Securities and Exchange Commission v. Medallion Financial Corp. et al
Plaintiff: Securities and Exchange Commission
Defendant: Medallion Financial Corp., Andrew Murstein, Lawrence Meyers and Ichabod's Cranium, Inc.
Case Number: 1:2021cv11125
Filed: December 29, 2021
Court: US District Court for the Southern District of New York
Presiding Judge: Lewis A Kaplan
Referring Judge: Lorna G Schofield
Nature of Suit: Securities/Commodities
Cause of Action: 12 U.S.C. § 22 Securities Fraud
Jury Demanded By: Plaintiff
RSS RSS Track this Docket
Docket Report

This docket was last retrieved on September 2, 2022. A more recent docket listing may be available from PACER.

Date Filed Document Text
September 2, 2022 Filing 93 NOTICE OF CHANGE OF ADDRESS by Randy M. Mastro on behalf of Medallion Financial Corp., Andrew Murstein. New Address: King & Spalding LLP, 1185 Avenue of the Americas, New York, NY, United States 10036, 212-556-2100..(Mastro, Randy)
August 30, 2022 Filing 92 MEMORANDUM OF LAW in Opposition re: #80 MOTION to Dismiss / DEFENDANTS MEDALLION FINANCIAL AND ANDREW MURSTEIN'S NOTICE OF MOTION TO DISMISS THE AMENDED COMPLAINT., #84 MOTION to Dismiss Amended Complaint. . Document filed by Securities and Exchange Commission..(Stoelting, David)
August 25, 2022 Opinion or Order Filing 91 STIPULATION AND ORDER. NOW, THEREFORE, the Parties hereby stipulate and agree as follows: Party discovery in this action shall be stayed pending this Court's resolution of Defendants' Motions to Dismiss with the following exceptions: The Parties will continue to meet and confer regarding outstanding discovery issues, including already-served requests for production and issues concerning the Patties' respective privilege logs; and b. The deposition of James Hickman will proceed as scheduled on August 9, 2022; Third-party document discovery will continue to proceed in the normal course pending the agreed-upon stay of discovery from the Parties and as further set forth in this Stipulation. SO ORDERED: (Signed by Judge Lewis A. Kaplan on 8/25/22) (yv)
August 25, 2022 Opinion or Order Filing 90 STIPULATION AND CONFIDENTIALITY ORDER...regarding procedures to be followed that shall govern the handling of confidential material... (Signed by Judge Lewis A. Kaplan on 8/25/22) (yv)
August 12, 2022 Opinion or Order Filing 89 ORDER granting #88 Letter Motion for Extension of Time to File Response/Reply re #88 CONSENT LETTER MOTION for Extension of Time to File Response/Reply as to #80 MOTION to Dismiss / DEFENDANTS MEDALLION FINANCIAL AND ANDREW MURSTEIN'S NOTICE OF MOTION TO DISMISS THE AMENDED COMPLAINT., #84 MOTION to Dismiss , #84 MOTION to Dismiss Amended Complaint., #80 MOTION to Dismiss / DEFENDANTS MEDALLION FINANCIAL AND ANDREW MURSTEIN'S NOTICE OF MOTION TO DISMISS THE AMENDED COMPLAINT. Granted. So Ordered. ( Responses due by 8/30/2022. Replies due by 9/20/2022.) (Signed by Judge Lewis A. Kaplan on 8/12/22) (yv)
August 11, 2022 Filing 88 CONSENT LETTER MOTION for Extension of Time to File Response/Reply as to #80 MOTION to Dismiss / DEFENDANTS MEDALLION FINANCIAL AND ANDREW MURSTEIN'S NOTICE OF MOTION TO DISMISS THE AMENDED COMPLAINT., #84 MOTION to Dismiss Amended Complaint. and for leave to file excess pages addressed to Judge Lewis A. Kaplan from Karen Willenken dated Aug. 11, 2022. Document filed by Securities and Exchange Commission..(Willenken, Karen)
August 9, 2022 Filing 87 PROPOSED STIPULATION AND ORDER. Document filed by Medallion Financial Corp., Andrew Murstein..(Mastro, Randy)
