Commodity Futures Trading Commission et al v. Bankman-Fried et al
| Commodity Futures Trading Commission |
| Samuel Bankman-Fried, FTX Trading Ltd. d/b/a FTX.com, Alameda Research LLC, FTX Trading Ltd. doing business as FTX.com, Caroline Ellison and Zixiao Gary Wang |
| United States of America |
| 1:2022cv10503 |
| December 13, 2022 |
| US District Court for the Southern District of New York |
| P Kevin Castel |
| Securities/Commodities |
| Plaintiff |
Docket Report
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| Filing 37 LETTER MOTION for Extension of Time to File Answer to the Amended Complaint addressed to Judge P. Kevin Castel from James M. McDonald dated 02/10/2023. Document filed by Alameda Research LLC, FTX Trading Ltd...(McDonald, James) |
| Filing 36 JOINT LETTER addressed to Judge P. Kevin Castel from the Parties, jointly, dated 2/8/2023 re: Initial Pretrial Conference pursuant to the Court's Initial Pretrial Conference Order. Document filed by Commodity Futures Trading Commission..(Metzger, Carlin) |
| Filing 35 NOTICE OF APPEARANCE by Stephen Gale Dick on behalf of Samuel Bankman-Fried..(Dick, Stephen) |
| Filing 34 NOTICE OF APPEARANCE by Mark Stewart Cohen on behalf of Samuel Bankman-Fried..(Cohen, Mark) |
| Filing 33 MEMORANDUM OF LAW in Support re: #32 MOTION to Stay and Intervene. . Document filed by United States of America..(Rehn, Nathan) |
| