Securities and Exchange Commission v. Dean Shah et al
| ABC and Securities and Exchange Commission |
| DEF, Dean Shah, Henry Clarke, Julius Csurgo and Antevorta Capital Partners, Ltd. |
| 1:2022cv03012 |
| April 13, 2022 |
| US District Court for the Southern District of New York |
| Foley Square Office |
| Lewis J Liman |
| Securities/Commodities |
| 15 U.S.C. § 77 Securities Fraud |
| Plaintiff |
Docket Report
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Filing 23
DEFENCE of HENRY CLARKE. Document filed by Henry Clarke. (ok)
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Filing 22
PRELIMINARY INJUNCTION, ORDER TO FREEZE ASSETS, AND ORDER TO REPATRIATE ASSETS: IT IS HEREBY ORDERED that the Defendants and each of their officers, agents, servants, employees, attorneys, and other persons in active concert or participation with them who receive actual notice of this Order by personal service or otherwise (including by fax, email, or overnight delivery service) are preliminarily enjoined from violating Section 10(b) of the Securities Exchange Act of 1934 ("Exchange Act") [15 U.S.C. Section78j(b)] and Rule 10b-5 thereunder [17 C.F.R. Section 240.10b-5] by, directly or indirectly, through the use of the means or instrumentalities 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 that the 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. Motions terminated: #20 MOTION for Preliminary Injunction . filed by Securities and Exchange Commission. (Signed by Judge Lewis J. Liman on 5/17/2022) (tg)
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Filing 21
ACKNOWLEDGMENT OF SERVICE. Henry Clarke served on 5/16/2022, answer due 6/6/2022. Service was accepted by Henry Clarke, Defendant. Document filed by Securities and Exchange Commission..(London, David)
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Filing 20
MOTION for Preliminary Injunction . Document filed by Securities and Exchange Commission. (Attachments: #1 Text of Proposed Order Preliminary Injunction, Order to Freeze Assets, and Order to Repatriate Assets).(London, David)
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Minute Entry for proceedings held before Judge Lewis J. Liman: Telephone Conference held on 5/13/2022 in re: Plaintiff's motion for a preliminary injunction. David London, Alicia Reed, and Michael Moran present by telephone for Plaintiff. Defendant Julius Csurgo present pro se by telephone. Court reporter present by telephone. (mf)
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Filing 19
ORDER: The Court entered a Temporary Restraining Order, Order to Freeze Assets, and Order to Repatriate Assets on April 12, 2022. Dkt. No. 10. At a Show Cause hearing held yesterday, April 26, 2022, the Court heard arguments from Plaintiff Securities and Exchange Commission ("SEC") why the Order entered on April 12, 2022 should be extended. Without objection, the Court also permitted a person who represented himself to be a foreign lawyer for Defendants Julius Csurgo and Antevorta Capital Partners, Ltd. but who is not admitted to the bar of this Court and who has not made an appearance to inform the Court of the status of Defendants attempts to retain counsel. That person informed the Court that the Defendants are in the process of obtaining counsel. Having received no opposition to the extension of the Order and after hearing arguments of the SEC, the Court found that there was good cause to extend the Order. Therefore, as the Court stated on the record at the hearing, the Order will be extended until the end of the day on Friday, May 13, 2022. The Court will hold a hearing on the motion for a preliminary injunction on May 13, 2022 at 3:00 p.m. Opposing papers shall be filed no later than 5:00 p.m. on May 9, 2022 and reply papers shall be filed no later than 1:00 p.m. on May 12, 2022. The parties are directed to dial into the Court's teleconference line at 888-251-2909, Access Code 2123101#. SO ORDERED. ( Responses due by 5/9/2022. Replies due by 5/12/2022. Telephone Conference set for 5/13/2022 at 03:00 PM before Judge Lewis J. Liman.) (Signed by Judge Lewis J. Liman on 4/27/2022) (va)