August 9, 2022 Filing 86 CONSENT LETTER addressed to Judge Lewis A. Kaplan from Randy M. Mastro dated August 9, 2022 re: the parties' agreement for a stay of discovery. Document filed by Medallion Financial Corp., Andrew Murstein..(Mastro, Randy)
August 6, 2022 Filing 85 MEMORANDUM OF LAW in Support re: #84 MOTION to Dismiss Amended Complaint. . Document filed by Ichabod's Cranium, Inc., Lawrence Meyers..(Miller, Hilary)
August 6, 2022 Filing 84 MOTION to Dismiss Amended Complaint. Document filed by Ichabod's Cranium, Inc., Lawrence Meyers..(Miller, Hilary)
August 5, 2022 Filing 83 ***EX-PARTE***DECLARATION of RANDY M. MASTRO in Support re: #80 MOTION to Dismiss / DEFENDANTS MEDALLION FINANCIAL AND ANDREW MURSTEIN'S NOTICE OF MOTION TO DISMISS THE AMENDED COMPLAINT.. Document filed by Medallion Financial Corp., Andrew Murstein. (Attachments: #1 Exhibit 1 - Amended Complaint - Sealed)Motion or Order to File Under Seal: 53 .(Mastro, Randy)
August 5, 2022 Filing 82 DECLARATION of RANDY M. MASTRO in Support re: #80 MOTION to Dismiss / DEFENDANTS MEDALLION FINANCIAL AND ANDREW MURSTEIN'S NOTICE OF MOTION TO DISMISS THE AMENDED COMPLAINT.. Document filed by Medallion Financial Corp., Andrew Murstein. (Attachments: #1 Appendix - Index of Exhibits, #2 Exhibit 1 - Amended Complaint - SEALED, #3 Exhibit 2 - Amended Complaint - Redacted, #4 Exhibit 3 - Original Complaint, #5 Exhibit 4 - Medallion 2016 10-K, #6 Exhibit 5 - Medallion Stock Price, #7 Exhibit 6 - Medallion Q3 2016 10-Q, #8 Exhibit 7 - Medallion 2013 10-K, #9 Exhibit 8 - Medallion 2020 10-K, #10 Exhibit 9 - Medallion 2017 10-K, #11 Exhibit 10 - RP Financial Report, #12 Exhibit 11 - Meyers Consulting Agreement, #13 Exhibit 12 - Meyers TheStreet Article, #14 Exhibit 13 - Meyers Seeking Alpha Article, #15 Exhibit 14 - Contractor Consulting Agreement, #16 Exhibit 15 - Medallion Q1 2017 10-Q, #17 Exhibit 16 - Bogan Emails, #18 Exhibit 17 - Bank Waiver Letters, #19 Exhibit 18 - Medallion 2017 Schedule 14A, #20 Exhibit 19 - Contractor Huffington Post Article).(Mastro, Randy)
August 5, 2022 Filing 81 MEMORANDUM OF LAW in Support re: #80 MOTION to Dismiss / DEFENDANTS MEDALLION FINANCIAL AND ANDREW MURSTEIN'S NOTICE OF MOTION TO DISMISS THE AMENDED COMPLAINT. . Document filed by Medallion Financial Corp., Andrew Murstein..(Mastro, Randy)
August 5, 2022 Filing 80 MOTION to Dismiss / DEFENDANTS MEDALLION FINANCIAL AND ANDREW MURSTEIN'S NOTICE OF MOTION TO DISMISS THE AMENDED COMPLAINT. Document filed by Medallion Financial Corp., Andrew Murstein..(Mastro, Randy)
August 4, 2022 Opinion or Order Filing 79 ORDER granting #78 Letter Motion for Leave to File Excess Pages. Granted. SO ORDERED. (Signed by Judge Lewis A. Kaplan on 8/4/22) (yv)
August 3, 2022 Filing 78 CONSENT LETTER MOTION for Leave to File Excess Pages to Brief in Support of the Medallion Defendants renewed motion to dismiss the SECs Amended Complaint, addressed to Judge Lewis A. Kaplan from Randy M. Mastro dated August 3, 2022. Document filed by Medallion Financial Corp., Andrew Murstein..(Mastro, Randy)
August 2, 2022 Opinion or Order Filing 77 ORDER denying without prejudice to renewal #57 Motion to Dismiss; denying without prejudice to renewal #59 Motion to Dismiss; granting #66 Motion to Strike Certain Exhibits Submitted By Defendants In Support Of Their Motion To Dismiss The Amended Complaint filed by Securities and Exchange Commission from the record. The plaintiff's motion to strike (Dkt. 66) is granted in all respects. The defendants' motions to dismiss the complaint (Dkt. 57, Dkt. 59) are denied without prejudice to renewal on papers devoid of references to any of the stricken exhibits. SO ORDERED. (Signed by Judge Lewis A. Kaplan on 8/2/2022) (vfr)
