Aegis Capital Corp. v. Greenwich Lifesciences, Inc.
| Aegis Capital Corp. |
| Greenwich Lifesciences, Inc., Snehal Patel, F. Joseph Daughtery, David McWilliams, Eric Rothe and Kenneth Hallock |
| 1:2021cv07344 |
| September 1, 2021 |
| US District Court for the Southern District of New York |
| Foley Square Office |
| Denise L Cote |
| Contract: Other |
| 15 U.S.C. § 294 |
| Plaintiff |
Docket Report
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This docket was last retrieved on November 3, 2021. A more recent docket listing may be available from PACER.
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Filing 28
NOTICE OF VOLUNTARY DISMISSAL PURSUANT TO F.R.C.P 41(a)(1)(A)(i): Pursuant to F.R.C.P. 41(a)(1)(A)(i) of the Federal Rules of Civil Procedure, the Plaintiff Aegis Capital Corp. and or their counsel, hereby give notice that the above-captioned action is voluntarily dismissed with prejudice against Defendant Greenwich Lifesciences, Inc. So ordered. Greenwich Lifesciences, Inc. terminated. (Signed by Judge Denise L. Cote on 11/3/2021) (vfr)
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| Terminate Transcript Deadlines (vfr) |
| Filing 27 NOTICE OF VOLUNTARY DISMISSAL pursuant to Rule 41(a)(1)(A)(i) of the Federal Rules of Civil Procedure, the plaintiff(s) and or their counsel(s), hereby give notice that the above-captioned action is voluntarily dismissed, with prejudice against the defendant(s) Greenwich Lifesciences, Inc.. Document filed by Aegis Capital Corp.. Proposed document to be reviewed and processed by Clerk's Office staff (No action required by chambers)...(Roth, Richard) |
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Filing 26
ORDER OF DISCONTINUANCE: It having been reported to this Court that this case has been settled, it is hereby ORDERED that the above-captioned action is discontinued without costs to any party and without prejudice to restoring the action to this Court's calendar if the application to restore the action is made by November 19, 2021. If no such application is made by that date, today's dismissal of the action is with prejudice. See Muze, Inc. v. Digital On Demand, Inc., 356 F.3d 492, 494 n.1 (2d Cir. 2004). IT IS FURTHER ORDERED that the initial pretrial conference scheduled for today, October 20, is adjourned. (Signed by Judge Denise L. Cote on 10/20/2021) (jwh)
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| Filing 25 LETTER MOTION to Adjourn Conference addressed to Judge Denise L. Cote from Peter G. Siachos, Esq. dated October 20, 2021. Document filed by Greenwich Lifesciences, Inc...(Siachos, Peter) |
| Filing 24 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a CONFERENCE proceeding held on 9/15/21 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days....(Moya, Goretti) |
| Filing 23 TRANSCRIPT of Proceedings re: CONFERENCE held on 9/15/2021 before Judge Denise L. Cote. Court Reporter/Transcriber: Rebecca Forman, (212) 805-0300. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 11/8/2021. Redacted Transcript Deadline set for 11/17/2021. Release of Transcript Restriction set for 1/15/2022..(Moya, Goretti) |
| ***NOTICE TO ATTORNEY REGARDING DEFICIENT PLEADING. Notice to Attorney Richard Alan Roth re: Document No. #22 Amended Complaint,. The filing is deficient for the following reason(s): the pleading is amended more than 21 days after service of the original pleading; Court's leave has not been granted. File the Exhibit to Pleading event found under the event list Other Documents and attach either opposing party's written consent or Court's leave. (vf) |