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Minute Entry for proceedings held before Judge Lewis J. Liman: Telephonic Order to Show Cause Hearing held on 4/26/2022. David London, Alicia Reed, and Michael Moran present by telephone for Plaintiff. Michael Donsky (tentatively and not admitted to the bar of this Court) present by telephone for Defendants, Julius Csurgo and Antevorta Capital Partners, Ltd. No other defendants appeared at the hearing. Court reporter present by telephone. (mf)
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Filing 18
AFFIDAVIT OF SERVICE. Antevorta Capital Partners, Ltd. served on 4/20/2022, answer due 5/11/2022. Service was accepted by Julius Csurgo as Officer of Antevorta Capital Partners, Ltd.. Document filed by Securities and Exchange Commission..(London, David)
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Filing 17
AFFIDAVIT OF SERVICE. Julius Csurgo served on 4/20/2022, answer due 5/11/2022. Service was accepted by Julius Csurgo, Defendant. Document filed by Securities and Exchange Commission..(London, David)
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Filing 16
AFFIDAVIT OF SERVICE of Temporary Restraining Order, Order to Freeze Assets, and Order to Repatriate Assets served on Antevorta Capital Partners, Ltd. on April 14, 2022. Service was accepted by Ali A., Concierge at Registered Address for Antevorta Capital Partners, Ltd.. Document filed by Securities and Exchange Commission..(London, David)
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Filing 15
AFFIDAVIT OF SERVICE of Temporary Restraining Order, Order to Freeze Assets, and Order to Repatriate Assets served on Julius Csurgo on April 14, 2022. Service was accepted by Ali A., Concierge at Defendant's Residence. Document filed by Securities and Exchange Commission..(London, David)
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Filing 14
NOTICE OF APPEARANCE by David London on behalf of Securities and Exchange Commission. (Attachments: #1 Exhibit April 12, 2022 Order for Admission Pro Hac Vice).(London, David)
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Filing 13
DECLARATION OF DAVID H. LONDON UNDER LOCAL RULE 6.l(d) IN SUPPORT OF SECURITIES AND EXCHANGE COMMISSION'S EX PARTE APPLICATION FOR AN ORDER TO SHOW CAUSE, TEMPORARY RESTRAINING ORDER, ORDER TO FREEZE ASSETS, AND ORDER TO REPATRIATE ASSETS: ***This document was previously filed under seal in envelope 2 and unsealed by docket entry 3*** Document filed by Securities and Exchange Commission. (js)
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Filing 12
ORDER TO SHOW CAUSE, TEMPORARY RESTRAINING ORDER, ORDER TO FREEZE ASSETS, AND ORDER TO REPATRIATE ASSETS: ***This document was previously filed under seal in envelope 2 and unsealed by docket entry 3*** (js)
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Filing 11
MEMORANDUM OF LAW IN SUPPORT OF PLAINTIFF' SEX PARTE APPLICATION FOR AN ORDER TO SHOW CAUSE, TEMPORARY RESTRAINING ORDER, AND ORDER FREEZING AND REPATRIATING ASSETS: ***This document was previously filed under seal in envelope 2 and unsealed by docket entry 3***. Document filed by Securities and Exchange Commission. (js)
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Filing 10
ORDER TO SHOW CAUSE, TEMPORARY RESTRAINING ORDER, ORDER TO FREEZE ASSETS, AND ORDER TO REPATRIATE ASSETS: IT IS HEREBY ORDERED that the Defendants show cause, if there be any, to this Court at 4:30 p.m. on the 26 day of April, 2022, why this Court should not enter an Order pursuant to Rule 65 of the Federal Rules of Civil Procedure, Section 20 of the Securities Act [15 U.S.C. 77t], and Section 21 of the Exchange Act [15 U.S.C. 78u]: (a) Preliminarily enjoining the Defendants from violating Sections 5 and l7(a) of the Securities Act [15 U.S.C. 77e and 77q] and Section I0(b) of the Exchange Act [15 U.S.C 78j(b) and Exchange Act Rules 10b-5 thereunder [17 C.F.R. 240.10b-5]; (b) Freezing the Defendants' assets; and (c) Requiring the Defendants to repatriate assets held overseas. The hearing will be held telephonically, and the parties should dial into 888-25-2909, Access Code 2123101#. IT IS HEREBY ORDERED that the Defendants and each of their officers, agents, servants, employees, attorneys, and other persons in active concert or participation with them who receive actual notice of this Order by personal service or otherwise (including by fax, email, or