (the Advisers Act) [15 U.S.C. 80b-6(1) and 80(b)-6 (2)], by, while acting as an investment adviser, using any means or instrumentalities of interstate commerce, or any means or instruments of transportation or communication in interstate commerce, or by the mails or any facility of any national securities exchange: As further set forth. IT IS FURTHER ORDERED, ADJUDGED, AND DECREED that, as provided in Federal Rule of Civil Procedure 65(d)(2), the foregoing paragraph also binds the following who receive actual notice of this Judgment by personal service or otherwise: (a) Defendant's officers, agents, servants, employees, and attorneys; and (b) other persons in active concert or participation with Defendant or with anyone described in (a). IT IS FURTHER ORDERED, ADJUDGED, AND DECREED that the Consent is incorporated herein with the same force and effect as if fully set forth herein, and that Defendant shall comply with all of the undertakings and agreements set forth therein. VIII. 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. Pursuant to Fed. R Civ. P 54(b), there is no just reason for delay in the entry of Judgment. So Ordered (Signed by Judge Denise L. Cote on 4/16/2021) (js)
|
|
Filing 7
LETTER addressed to Judge Denise L. Cote from Philip A. Fortino dated April 15, 2021 re: Proposed Judgment. Document filed by Securities and Exchange Commission..(Fortino, Philip)
|
|
Filing 6
PROPOSED JUDGMENT. Document filed by Securities and Exchange Commission. (Attachments: #1 Consent to Judgment).(Fortino, Philip) Proposed Judgment to be reviewed by Clerk's Office staff.
|
|
NOTICE OF CASE REASSIGNMENT to Judge Denise L. Cote. Judge Unassigned is no longer assigned to the case. (laq)
|
|
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. (laq)
|
|
CASE ACCEPTED AS RELATED. Create association to 1:19-cv-10796-DLC. Notice of Assignment to follow. (laq)
|
|
***NOTICE TO COURT REGARDING PROPOSED JUDGMENT. Document No. #6 Proposed Judgment was reviewed and approved as to form. (dt)
|
|
Case Designated ECF. (sj)
|
|
CASE OPENING INITIAL ASSIGNMENT NOTICE: The above-entitled action is assigned to Judge Unassigned. (sj)
|
|
CASE REFERRED TO Judge Denise L. Cote as possibly related to 1:19cv10796. (sj)
|
|
Filing 5
NOTICE OF APPEARANCE by Lindsay Senechal Moilanen on behalf of Securities and Exchange Commission..(Moilanen, Lindsay)
|
|
Filing 4
NOTICE OF APPEARANCE by Philip Andrew Fortino on behalf of Securities and Exchange Commission..(Fortino, Philip)
|
|
Filing 3
STATEMENT OF RELATEDNESS re: that this action be filed as related to 19-cv-10796. Document filed by Securities and Exchange Commission..(Michael, Daniel)
|
|
Filing 2
CIVIL COVER SHEET filed..(Michael, Daniel)
|
|
Filing 1
COMPLAINT against Martin Silver. Document filed by Securities and Exchange Commission..(Michael, Daniel)
|
Access additional case information on PACER
Use the links below to access additional information about this case on the US Court's PACER system. A subscription to PACER is required.
Access this case on the New York Southern District Court's Electronic Court Filings (ECF) System
- Search for Party Aliases
- Associated Cases
- Attorneys
- Case File Location
- Case Summary
- Docket Report
- History/Documents
- Parties
- Related Transactions
- Check Status
| Search for this case: Securities and Exchange Commission v. Silver | |
|---|---|
| Search News | [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ] |
| Search Web | [ Unicourt | Legal Web | Google | Bing | Yahoo | Ask ] |
| Defendant: Martin Silver | |
| Search News | [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ] |
| Search Finance | [ Google Finance | Yahoo Finance | Hoovers | SEC Edgar Filings ] |
| Search Web | [ Unicourt | Justia Dockets | Legal Web | Google | Bing | Yahoo | Ask ] |
| Plaintiff: Securities and Exchange Commission | |
| Represented By: | Lindsay Senechal Moilanen |
| Represented By: | Daniel Michael |
| Represented By: | Philip Andrew Fortino |
| Search News | [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ] |
| Search Finance | [ Google Finance | Yahoo Finance | Hoovers | SEC Edgar Filings ] |
| Search Web | [ Unicourt | Justia Dockets | Legal Web | Google | Bing | Yahoo | Ask ] |
Disclaimer: Justia Dockets & Filings provides public litigation records from the federal appellate and district courts. These filings and docket sheets should not be considered findings of fact or liability, nor do they necessarily reflect the view of Justia.