August 1, 2022 Filing 76 PROPOSED STIPULATION AND ORDER. Document filed by Medallion Financial Corp., Andrew Murstein..(Mastro, Randy)
July 28, 2022 Filing 75 DECLARATION of Karen E. Willenken in Support re: #66 MOTION to Strike Certain Exhibits Submitted By Defendants In Support Of Their Motion To Dismiss The Amended Complaint.. Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit A - Email referenced in Amended Complaint).(Willenken, Karen)
July 28, 2022 Filing 74 REPLY MEMORANDUM OF LAW in Support re: #66 MOTION to Strike Certain Exhibits Submitted By Defendants In Support Of Their Motion To Dismiss The Amended Complaint. . Document filed by Securities and Exchange Commission..(Willenken, Karen)
July 21, 2022 Filing 73 REPLY MEMORANDUM OF LAW in Support re: #59 MOTION to Dismiss Amended Complaint. . Document filed by Ichabod's Cranium, Inc., Lawrence Meyers..(Miller, Hilary)
July 21, 2022 Filing 72 MEMORANDUM OF LAW in Opposition re: #66 MOTION to Strike Certain Exhibits Submitted By Defendants In Support Of Their Motion To Dismiss The Amended Complaint. . Document filed by Medallion Financial Corp., Andrew Murstein..(Mastro, Randy)
July 21, 2022 Filing 71 REPLY MEMORANDUM OF LAW in Support re: #57 MOTION to Dismiss / DEFENDANTS MEDALLION FINANCIAL AND ANDREW MURSTEIN'S NOTICE OF MOTION TO DISMISS THE AMENDED COMPLAINT. . Document filed by Medallion Financial Corp., Andrew Murstein..(Mastro, Randy)
July 14, 2022 Opinion or Order Filing 70 ORDER granting #69 Letter Motion for Leave to File Excess Pages. SO ORDERED. (Signed by Judge Lewis A. Kaplan on 7/14/2022) (jca)
July 13, 2022 Filing 69 CONSENT LETTER MOTION for Leave to File Excess Pages addressed to Judge Lewis A. Kaplan from Randy M. Mastro dated July 13, 2022. Document filed by Medallion Financial Corp., Andrew Murstein..(Mastro, Randy)
July 7, 2022 Filing 68 MEMORANDUM OF LAW in Opposition re: #57 MOTION to Dismiss / DEFENDANTS MEDALLION FINANCIAL AND ANDREW MURSTEIN'S NOTICE OF MOTION TO DISMISS THE AMENDED COMPLAINT., #59 MOTION to Dismiss Amended Complaint. . Document filed by Securities and Exchange Commission..(Willenken, Karen)
July 7, 2022 Filing 67 MEMORANDUM OF LAW in Support re: #66 MOTION to Strike Certain Exhibits Submitted By Defendants In Support Of Their Motion To Dismiss The Amended Complaint. . Document filed by Securities and Exchange Commission..(Stoelting, David)
July 7, 2022 Filing 66 MOTION to Strike Certain Exhibits Submitted By Defendants In Support Of Their Motion To Dismiss The Amended Complaint. Document filed by Securities and Exchange Commission..(Stoelting, David)
July 6, 2022 Filing 65 PROPOSED STIPULATION AND ORDER. Document filed by Medallion Financial Corp., Andrew Murstein..(Mastro, Randy)
June 24, 2022 Opinion or Order Filing 64 ORDER granting #63 Letter Motion for Leave to File Excess Pages (HEREBY ORDERED by Judge Lewis A. Kaplan)(Text Only Order) (Kaplan, Lewis)
June 24, 2022 Filing 63 LETTER MOTION for Leave to File Excess Pages addressed to Judge Lewis A. Kaplan from Karen Willenken dated June 24, 2022. Document filed by Securities and Exchange Commission..(Willenken, Karen)