overnight delivery service) are restrained from violating Section I0(b) of the Securities Exchange Act of 1934 ("Exchange Act") [15 U.S.C. 78j(b)] and Rule 10b-5 thereunder [17 C.F.R. 240.10b-5] by, directly or indirectly, through the use of the means or instrumentalities 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 herein. IT IS HEREBY FURTHER ORDERED that: A. The Defendant, 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 the Defendants and 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 the 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, such funds held in the following accounts: as further set forth herein. IT IS HEREBY FURTHER ORDERED that the 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. Plaintiff shall serve this Order on Defendants by April 15, 2022 at 5p.m.( Telephone Conference set for 4/26/2022 at 04:30 PM before Judge Lewis J. Liman.) (Signed by Judge Lewis J. Liman on 4/12/2022) (kv)
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Filing 9
DECLARATION OF TREVOR T. DONELAN: Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit A, #2 Exhibit B, #3 Exhibit C, #4 Exhibit D, #5 Exhibit E, #6 Exhibit F, #7 Exhibit G, #8 Exhibit H, #9 Exhibit I. ***This document was previously filed under seal in envelope 2 and unsealed by docket entry 3***.(js)
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Filing 8
PLAINTIFF'S EX PARTE APPLICATION FOR AN ORDER TO SHOW CAUSE, TEMPORARY RESTRAINING ORDER, AND ORDER FREEZING AND REPATRIATING ASSETS: ***This document was previously filed under seal in envelope 2 and unsealed by docket entry 3*** Document filed by Securities and Exchange Commission..(js)
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Filing 7
COMPLAINT against Antevorta Capital Partners, Ltd., Henry Clarke, Julius Csurgo, Dean Shah. Document filed by Securities and Exchange Commission. ***This document was previously filed under seal in envelope 2 and unsealed by docket entry 3***.(js)
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Filing 6
CIVIL COVER SHEET filed. ***This document was previously filed under seal in envelope 2 and unsealed by docket entry 3***.(js)
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Filing 5
REDACTED CIVIL COVER SHEET filed. ***This document was previously filed under seal in envelope 2 and unsealed by docket entry 3***.(js)
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Filing 4
ORDER TO FILE CIVIL CASE UNDER SEAL: it is hereby temporarily ORDERED this case may be filed under seal. The parties are directed to proceed in accordance with the instructions for filing under seal found in the court's ECF Rules & Instructions, Rule 6.14, and present the case initiating documents to the Clerk of Court in the traditional manner, in paper form. The Clerk is directed to restrict access to this order to the selected party viewing level and close this case. The documents at issue shall be unsealed two weeks from the date of this Order unless, prior to that date, Plaintiff renews the motion (or moves for an extension of this Order) from the District Judge to who the case is formally assigned. So Ordered. ***This document was previously filed under seal in envelope 2 and unsealed by docket entry 3***. (Signed by Judge Jesse M. Furman on 4/11/2022) (js)
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Filing 3
ORDER. It is hereby ORDERED that this case, which was previously filed under seal, be unsealed. Records Management is respectfully directed to upload all documents filed to date on the Electronic Case Filing system. SO ORDERED.(Signed by Judge Lewis J. Liman on 04/14/2022)(jus)
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***NOTICE TO COURT REGARDING PROPOSED TEMPORARY RESTRAINING ORDER. Document No. #8 Proposed Temporary Restraining Order, was reviewed and approved as to form. (nd)
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Filing 2
SEALED DOCUMENT placed in vault..(jus)
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Filing 1
***Sealed*** ORDER, Case sealed. (Signed by Judge Jesse M. Furman on 04/11/2022) (jus)
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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. (jus)
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