| ***NOTICE TO ATTORNEY REGARDING PARTY MODIFICATION. Notice to attorney Richard Alan Roth. The party information for the following party/parties has been modified: Snehal Patel, F. Joseph Daughtery, David McWilliams, Eric Rothe, Kenneth Hallock. The information for the party/parties has been modified for the following reason/reasons: party role was entered incorrectly. (vf) |
| Filing 22 FILING ERROR - DEFICIENT PLEADING - FRCP RULE 15 NON-COMPLIANCE -FIRST AMENDED COMPLAINT amending #2 Complaint against Greenwich Lifesciences, Inc., Snehal Patel, F. Joseph Daughtery, David McWilliams, Eric Rothe, Kenneth Hallock with JURY DEMAND.Document filed by Aegis Capital Corp.. Related document: #2 Complaint..(Roth, Richard) Modified on 9/28/2021 (vf). |
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Filing 21
ORDER FOR INITIAL PRETRIAL CONFERENCE: Initial Conference set for 10/20/2021 at 03:30 PM in telephone or video conference before Judge Denise L. Cote. The parties shall use the following dial-in credentials for the conference. Dial-in: 888-363-4749 Access code: 4324948. SO ORDERED. (Signed by Judge Denise L. Cote on September 23, 2021) (ST)
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Filing 20
STIPULATION AND ORDER EXTENDING TIME TO RESPOND TO COMPLAINT: It is hereby stipulated and agreed by and between the undersigned attorneys for the parties that the time within which Defendant may respond to the complaint is hereby extended up to and including October 8, 2021. No provision of the stipulation and order shall be construed as a waiver of, and Defendant reserves, any and all defenses, with the exception of jurisdictional defenses and service of process defenses. There has been no previous request for extension of time in connection with this matter. Granted. Greenwich Lifesciences, Inc. answer due 10/8/2021. (Signed by Judge Denise L. Cote on 9/23/2021) (vfr)
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| Filing 19 PROPOSED STIPULATION AND ORDER. Document filed by Greenwich Lifesciences, Inc...(Siachos, Peter) |
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Filing 18
ORDER: denying #3 Motion for Preliminary Injunction; denying #3 Motion for TRO. On September 15, 2021, a hearing was held to show cause why a temporary restraining order entered against the defendant should not be extended and a preliminary injunction entered. For the reasons stated on the record, it is hereby ORDERED that the temporary restraining order entered on September 2, 2021 is vacated. Plaintiff's motion for preliminary injunction is denied. IT IS FURTHER ORDERED that the parties shall enter private mediation to occur the week of September 27, 2021. SO ORDERED. (Signed by Judge Denise L. Cote on 9/15/2021) (ama)
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| Filing 17 NOTICE OF APPEARANCE by Peter George Siachos on behalf of Greenwich Lifesciences, Inc...(Siachos, Peter) |
| Minute Entry for proceedings held before Judge Denise L. Cote: Show Cause/Preliminary Injunction Hearing held on 9/15/2021. (Court Reporter Rebecca Forman) (jwh) |
| Filing 16 REPLY AFFIRMATION of Richard Roth in Support re: #3 FIRST MOTION for Temporary Restraining Order .FIRST MOTION for Preliminary Injunction .. Document filed by Aegis Capital Corp.. (Attachments: #1 Exhibit, #2 Exhibit, #3 Exhibit).(Roth, Richard) |
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Filing 15