June 2, 2022 Filing 62 ***EX-PARTE***DECLARATION of RANDY M. MASTRO in Support re: #57 MOTION to Dismiss / DEFENDANTS MEDALLION FINANCIAL AND ANDREW MURSTEIN'S NOTICE OF MOTION TO DISMISS THE AMENDED COMPLAINT.. Document filed by Medallion Financial Corp., Andrew Murstein. (Attachments: #1 Supplement Index of Exhibits, #2 Exhibit 01Sealed Amended Complaint, #3 Exhibit 02Redacted Amended Complaint, #4 Exhibit 03Original Complaint, #5 Exhibit 04Medallion 2021 Form 8-K, #6 Exhibit 05Medallion 2016 Form 10-K, #7 Exhibit 06Credify Draft Agreement, #8 Exhibit 07Berenson Formal Valuation, #9 Exhibit 08Medallion 2014 Form 8-K, #10 Exhibit 09Medallion Stock Price History, #11 Exhibit 10Medallion Q3 2016 Form 10-Q, #12 Exhibit 11Monitor Daily Article, #13 Exhibit 12Medallion 2010 Form 8-K, #14 Exhibit 13Medallion 1998 Form 10-K, #15 Exhibit 14American Banker Article, #16 Exhibit 15Medallion 2021 Form 10-K, #17 Exhibit 16Medallion 1996 Form 10-K, #18 Exhibit 17Medallion 2013 Form 10-K, #19 Exhibit 18Medallion 2020 Form 10-K, #20 Exhibit 19Medallion 2017 Form 10-K, #21 Exhibit 20RP Financial Report, #22 Exhibit 21KBW Report, #23 Exhibit 22Medallion 2016 Form 8-K, #24 Exhibit 23Chart of Bank Valuations, #25 Exhibit 24CNBC Article, #26 Exhibit 25Meyers Consulting Agreement, #27 Exhibit 26Meyers TheStreet Article, #28 Exhibit 27Meyers SeekingAlpha Article, #29 Exhibit 28Contractor Consulting Agreement, #30 Exhibit 29Medallion Q1 2017 Form 10-Q, #31 Exhibit 30Jeff Bogan Emails, #32 Exhibit 31CashCall Client Alerts, #33 Exhibit 32Letters Waiving Loan Defaults, #34 Exhibit 33Medallion 2017 Schedule 14A, #35 Exhibit 34Contractor HuffPo Article, #36 Exhibit 35Whole Foods 2008 Form 8-K, #37 Exhibit ATestimony of Mazars Audit Partner, #38 Exhibit BTestimony of Berenson Managing Director, #39 Exhibit CTestimony of Mazars Valuation Partner)Motion or Order to File Under Seal: 53 .(Mastro, Randy)
June 2, 2022 Filing 61 ***STRICKEN EXHIBITS. Document number #61 has been stricken from the case record as to certain Exhibits (Exs. 4,8,12,13,15,16,22,35); ( Exs. 11,14,24, and 31); (Exs. 6,7,21 and 23). The exhibits were stricken from this case pursuant to #77 Order . DECLARATION of RANDY M. MASTRO in Support re: #57 MOTION to Dismiss / DEFENDANTS MEDALLION FINANCIAL AND ANDREW MURSTEIN'S NOTICE OF MOTION TO DISMISS THE AMENDED COMPLAINT.. Document filed by Medallion Financial Corp., Andrew Murstein. (Attachments: #1 Supplement Index of Exhibits, #2 Exhibit 01Sealed Amended Complaint, #3 Exhibit 02Redacted Amended Complaint, #4 Exhibit 03Original Complaint, #5 Exhibit 04Medallion 2021 Form 8-K, #6 Exhibit 05Medallion 2016 Form 10-K, #7 Exhibit 06Credify Draft Agreement, #8 Exhibit 07Berenson Formal Valuation, #9 Exhibit 08Medallion 2014 Form 8-K, #10 Exhibit 09Medallion Stock Price History, #11 Exhibit 10Medallion Q3 2016 Form 10-Q, #12 Exhibit 11Monitor Daily Article, #13 Exhibit 12Medallion 2010 Form 8-K, #14 Exhibit 13Medallion 1998 Form 10-K, #15 Exhibit 14American Banker Article, #16 Exhibit 15Medallion 2021 Form 10-K, #17 Exhibit 16Medallion 1996 Form 10-K, #18 Exhibit 17Medallion 2013 Form 10-K, #19 Exhibit 18Medallion 2020 Form 10-K, #20 Exhibit 19Medallion 2017 Form 10-K, #21 Exhibit 20RP Financial Report, #22 Exhibit 21KBW Report, #23 Exhibit 22Medallion 2016 Form 8-K, #24 Exhibit 23Chart of Bank Valuations, #25 Exhibit 24CNBC Article, #26 Exhibit 25Meyers Consulting Agreement, #27 Exhibit 26Meyers TheStreet Article, #28 Exhibit 27Meyers SeekingAlpha Article, #29 Exhibit 28Contractor Consulting Agreement, #30 Exhibit 29Medallion Q1 2017 Form 10-Q, #31 Exhibit 30Jeff Bogan Emails, #32 Exhibit 31CashCall Client Alerts, #33 Exhibit 32Letters Waiving Loan Defaults, #34 Exhibit 33Medallion 2017 Schedule 14A, #35 Exhibit 34Contractor HuffPo Article, #36 Exhibit 35Whole Foods 2008 Form 8-K, #37 Exhibit ATestimony of Mazars Audit Partner, #38 Exhibit BTestimony of Berenson Managing Director, #39 Exhibit CTestimony of Mazars Valuation Partner).(Mastro, Randy) Modified on 8/2/2022 (vfr).
