Moses v. National Securities Corporation et al
| Michael Moses |
| National Securities Corporation, National Holding Corporation, B. Riley Financial Inc., Sean Hosein, National Holdings Corporation and Sean Sherwin |
| 1:2022cv08912 |
| October 19, 2022 |
| US District Court for the Southern District of New York |
| Andrew L Carter |
| Jennifer H Rearden |
| Securities/Commodities |
| 28 U.S.C. § 1331 fr Fed. Question: Fraud |
| Plaintiff |
Docket Report
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Filing 28
NOTICE OF REASSIGNMENT: This case has been reassigned to this Court. All counsel must familiarize themselves with the Court's Individual Rules and Practices, which are available at https://nysd.uscourts.gov/hon-jennifer-h-rearden. Unless and until the Court orders otherwise, all prior orders, dates, and deadlines shall remain in effect notwithstanding the reassignment. Any conference or oral argument before or directed by the Magistrate Judge will proceed as ordered. However, all previously scheduled appearances or conferences before the District Judge are hereby adjourned pending further notice from the Court. Within two weeks of the filing of this Order, the parties are hereby ORDERED to file on ECF a joint letter updating the Court on the status of the case. The joint letter shall not exceed five (5) double-spaced pages, and shall provide the following information, to the extent relevant, in separate paragraphs: as further set forth herein. (Signed by Judge Jennifer H. Rearden on 4/3/2023) (kv)
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| Filing 27 STATUS REPORT. Joint Status Letter Document filed by Michael Moses..(Foley, Jared) |
| NOTICE OF CASE REASSIGNMENT to Judge Jennifer H. Rearden. Judge Andrew L. Carter, Jr is no longer assigned to the case. (nb) |
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Filing 26
ORDER granting #25 Letter Motion to Stay re: #25 LETTER MOTION to Stay Pending Arbitration addressed to Judge Andrew L. Carter, Jr. from Jared B. Foley, Esq. dated February 3, 2023. The Plaintiff's unopposed request is GRANTED. The Court hereby orders that all proceedings in this action are stayed until April 3, 2023. The parties are hereby ORDERED to submit a joint status report on the current status of this action on April 3, 2023. (Signed by Judge Andrew L. Carter, Jr on 2/3/2023) (ate)
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| Filing 25 LETTER MOTION to Stay Pending Arbitration addressed to Judge Andrew L. Carter, Jr. from Jared B. Foley, Esq. dated February 3, 2023. Document filed by Michael Moses. (Attachments: #1 Exhibit 1- Arbitration Agreement).(Foley, Jared) |
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Filing 24
NOTICE OF VOLUNTARY DISMISSAL PURSUANT TO F.R.C.P. 41(a)(l)(A)(i): Pursuant to Rule 41(a)(l)(A)(i) of the Federal Rules of Civil Procedure, the plaintiff Michael Moses and his counsel hereby give notice that the above-captioned action is voluntarily dismissed without prejudice against the defendants National Holdings Corporation and B. Riley Financial Inc. The above-captioned matter is dismissed without prejudice against Defendants National Holdings Corporation and B. Riley Financial Inc. SO ORDERED. B. Riley Financial Inc. and National Holdings Corporation terminated. (Signed by Judge Andrew L. Carter, Jr on 2/2/2023) (kv) Modified on 2/3/2023 (kv).