ORDER: On September 10, 2021, the Court ordered Snehal Patel, the CEO of defendant Greenwich Lifesciences, Inc. ("Greenwich"), to cease submitting communications ex parte to the chambers e-mail inbox. Between September 10 and September 13, the chambers e-mail inbox has received three more communications with attached documents from Patel. Accordingly, it is hereby ORDERED that plaintiff's counsel promptly serve copies of the Orders of September 10 and todays Order on Greenwich and Patel. IT IS FURTHER ORDERED that the hearing of September 15, scheduled for 11:00 a.m., will be conducted by telephone. To participate in the hearing, the defendant must be represented by counsel at the hearing and that attorney must file a notice of appearance on behalf of the corporation in advance of the hearing. IT IS FURTHER ORDERED that the parties shall use the following dial-in instructions for the telephone conference: Dial-in: 888-363-4749 Access code: 4324948. IT IS FURTHER ORDERED that the parties shall use a landline if one is available. SO ORDERED. ( Telephone Conference set for 9/15/2021 at 11:00 AM before Judge Denise L. Cote.) (Signed by Judge Denise L. Cote on 9/13/2021) (vfr)
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Filing 14
ORDER re: #13 Letter,,,,, filed by Greenwich Lifesciences, Inc.: it is hereby ORDERED that no action will be taken on behalf of Greenwich without the application being made by an attorney admitted to practice before this Court who has filed a notice of appearance on behalf of Greenwich. If no appearance by counsel is filed on OR before the date on which Greenwichs answer is due, an order of default may be entered against Greenwich. IT IS FURTHER ORDERED that Snehal Patel cease submitting communications to the Chambers e-mail inbox. (Signed by Judge Denise L. Cote on September 10, 2021) (ST)
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| Filing 13 LETTER addressed to Judge Denise L. Cote from Snehal Patel, dated 9/9/21 re: I am the CEO of Greenwich LifeSciences, a biotech company focused on preventing the recurrences of breast cancer. Our deepest apologies for not being able to participate in the opening conference call, our limited ability to secure litigation counsel of short notice, and for the unnecessary TRO, which is unfortunately based on a fabricated set of claims etc. The allegations that we were wrongfully in breach of agreements with Aegis Capital are not true. Aegis breached multiple agreements multiple times over the past year; thus our anticipatory breaches were justified. Despite this being the case, we have resolved the dispute regarding allocation of warrants, and we have very clearly Aegis the opportunity to utilize the ROFR for the only two transactions which we are contemplating etc. Because Aegis and their counsel may have made many other inappropriate errors that in and of themselves are extremely serious, my request is that it would be safest to seal the entire case, until we can assess the extent of their disregard for confidentiality breaches and inapproprate disclosure of personal information. Document filed by S. Patel, CEO of Greenwich Lifesciences, Inc. (Attachments: #1 Exhibit, #2 Exhibit, #3 Exhibit, #4 Exhibit, #5 Exhibit, #6 Exhibit, #7 Exhibit, #8 Exhibit, #9 Exhibit)(sc) Modified on 9/10/2021 (sc). |
| Filing 12 ELECTRONIC SUMMONS ISSUED as to Greenwich Lifesciences, Inc. (vf) |
| Filing 11 AFFIDAVIT OF SERVICE of Executed Order to Show Cause, Affidavit of Robert Eide in suppport with exhibits, Affirmation of Richard Roth, Esq., Memorandum of Law, Summons, Complaint with Exhibits, Civil Cover Sheet served on Greenwich Lifesciences, Inc. on September 3, 2021. Service was made by Overnight Mail. Document filed by Aegis Capital Corp.. (Attachments: #1 Affidavit Affidavit of Service upon Corporate office 9 3 21, #2 Affidavit Affidavit of Service Upon Jeffrey Kessler, Esq., 9 3 21).(Roth, Richard) |
| Filing 10 REQUEST FOR ISSUANCE OF SUMMONS as to Greenwich Lifesciences, Inc., re: #2 Complaint. Document filed by Aegis Capital Corp...(Roth, Richard) |