June 2, 2022 Filing 60 MEMORANDUM OF LAW in Support re: #59 MOTION to Dismiss Amended Complaint. . Document filed by Ichabod's Cranium, Inc., Lawrence Meyers..(Miller, Hilary)
June 2, 2022 Filing 59 MOTION to Dismiss Amended Complaint. Document filed by Ichabod's Cranium, Inc., Lawrence Meyers..(Miller, Hilary)
June 2, 2022 Filing 58 MEMORANDUM OF LAW in Support re: #57 MOTION to Dismiss / DEFENDANTS MEDALLION FINANCIAL AND ANDREW MURSTEIN'S NOTICE OF MOTION TO DISMISS THE AMENDED COMPLAINT. . Document filed by Medallion Financial Corp., Andrew Murstein..(Mastro, Randy)
June 2, 2022 Filing 57 MOTION to Dismiss / DEFENDANTS MEDALLION FINANCIAL AND ANDREW MURSTEIN'S NOTICE OF MOTION TO DISMISS THE AMENDED COMPLAINT. Document filed by Medallion Financial Corp., Andrew Murstein. Responses due by 7/7/2022.(Mastro, Randy)
May 24, 2022 Opinion or Order Filing 56 ORDER granting #55 Letter Motion for Leave to File Excess Pages. Granted. So Ordered. (Signed by Judge Lewis A. Kaplan on 5/24/22) (yv)
May 20, 2022 Filing 55 CONSENT LETTER MOTION for Leave to File Excess Pages addressed to Judge Lewis A. Kaplan from Randy M. Mastro dated May 20, 2022. Document filed by Medallion Financial Corp., Andrew Murstein..(Mastro, Randy)
May 16, 2022 Opinion or Order Filing 54 ORDER GRANTING MOTION FOR ADMISSION PRO HAC VICE granting #52 Motion for Andrew Jared Dober to Appear Pro Hac Vice. The motion of Andrew J. Daber, for admission to practice Pro Hac Vice in the above captioned action is granted. 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 this Court, including the Rules governing discipline of attorneys. (Signed by Judge Lewis A. Kaplan on 5/16/22) (yv)
May 12, 2022 Opinion or Order Filing 53 ORDER granting #42 Motion to Seal (HEREBY ORDERED by Judge Lewis A. Kaplan)(Text Only Order) (Kaplan, Lewis)
May 12, 2022 >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #52 MOTION for Andrew Jared Dober 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)
May 11, 2022 Filing 52 MOTION for Andrew Jared Dober to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Federal Deposit Insurance Corporation, in its Corporate capacity. (Attachments: #1 Affidavit of Andrew Dober, #2 Exhibit A to Affidavit, #3 Exhibit B to Affidavit, #4 Text of Proposed Order Proposed Order).(Dober, Andrew)
May 10, 2022 Opinion or Order Filing 51 STIPULATION AND ORDER REGARDING BRIEFING SCHEDULING TO MOVE, ANSWER OR RESPOND TO PLAINTIFF'S AMENDED COMPLAINT: NOW THEREFORE, it is hereby stipulated and agreed, subject to the approval of the Court, that: 1) Defendants' deadline to move, answer, or otherwise respond to the Amended Complaint in the above-captioned matter is on or before June 2, 2022; 2) Plaintiff's deadline to submit any papers in opposition to Defendants' motions to dismiss is on or before July 7, 2022; and 3) Defendants' deadline to submit reply papers is on or before July 21, 2022. SO ORDERED. Ichabod's Cranium, Inc. answer due 6/2/2022; Medallion Financial Corp. answer due 6/2/2022; Lawrence Meyers answer due 6/2/2022; Andrew Murstein answer due 6/2/2022.( Responses due by 7/7/2022, Replies due by 7/21/2022.) (Signed by Judge Lewis A. Kaplan on 5/9/2022) (ate)
May 6, 2022 Filing 50 CONSENT LETTER MOTION for Extension of Time to File Answer re: #46 Amended Complaint, addressed to Judge Lewis A. Kaplan from Randy M. Mastro dated May 6, 2022. Document filed by Medallion Financial Corp., Andrew Murstein. (Attachments: #1 Text of Proposed Order - Stipulation and [Proposed] Order for the Extension on Time to Respond to the Amended Complaint).(Mastro, Randy)
April 30, 2022 >>>NOTICE REGARDING DEFICIENT MOTION TO APPEAR PRO HAC VICE. Notice to RE-FILE Document No. #48 MOTION for Andrew Jared Dober to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff... The filing is deficient for the following reason(s): missing Certificate of Good Standing from Supreme Court of CA; missing Proposed Order; Affidavit Not Notarized;. Re-file the motion as a Motion to Appear Pro Hac Vice - attach the correct signed PDF - select the correct named filer/filers - attach valid Certificates of Good Standing issued within the past 30 days - attach Proposed Order. (vba)
April 28, 2022 Filing 49 LETTER RESPONSE in Support of Motion addressed to Judge Lewis A. Kaplan from Andrew Dober dated April 28, 2022 re: #42 MOTION to Seal and to Redact Portions of Amended Complaint Due to Bank Examination Privilege. . Document filed by Federal Deposit Insurance Corporation, in its Corporate capacity..(Dober, Andrew)
April 28, 2022 Filing 48 FILING ERROR - DEFICIENT DOCKET ENTRY - MOTION for Andrew Jared Dober to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Federal Deposit Insurance Corporation, in its Corporate capacity. (Attachments: #1 Affidavit of Andrew Dober, #2 Exhibit Certificate of Good Standing, #3 Exhibit Certificate of Good Standing).(Dober, Andrew) Modified on 4/30/2022 (vba).