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| ***NOTICE TO COURT REGARDING NOTICE OF VOLUNTARY DISMISSAL Document No. #23 Notice of Voluntary Dismissal, was reviewed and referred to Judge Andrew L. Carter, Jr. for approval for the following reason(s): the plaintiff(s) filed their voluntary dismissal and it did not dismiss all of the parties or the action in its entirety. (tp) |
| Filing 23 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, without prejudice and without costs against the defendant(s) B. Riley Financial Inc., National Holdings Corporation. Document filed by Michael Moses. Proposed document to be reviewed and processed by Clerk's Office staff (No action required by chambers)...(Foley, Jared) |
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Filing 22
ORDER: The parties are hereby ORDERED to submit a joint status report on the current status of this action by no later than February 8, 2023. SO ORDERED. (Signed by Judge Andrew L. Carter, Jr on 2/1/2023) (tg)
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Filing 21
ORDER granting #20 Letter Motion for Extension of Time. SO ORDERED. Motions due by 1/21/2023. (Signed by Judge Andrew L. Carter, Jr on 12/22/2022) (ate)
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| Filing 20 FIRST LETTER MOTION for Extension of Time addressed to Judge Andrew L. Carter, Jr. from Michael P. Gilmore dated December 21, 2022. Document filed by Sean Hosein..(Gilmore, Michael) |
| Filing 19 NOTICE OF APPEARANCE by Michael Patrick Gilmore on behalf of Sean Hosein..(Gilmore, Michael) |
| Set/Reset Deadlines: Sean Hosein answer due 1/21/2023. (ate) |
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Filing 18
ORDER granting #17 Letter Motion for Extension of Time to Answer re #17 CONSENT LETTER MOTION for Extension of Time to File Answer addressed to Judge Andrew L. Carter, Jr. from Steven E. Mellen dated December 13, 2022., #1 Complaint,,. SO ORDERED. B. Riley Financial Inc. answer due 1/13/2023; National Holdings Corporation answer due 1/13/2023; National Securities Corporation answer due 1/13/2023. (Signed by Judge Andrew L. Carter, Jr on 12/14/2022) (ate)
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| Set/Reset Deadlines: Motions due by 1/13/2023. (ate) |
| Filing 17 CONSENT LETTER MOTION for Extension of Time to File Answer addressed to Judge Andrew L. Carter, Jr. from Steven E. Mellen dated December 13, 2022. Document filed by B. Riley Financial Inc., National Holdings Corporation, National Securities Corporation..(Mellen, Steven) |
| Filing 16 CONSENT LETTER MOTION for Extension of Time to File Answer addressed to Judge Andrew L. Carter, Jr. from Steven E. Mellen dated November 9, 2022. Document filed by B. Riley Financial Inc., National Holdings Corporation, National Securities Corporation..(Mellen, Steven) |
| Filing 15 NOTICE OF APPEARANCE by Steven E. Mellen on behalf of B. Riley Financial Inc., National Holdings Corporation, National Securities Corporation..(Mellen, Steven) |
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ORDER granting #16 Letter Motion for Extension of Time to Answer re #16 CONSENT LETTER MOTION for Extension of Time to File Answer addressed to Judge Andrew L. Carter, Jr. from Steven E. Mellen dated November 9, 2022., #4 Complaint,. B. Riley Financial Inc. answer due 12/14/2022; National Holdings Corporation answer due 12/14/2022; National Securities Corporation answer due 12/14/2022. SO ORDERED.. (Signed by Judge Andrew L. Carter, Jr on 11/9/2022) (tro)
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| Filing 14 AFFIDAVIT OF SERVICE of Summons in civil action and complaint, jury demand, demand for jury trial and exhibits served on Sean Hosen AKA Sean Sherwin on November 1, 2022. Service was accepted by Daniel Otya CCO. Document filed by Michael Moses..(Ajmera, Prachi) |
| Filing 13 AFFIDAVIT OF SERVICE of Summons in civil action and complaint, jury demand, demand for jury trial and exhibits served on National Securities Corporation on October 27, 2022. Service was accepted by Amy Lesch. Document filed by Michael Moses..(Ajmera, Prachi) |
| Filing 12 NOTICE OF APPEARANCE by Scott David Tenley on behalf of Michael Moses..(Tenley, Scott) |
| Filing 11 NOTICE OF APPEARANCE by Prachi Ajmera on behalf of Michael Moses..(Ajmera, Prachi) |
| Filing 10 AFFIDAVIT OF SERVICE of Summons in civil action and complaint, jury demand, demand for jury trial and exhibits served on National Securities Corporation on October 26th, 2022. Service was accepted by Kartik Pandya. Document filed by Michael Moses..(Ajmera, Prachi) |
| Filing 9 AFFIDAVIT OF SERVICE of Summons in civil action and complaint, jury demand, demand for jury trial and exhibits served on National Holdings Corp. on October 24, 2022. Service was accepted by Vincenza Cipriano. Document filed by Michael Moses..(Ajmera, Prachi) |