| ***NOTICE TO ATTORNEY REGARDING DEFICIENT REQUEST FOR ISSUANCE OF SUMMONS. Notice to Attorney Richard Alan Roth to RE-FILE Document No. #8 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; party name whom summons is for must be listed on the PDF 'to' section;. 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. (jgo) |
| Minute Entry for proceedings held before Judge Denise L. Cote: Motion Hearing held on 9/2/2021 re: #3 FIRST MOTION for Temporary Restraining Order.FIRST MOTION for Preliminary Injunction. filed by Aegis Capital Corp. (jwh) |
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Filing 9
Vacated as per Judge's Order dated 9/15/2021, Doc. # 18 ORDER TO SHOW CAUSE FOR TEMPORARY RESTRAINING ORDER AND PRELIMINARY INJUNCTION: It is: ORDERED, that Defendant Greenwich Lifesciences, Inc ("GLSI" or "Defendant") show cause before this Court on the 15th day of September, 2021, at 11:00 am before the Honorable Judge Cote, of the United States District Court for the Southern District of New York, 500 Pearl Street, Courtroom 18b, or as soon thereafter as counsel can be heard, why an Order should not be entered pursuant to Rule 65 of the Federal Rules of Civil Procedure: A. Preliminarily enjoining Defendant, its officers, agents, servants, employees,successors, assigns, subsidiaries, and affiliates, and all persons in active concert or participation with it from in any way issuing stock, warrants or any other form of security. B. Preliminarily enjoining Defendant, its officers, agents, servants, employees, successors, assigns, subsidiaries, and affiliates, and all persons in active concert or participation with it from in any way engaging in any transaction, including any equity or debt transaction, with any entity other than Aegis. C. Directing Defendant to deliver forthwith to Aegis and/or this Court Underwriter Warrants pursuant to the Underwriter Agreements entered into between the parties. D. Directing Defendant to file with this Court and serve upon Plaintiff within thirty (30) days after service of the injunction demanded above a report, in writing, under oath, setting forth in detail the manner and form in which defendant has complied with the injunction. ORDERED, that pending the hearing and final determination of Plaintiffs' motion for a preliminary injunction, said Defendant, its officers, agents, servants, employees, successors, assigns, subsidiaries, and affiliates, and all persons in active concert or participation with it is: A. Temporarily restrained from in any way issuing stock, warrants or any other form of security of GLSI; and B. Temporarily Restrained from in any way engaging in any transaction, including any equity or debt transaction, with any entity other than Aegis. ORDERED, that any opposition to this motion shall be filed no later than Thursday, September 9, 2021. Any reply shall be served by Monday, September 13, 2021. ORDERED, that any application to lift this temporary restraining order may be made by the defendant upon notice to the plaintiff on any date prior to September 15, 2021. ORDERED, that personal service of a copy of this Order to Show Cause with all papers in support thereof be made upon Defendant on or before September 3, 2021, which shall be deemed good and sufficient service and proof of same shall be returned to the Clerk of the United States District Court. SO ORDERED. ( Show Cause Hearing set for 9/15/2021 at 11:00 AM in Courtroom 18B, 500 Pearl Street, New York, NY 10007 before Judge Denise L. Cote.), ( Motions due by 9/15/2021., Responses due by 9/9/2021.) (Signed by Judge Denise L. Cote on 9/2/2021) (vfr) Modified on 9/10/2021 (vfr). Modified on 9/15/2021 (ama).