April 27, 2022 Opinion or Order Filing 47 ORDER denying as moot #34 Motion to Dismiss; denying as moot #37 Motion to Dismiss. In light of the filing of the amended complaint, the defendants' motions to dismiss the original complaint (Dkts. 34, 37) both are denied as moot. SO ORDERED. (Signed by Judge Lewis A. Kaplan on 4/27/2022) (mml)
April 26, 2022 Filing 46 AMENDED COMPLAINT amending #45 Amended Complaint, against Ichabod's Cranium, Inc., Medallion Financial Corp., Lawrence Meyers, Andrew Murstein with JURY DEMAND.Document filed by Securities and Exchange Commission. Related document: #45 Amended Complaint,..(Stoelting, David)
April 26, 2022 Filing 45 ***EX-PARTE*** AMENDED COMPLAINT amending #1 Complaint against Ichabod's Cranium, Inc., Medallion Financial Corp., Lawrence Meyers, Andrew Murstein with JURY DEMAND.Document filed by Securities and Exchange Commission. Related document: #1 Complaint.Motion or Order to File Under Seal: #42 .(Stoelting, David)
April 26, 2022 Filing 44 MEMORANDUM OF LAW in Support re: #42 MOTION to Seal and to Redact Portions of Amended Complaint Due to Bank Examination Privilege. . Document filed by Securities and Exchange Commission..(Stoelting, David)
April 26, 2022 Filing 43 DECLARATION of Karen E. Willenken in Support re: #42 MOTION to Seal and to Redact Portions of Amended Complaint Due to Bank Examination Privilege.. Document filed by Securities and Exchange Commission..(Stoelting, David)
April 26, 2022 Filing 42 MOTION to Seal and to Redact Portions of Amended Complaint Due to Bank Examination Privilege. Document filed by Securities and Exchange Commission..(Stoelting, David)
April 25, 2022 Filing 41 NOTICE OF APPEARANCE by Karen Elizabeth Willenken on behalf of Securities and Exchange Commission..(Willenken, Karen)
March 22, 2022 Filing 40 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. No Corporate Parent. Document filed by Ichabod's Cranium, Inc...(Miller, Hilary)
March 22, 2022 Filing 39 RULE 7.1 CORPORATE DISCLOSURE STATEMENT. No Corporate Parent. Document filed by Medallion Financial Corp...(Mastro, Randy)
March 22, 2022 Filing 38 MEMORANDUM OF LAW in Support re: #37 MOTION to Dismiss pursuant to Rules 12(b)(6) and 9(b). . Document filed by Ichabod's Cranium, Inc., Lawrence Meyers..(Miller, Hilary)
March 22, 2022 Filing 37 MOTION to Dismiss pursuant to Rules 12(b)(6) and 9(b). Document filed by Ichabod's Cranium, Inc., Lawrence Meyers. Responses due by 4/26/2022.(Miller, Hilary)
March 22, 2022 Filing 36 DECLARATION of RANDY M. MASTRO in Support re: #34 MOTION to Dismiss / DEFENDANTS MEDALLION FINANCIAL AND ANDREW MURSTEIN'S NOTICE OF MOTION TO DISMISS THE COMPLAINT.. Document filed by Medallion Financial Corp., Andrew Murstein. (Attachments: #1 Exhibit Index, #2 Exhibit 1 - SECs Complaint, #3 Exhibit 2 - Medallion 2021 8-K, #4 Exhibit 3 - Stock Ticker Name, #5 Exhibit 4 - Medallion 2014 8-K, #6 Exhibit 5 - Medallion Stock History, #7 Exhibit 6 - Medallion 2018 10-K, #8 Exhibit 7 - Monitor Daily Article, #9 Exhibit 8 - American Banker Article, #10 Exhibit 9 - Medallion 2021 10-K, #11 Exhibit 10 - Medallion 1996 10-K, #12 Exhibit 11 - Medallion 2013 10-K, #13 Exhibit 12 - Medallion 2020 10-K, #14 Exhibit 13 - Medallion 2016 10-K, #15 Exhibit 14 - Medallion 2017 10-K, #16 Exhibit 15 - Medallion 2015 10-K, #17 Exhibit 16 - Medallion Q2.2016 10-Q, #18 Exhibit 17 - Credify Agreement, #19 Exhibit 18 - Medallion 2016 8-K, #20 Exhibit 19 - Berenson Valuation, #21 Exhibit 20 - Medallion Q3.2016 10-Q, #22 Exhibit 21 - CNBC Article, #23 Exhibit 22 - Meyers Agreement, #24 Exhibit 23 - Meyers Article TheStreet, #25 Exhibit 24 - Meyers Article SeekingAlpha, #26 Exhibit 25 - Contractor Agreement, #27 Exhibit 26 - RP Financial Report, #28 Exhibit 27 - Bogan-Murstein Email, #29 Exhibit 28 - CashCall Alerts, #30 Exhibit 29 - Medallion 2017 Schedule.14A, #31 Exhibit 30 - Contractor Article HuffPo, #32 Exhibit 31 - Whole Foods 2008 8-K, #33 Exhibit A - Mazars Audit Partner Testimony, #34 Exhibit B - Berenson Managing Director Testimony, #35 Exhibit C - Mazars Valuation Partner Testimony).(Mastro, Randy)
March 22, 2022 Filing 35 MEMORANDUM OF LAW in Support re: #34 MOTION to Dismiss / DEFENDANTS MEDALLION FINANCIAL AND ANDREW MURSTEIN'S NOTICE OF MOTION TO DISMISS THE COMPLAINT. . Document filed by Medallion Financial Corp., Andrew Murstein..(Mastro, Randy)