| Filing 8 AFFIDAVIT OF SERVICE of Summons in civil action and complaint, jury demand, demand for jury trial and exhibits served on Riley Financial on October 24, 2022. Service was accepted by Vincenza Cipriano. Document filed by Michael Moses..(Ajmera, Prachi) |
| Filing 7 ELECTRONIC SUMMONS ISSUED as to B. Riley Financial Inc., Sean Hosein, National Holdings Corporation, National Securities Corporation. (vf) |
| Filing 6 CIVIL COVER SHEET filed..(Foley, Jared) |
| Filing 5 REQUEST FOR ISSUANCE OF SUMMONS as to National Securities Corporation, National Holdings Corporation, B. Riley Financial Inc., Sean Hosein aka Sean Sherwin, re: #4 Complaint,. Document filed by Michael Moses..(Foley, Jared) |
| Filing 4 COMPLAINT against B. Riley Financial Inc., Sean Hosein, National Holdings Corporation, National Securities Corporation. Document filed by Michael Moses. (Attachments: #1 Exhibit 1- Trade Confirmations, #2 Exhibit 2A- Trade Confirmations, #3 Exhibit 2B- Trade Confirmations, #4 Exhibit 3- Trade Confirmations, #5 Exhibit 4- Trade Confirmations, #6 Exhibit 5- Trade Confirmations).(Foley, Jared) |
| ***NOTICE TO ATTORNEY REGARDING DEFICIENT CIVIL COVER SHEET. Notice to attorney Jared Benjamin Foley to RE-FILE Document No. #3 Civil Cover Sheet. The filing is deficient for the following reason(s): Signature Error. Form is not signed. Re-file the document using the event type Civil Cover Sheet found under the event list Other Documents and attach the correct PDF. (vf) |
| ***NOTICE TO ATTORNEY REGARDING DEFICIENT PLEADING. Notice to Attorney Jared Benjamin Foley to RE-FILE Document No. #1 Complaint,,. The filing is deficient for the following reason(s): the All Defendant radio button was selected. Re-file the pleading using the event type Complaint found under the event list Complaints and Other Initiating Documents - attach the correct signed PDF - select the individually named filer/filers - select the individually named party/parties the pleading is against. (vf) |
| ***NOTICE TO ATTORNEY REGARDING PARTY MODIFICATION. Notice to attorney Jared Benjamin Foley. The party information for the following party/parties has been modified: Michael Moses, Sean Hosein, National Holding Corporation. The information for the party/parties has been modified for the following reason/reasons: party name contained a typographical error; party role was entered incorrectly; alias party name was omitted. (vf) |
| ***NOTICE TO ATTORNEY REGARDING CIVIL. CASE OPENING STATISTICAL ERROR CORRECTION: Notice to attorney Jared Benjamin Foley. The following case opening statistical information was erroneously selected/entered: Cause of Action code 28:1331fr Fed. Question: Fraud; County code New York; Fee Status code due (due). The following correction(s) have been made to your case entry: the Cause of Action code has been modified to 15:78m(a) Securities Exchange Act; the County code has been modified to XX Out of U.S.; the Fee Status code has been modified to pd (paid). (vf) |
| ***NOTICE TO ATTORNEY REGARDING DEFICIENT REQUEST FOR ISSUANCE OF SUMMONS. Notice to Attorney Jared Benjamin Foley to RE-FILE Document No. #2 Request for Issuance of Summons. The filing is deficient for the following reason(s): Defendant party name spelling error. Defendant party name listed on Summons and ECF Docket entry does not correspond to pleading caption. 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. (vf) |
| CASE OPENING INITIAL ASSIGNMENT NOTICE: The above-entitled action is assigned to Judge Andrew L. Carter, Jr. 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) |
| Case Designated ECF. (vf) |
| Magistrate Judge Jennifer Willis 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) |
| Filing 3 FILING ERROR - DEFICIENT - SIGNATURE ERROR - CIVIL COVER SHEET filed..(Foley, Jared) Modified on 10/20/2022 (vf). |
| Filing 2 FILING ERROR - DEFICIENT - SUMMONS REQUEST As To - REQUEST FOR ISSUANCE OF SUMMONS as to National Securities Corporation, National Holding Corporation, B. Riley Financial Inc., Sean Hosein aka Sean Sherwin, re: #1 Complaint,. Document filed by Michael Moses..(Foley, Jared) Modified on 10/20/2022 (vf). |
| Filing 1 FILING ERROR - DEFICIENT PLEADING - FILED AGAINST PARTY ERROR -COMPLAINT against All Defendants. (Filing Fee $ 402.00, Receipt Number ANYSDC-26839061)Document filed by Michael Moses. (Attachments: #1 Exhibit 1- Trade Confirmations, #2 Exhibit 2A- Trade Confirmations, #3 Exhibit 2B- Trade Confirmations, #4 Exhibit 3- Trade Confirmations, #5 Exhibit 4- Trade Confirmations, #6 Exhibit 5- Trade Confirmations).(Foley, Jared) Modified on 10/20/2022 (vf). |
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