Securities and Exchange Commission v. Klein et al
| Securities and Exchange Commission |
| Mark Klein, Eduardo Rubinstein and Pablo Rubinstein |
| 1:2022cv06426 |
| July 28, 2022 |
| US District Court for the Southern District of New York |
| Lorna G Schofield |
| Securities/Commodities |
| 15 U.S.C. § 77 Securities Fraud |
| Plaintiff |
Docket Report
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This docket was last retrieved on August 2, 2023. A more recent docket listing may be available from PACER.
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Filing 18
ORDER granting #12 Motion for Ian J. Kellogg to Appear Pro Hac Vice (HEREBY ORDERED by Judge Lorna G. Schofield)(Text Only Order) (jcs)
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Filing 17
NOTICE OF APPEARANCE by Brendan White on behalf of Mark Klein..(White, Brendan)
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Filing 16
NOTICE of Proof Of Notice Of Order #15 And Individual Rules And Procedures For Civil Cases re: #15 Order for Initial Pretrial Conference,,. Document filed by Securities and Exchange Commission..(Kellogg, Ian)
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Filing 15
ORDER: This case has been assigned to me for all purposes. It is hereby ORDERED that atelephonic conference will be held on October 5, 2022 at 4:30p.m. The parties shall call (888) 363-4749 and enter the access code 558-3333. The telephonic conference is public, and the time of the conference is approximate, but the parties shall be ready to proceed by that time. All pretrial conferences must be attended by the attorney who will serve as principal trial counsel. The parties shall ensure they are all dialed into the conference call by the appointed conference time, as further set forth herein. Initial Conference set for 10/5/2022 at 04:30 PM before Judge Lorna G. Schofield. (Signed by Judge Lorna G. Schofield on 8/23/2022) (mml)
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Filing 14
WAIVER OF SERVICE RETURNED EXECUTED. Eduardo Rubinstein waiver sent on 7/29/2022, answer due 9/27/2022. Document filed by Securities and Exchange Commission..(Williams, Mark)
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Filing 13
WAIVER OF SERVICE RETURNED EXECUTED. Mark Klein waiver sent on 7/29/2022, answer due 9/27/2022. Document filed by Securities and Exchange Commission..(Williams, Mark)
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>>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #12 MOTION for Ian J. Kellogg 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. (sgz)
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Filing 12
MOTION for Ian J. Kellogg to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Securities and Exchange Commission. (Attachments: #1 Affidavit Declaration in support of motion for admission pro hac vice, #2 Exhibit Certificate of Good Standing, #3 Text of Proposed Order Proposed Order).(Kellogg, Ian)
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Filing 11
NOTICE OF APPEARANCE by Frank D. Goldman on behalf of Securities and Exchange Commission..(Goldman, Frank)
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Filing 10
FINAL JUDGMENT AS TO DEFENDANT PABLO RUBINSTEIN: 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 herein. IT IS FURTHER ORDERED, ADJUDGED, AND DECREED that Defendant shall pay a civil penalty in the amount of $225,902.25 to the Securities and Exchange Commission pursuant to Section 20(d) of the Securities Act and Section 21A of the Exchange Act. Defendant shall make this payment within 30 days after entry of this Final Judgment, as further set forth. IT IS FURTHER ORDERED, ADJUDGED, AND DECREED that, solely for purposes of exceptions to discharge set forth in Section 523 of the Bankruptcy Code, 11 U.S.C. 523, the allegations in the complaint are true and admitted by Defendant, and further, any debt for disgorgement, prejudgment interest, civil penalty or other amounts due by Defendant under this Final Judgment or any other judgment, order, consent order, decree or settlement agreement entered in connection with this proceeding, is a debt for the violation by Defendant of the federal securities laws or any regulation or order issued under such laws, as set forth in Section 523(a)(19) of the Bankruptcy Code, 11 U.S.C. 523(a)(19), as further set forth herein. SO ORDERED. Pablo Rubinstein terminated. (Signed by Judge Lorna G. Schofield on 8/1/2022) (mml)
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Filing 9
LETTER addressed to Judge Lorna G. Schofield from Mark L. Williams dated July 29, 2022 re: Proposed Settlement with Pablo Rubinstein. Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit [PROPOSED] Final Judgment, #2 Exhibit Consent of P. Rubinstein).(Williams, Mark)
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Filing 8
ELECTRONIC SUMMONS ISSUED as to Pablo Rubinstein. (vf)
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Filing 7
ELECTRONIC SUMMONS ISSUED as to Eduardo Rubinstein. (vf)
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Filing 6
ELECTRONIC SUMMONS ISSUED as to Mark Klein. (vf)
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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..(vf)
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Magistrate Judge Stewart D. Aaron 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. (vf)
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Case Designated ECF. (vf)
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Filing 5
REQUEST FOR ISSUANCE OF SUMMONS as to Pablo Rubinstein, re: #1 Complaint. Document filed by Securities and Exchange Commission..(Williams, Mark)
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Filing 4
REQUEST FOR ISSUANCE OF SUMMONS as to Eduardo Rubinstein, re: #1 Complaint. Document filed by Securities and Exchange Commission..(Williams, Mark)
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Filing 3
REQUEST FOR ISSUANCE OF SUMMONS as to Mark Klein, re: #1 Complaint. Document filed by Securities and Exchange Commission..(Williams, Mark)
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Filing 2
CIVIL COVER SHEET filed..(Williams, Mark)
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Filing 1
COMPLAINT against Mark Klein, Eduardo Rubinstein, Pablo Rubinstein. Document filed by Securities and Exchange Commission..(Williams, Mark)
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