March 22, 2022 Filing 34 MOTION to Dismiss / DEFENDANTS MEDALLION FINANCIAL AND ANDREW MURSTEIN'S NOTICE OF MOTION TO DISMISS THE COMPLAINT. Document filed by Medallion Financial Corp., Andrew Murstein. Responses due by 4/26/2022.(Mastro, Randy)
February 24, 2022 Opinion or Order Filing 33 SCHEDULING ORDER: Amended Pleadings due by 4/26/2022. Motions due by 1/13/2023. Responses due by 2/10/2023 Replies due by 3/6/2023. The deadline to complete all fact depositions is September 16, 2022. Deposition due by 12/12/2022. Fact Discovery due by 9/16/2022. Discovery due by 12/12/2022. Pretrial Order due by 3/31/2023. So Ordered. (Signed by Judge Lewis A. Kaplan on 2/24/22) (yv)
February 17, 2022 Filing 32 PROPOSED SCHEDULING ORDER. Document filed by Medallion Financial Corp., Andrew Murstein..(Mastro, Randy)
February 4, 2022 Opinion or Order Filing 31 STIPULATION AND ORDER FOR THE EXTENSION OF TIME TO RESPOND TO COMPLAINT: NOW THEREFORE, it is hereby stipulated and agreed, subject to the approval of the Court, that: Defendants' deadline to move, answer, or otherwise respond to the Complaint in the above-captioned matter is March 22, 2022; Plaintiff's deadline to submit an opposition brief to Defendants' motions to dismiss is April 26, 2022; and Defendants' deadline to submit reply briefs is May 10, 2022. So Ordered. ( Responses due by 4/26/2022, Replies due by 5/10/2022.) (Signed by Judge Lewis A. Kaplan on 2/4/2022) (js)
February 4, 2022 Opinion or Order Filing 30 ORDER granting #29 Letter Motion for Extension of Time to Answer re #29 CONSENT LETTER MOTION for Extension of Time to File Answer re: #1 Complaint addressed to Judge Lewis A. Kaplan from Randy M. Mastro dated February 3, 2022. Granted. So Ordered. Ichabod's Cranium, Inc. answer due 3/22/2022; Medallion Financial Corp. answer due 3/22/2022; Lawrence Meyers answer due 3/22/2022; Andrew Murstein answer due 3/22/2022. (Signed by Judge Lewis A. Kaplan on 2/4/2022) (js)
February 4, 2022 Set/Reset Deadlines: Responses due by 4/26/2022 Replies due by 5/10/2022. (js)
February 3, 2022 Filing 29 CONSENT LETTER MOTION for Extension of Time to File Answer re: #1 Complaint addressed to Judge Lewis A. Kaplan from Randy M. Mastro dated February 3, 2022. Document filed by Medallion Financial Corp., Andrew Murstein. (Attachments: #1 Text of Proposed Order - Stipulation and [Proposed] Order for the Extension on Time to Respond to the Complaint).(Mastro, Randy)
February 2, 2022 Filing 28 NOTICE OF APPEARANCE by Nathan Charles Strauss on behalf of Medallion Financial Corp., Andrew Murstein..(Strauss, Nathan)
February 2, 2022 Filing 27 NOTICE OF APPEARANCE by Seton Hartnett on behalf of Medallion Financial Corp., Andrew Murstein..(Hartnett, Seton)
January 25, 2022 Filing 26 NOTICE OF APPEARANCE by Mark K. Schonfeld on behalf of Medallion Financial Corp., Andrew Murstein..(Schonfeld, Mark)
January 25, 2022 NOTICE OF CASE REASSIGNMENT to Judge Lewis A. Kaplan. Judge Lorna G. Schofield is no longer assigned to the case. (aea)
January 21, 2022 Filing 25 NOTICE OF APPEARANCE by Srirupa Samanta on behalf of Medallion Financial Corp., Andrew Murstein..(Samanta, Srirupa)
January 21, 2022 Filing 24 NOTICE OF APPEARANCE by Jonathan David Fortney on behalf of Medallion Financial Corp., Andrew Murstein..(Fortney, Jonathan)
January 21, 2022 Filing 23 NOTICE OF APPEARANCE by Akiva Shapiro on behalf of Medallion Financial Corp., Andrew Murstein..(Shapiro, Akiva)
January 21, 2022 Filing 22 NOTICE OF APPEARANCE by Christopher Daniel Belelieu on behalf of Medallion Financial Corp., Andrew Murstein..(Belelieu, Christopher)
January 21, 2022 Filing 21 NOTICE OF APPEARANCE by Mark Adam Kirsch on behalf of Medallion Financial Corp., Andrew Murstein..(Kirsch, Mark)
January 21, 2022 Filing 20 NOTICE OF APPEARANCE by Randy M. Mastro on behalf of Medallion Financial Corp., Andrew Murstein..(Mastro, Randy)
January 21, 2022 Filing 19 NOTICE OF APPEARANCE by Michael Walter Gramer on behalf of Andrew Murstein..(Gramer, Michael)
January 21, 2022 Filing 18 NOTICE OF APPEARANCE by Lisa R. Zornberg on behalf of Andrew Murstein..(Zornberg, Lisa)
January 21, 2022 Filing 17 NOTICE OF APPEARANCE by Andrew J. Ceresney on behalf of Andrew Murstein..(Ceresney, Andrew)