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| Filing 8 FILING ERROR - SUMMONS REQUEST PDF ERROR - REQUEST FOR ISSUANCE OF SUMMONS as to Greenwich Lifesciences, Inc., re: #1 Complaint,. Document filed by Aegis Capital Corp...(Roth, Richard) Modified on 9/3/2021 (jgo). |
| ***NOTICE TO ATTORNEY REGARDING DEFICIENT REQUEST FOR ISSUANCE OF SUMMONS. Notice to Attorney Richard Alan Roth to RE-FILE Document No. #4 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; Summons does not include defendant's name as listed on the complaint caption title;. 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. (pc) |
| Filing 7 AFFIDAVIT OF SERVICE of Summons and Complaint. Greenwich Lifesciences, Inc. served on 9/1/2021, answer due 9/22/2021. Document filed by Aegis Capital Corp...(Roth, Richard) |
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Filing 6
ORDER re: #3 FIRST MOTION for Temporary Restraining Order .FIRST MOTION for Preliminary Injunction . filed by Aegis Capital Corp.: It is hereby ORDERED that the plaintiff shall serve its September 1 motion on the defendant by September 1, 2021. IT IS FURTHER ORDERED that a telephone conference is scheduled for September 2, 2021 at 3:00 pm. The parties shall use the following dial-in credentials for the telephone conference: Dial-in:888-363-4749. Access code: 4324948. IT IS FURTHER ORDERED that the parties shall use a landline if one is available. (Signed by Judge Denise L. Cote on September 1, 2021) (ST)
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| Filing 5 CIVIL COVER SHEET filed..(Roth, Richard) |
| Filing 4 REQUEST FOR ISSUANCE OF SUMMONS as to Greenwich Lifesciences, Inc., re: #1 Complaint,. Document filed by Aegis Capital Corp...(Roth, Richard) |
| Filing 3 FIRST MOTION for Temporary Restraining Order ., FIRST MOTION for Preliminary Injunction . Document filed by Aegis Capital Corp.. (Attachments: #1 Affidavit, #2 affirmation, #3 exhibit 1, #4 exhibit 2, #5 exhibit 3, #6 exhibit 4, #7 exhibit 5, #8 exhibit 6, #9 exhibit 7, #10 exhibit 8, #11 exhibit 9, #12 exhibit 10, #13 exhibit 11, #14 exhibit 12, #15 exhibit 13, #16 exhibit 14, #17 memo of law).(Roth, Richard) (Refer to ECF Rule 13.19(b) and (c) for directions regarding promptly alerting the court to this filing.) |
| Filing 2 COMPLAINT against Greenwich Lifesciences, Inc.. Document filed by Aegis Capital Corp...(Roth, Richard) |
| Filing 1 FILING ERROR - DEFICIENT PLEADING - WRONG PDF FILE ASSOCIATED WITH DOCKET ENTRY - COMPLAINT against Greenwich Lifesciences, Inc.. (Filing Fee $ 402.00, Receipt Number ANYSDC-25008351)Document filed by Aegis Capital Corp.. (Attachments: #1 summons, #2 Exhibits).(Roth, Richard) Modified on 9/1/2021 (pc). |
| ***NOTICE TO ATTORNEY REGARDING DEFICIENT CIVIL COVER SHEET. Notice to attorney Richard Alan Roth to RE-FILE Document No. #1 Complaint,. The filing is deficient for the following reason(s): the event wrong event type was used to file the civil cover sheet;. Re-file the document using the event type Civil Cover Sheet found under the event list Other Documents and attach the correct PDF.. (pc) |
| ***NOTICE TO ATTORNEY REGARDING DEFICIENT REQUEST FOR ISSUANCE OF SUMMONS. Notice to Attorney Richard Alan Roth to RE-FILE Document No. #1 Complaint,. The filing is deficient for the following reason(s): the wrong event type was used to file the request for issuance of summons;. 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. (pc) |
| CASE OPENING INITIAL ASSIGNMENT NOTICE: The above-entitled action is assigned to Judge Denise L. Cote. 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..(pc) |
| Case Designated ECF. (pc) |
| Magistrate Judge James L. Cott 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. (pc) |
| ***NOTICE TO ATTORNEY REGARDING CIVIL. CASE OPENING STATISTICAL ERROR CORRECTION: Notice to attorney Richard Alan Roth. The following case opening statistical information was erroneously selected/entered: Jurisdiction code 3 (Federal Question); Nature of Suit code 150 (Contract: Recovery/Enforcement); Citizenship Plaintiff code 7 (NONE); Citizenship Defendant code 7 (NONE);. The following correction(s) have been made to your case entry: the Jurisdiction code has been modified to 4 (Diversity); the Nature of Suit code has been modified to 190 (Contract: Other); the Citizenship Plaintiff code has been modified to 4 (Incorporated/Principal Place of Business-This State); the Citizenship Defendant code has been modified to 5 (Incorporated/Principal Place of Business-Other State);. (pc) |
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