Securities and Exchange Commission v. Klein et al
Plaintiff: Securities and Exchange Commission
Defendant: Mark Klein, Eduardo Rubinstein and Pablo Rubinstein
Case Number: 1:2022cv06426
Filed: July 28, 2022
Court: US District Court for the Southern District of New York
Presiding Judge: Lorna G Schofield
Nature of Suit: Securities/Commodities
Cause of Action: 15 U.S.C. ยง 77 Securities Fraud
Jury Demanded By: Plaintiff
Docket Report

This docket was last retrieved on September 29, 2022. A more recent docket listing may be available from PACER.

Date Filed Document Text
September 6, 2022 Opinion or Order 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)
August 25, 2022 Opinion or Order Filing 17 NOTICE OF APPEARANCE by Brendan White on behalf of Mark Klein..(White, Brendan)
August 24, 2022 Opinion or Order 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)
August 23, 2022 Opinion or Order 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)
August 18, 2022 Opinion or Order 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)
August 17, 2022 Opinion or Order 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)
August 8, 2022 Opinion or Order >>>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)
August 5, 2022 Opinion or Order 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)
August 2, 2022 Opinion or Order Filing 11 NOTICE OF APPEARANCE by Frank D. Goldman on behalf of Securities and Exchange Commission..(Goldman, Frank)
August 1, 2022 Opinion or Order 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)
July 29, 2022 Opinion or Order 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)
July 29, 2022 Opinion or Order Filing 8 ELECTRONIC SUMMONS ISSUED as to Pablo Rubinstein. (vf)
July 29, 2022 Opinion or Order Filing 7 ELECTRONIC SUMMONS ISSUED as to Eduardo Rubinstein. (vf)
July 29, 2022 Opinion or Order Filing 6 ELECTRONIC SUMMONS ISSUED as to Mark Klein. (vf)
July 29, 2022 Opinion or Order 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)
July 29, 2022 Opinion or Order 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)
July 29, 2022 Opinion or Order Case Designated ECF. (vf)
July 28, 2022 Opinion or Order Filing 5 REQUEST FOR ISSUANCE OF SUMMONS as to Pablo Rubinstein, re: #1 Complaint. Document filed by Securities and Exchange Commission..(Williams, Mark)
July 28, 2022 Opinion or Order Filing 4 REQUEST FOR ISSUANCE OF SUMMONS as to Eduardo Rubinstein, re: #1 Complaint. Document filed by Securities and Exchange Commission..(Williams, Mark)
July 28, 2022 Opinion or Order Filing 3 REQUEST FOR ISSUANCE OF SUMMONS as to Mark Klein, re: #1 Complaint. Document filed by Securities and Exchange Commission..(Williams, Mark)
July 28, 2022 Opinion or Order Filing 2 CIVIL COVER SHEET filed..(Williams, Mark)
July 28, 2022 Opinion or Order Filing 1 COMPLAINT against Mark Klein, Eduardo Rubinstein, Pablo Rubinstein. Document filed by Securities and Exchange Commission..(Williams, Mark)

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Plaintiff: Securities and Exchange Commission
Represented By: Mark Lander Williams
Represented By: Frank D. Goldman
Represented By: Ian Kellogg
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Defendant: Mark Klein
Represented By: Brendan White
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Defendant: Eduardo Rubinstein
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Defendant: Pablo Rubinstein
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