January 11, 2022 Filing 16 NOTICE OF APPEARANCE by Hilary B. Miller on behalf of Ichabod's Cranium, Inc., Lawrence Meyers..(Miller, Hilary)
January 11, 2022 Filing 15 WAIVER OF SERVICE RETURNED EXECUTED. Lawrence Meyers waiver sent on 1/11/2021, answer due 3/12/2021; Ichabod's Cranium, Inc. waiver sent on 1/11/2021, answer due 3/12/2021. Document filed by Lawrence Meyers; Ichabod's Cranium, Inc...(Miller, Hilary)
January 4, 2022 Filing 14 NOTICE OF APPEARANCE by Daniel Joseph Chirlin on behalf of Andrew Murstein..(Chirlin, Daniel)
January 4, 2022 Filing 13 NOTICE OF APPEARANCE by Jim Walden on behalf of Andrew Murstein..(Walden, Jim)
January 4, 2022 Filing 12 WAIVER OF SERVICE RETURNED EXECUTED. Andrew Murstein waiver sent on 12/31/2021, answer due 3/1/2022. Document filed by Securities and Exchange Commission..(Stoelting, David)
January 4, 2022 Filing 11 WAIVER OF SERVICE RETURNED EXECUTED. Medallion Financial Corp. waiver sent on 12/31/2021, answer due 3/1/2022. Document filed by Securities and Exchange Commission..(Stoelting, David)
January 3, 2022 Filing 10 ELECTRONIC SUMMONS ISSUED as to Lawrence Meyers..(gp)
January 3, 2022 Filing 9 ELECTRONIC SUMMONS ISSUED as to Medallion Financial Corp...(gp)
January 3, 2022 Filing 8 ELECTRONIC SUMMONS ISSUED as to Ichabod's Cranium, Inc...(gp)
January 3, 2022 Filing 7 ELECTRONIC SUMMONS ISSUED as to Andrew Murstein..(gp)
January 3, 2022 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..(gp)
January 3, 2022 Magistrate Judge Barbara C. Moses 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. (gp)
January 3, 2022 Case Designated ECF. (gp)
December 29, 2021 Filing 6 REQUEST FOR ISSUANCE OF SUMMONS as to Ichabod's Cranium, Inc., re: #1 Complaint. Document filed by Securities and Exchange Commission..(Stoelting, David)
December 29, 2021 Filing 5 REQUEST FOR ISSUANCE OF SUMMONS as to Lawrence Meyers, re: #1 Complaint. Document filed by Securities and Exchange Commission..(Stoelting, David)
December 29, 2021 Filing 4 REQUEST FOR ISSUANCE OF SUMMONS as to Andrew Murstein, re: #1 Complaint. Document filed by Securities and Exchange Commission..(Stoelting, David)
December 29, 2021 Filing 3 REQUEST FOR ISSUANCE OF SUMMONS as to Medallion Financial Corp., re: #1 Complaint. Document filed by Securities and Exchange Commission..(Stoelting, David)
December 29, 2021 Filing 2 CIVIL COVER SHEET filed..(Stoelting, David)
December 29, 2021 Filing 1 COMPLAINT against All Defendants. Document filed by Securities and Exchange Commission..(Stoelting, David)

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 this case: Securities and Exchange Commission v. Medallion Financial Corp. et al
Search News [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ]
Search Web [ Unicourt | Legal Web | Google | Bing | Yahoo | Ask ]
Plaintiff: Securities and Exchange Commission
Represented By: David Stoelting
Represented By: Karen Elizabeth Willenken
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 ]
Defendant: Medallion Financial Corp.
Represented By: Akiva Shapiro
Represented By: Christopher Daniel Belelieu
Represented By: Jonathan David Fortney
Represented By: Mark Adam Kirsch
Represented By: Mark K. Schonfeld
Represented By: Nathan Charles Strauss
Represented By: Randy M. Mastro
Represented By: Seton Hartnett
Represented By: Srirupa Samanta
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 ]
Defendant: Andrew Murstein
Represented By: Mark K. Schonfeld
Represented By: Michael Walter Gramer
Represented By: Andrew J. Ceresney
Represented By: Jim Walden
Represented By: Akiva Shapiro
Represented By: Christopher Daniel Belelieu
Represented By: Daniel Joseph Chirlin
Represented By: Jonathan David Fortney
Represented By: Lisa R. Zornberg
Represented By: Mark Adam Kirsch
Represented By: Nathan Charles Strauss
Represented By: Randy M. Mastro
Represented By: Seton Hartnett
Represented By: Srirupa Samanta
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 ]
Defendant: Lawrence Meyers
Represented By: Hilary B. Miller
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 ]
Defendant: Ichabod's Cranium, Inc.
Represented By: Hilary B. Miller
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.

Why Is My Information Online?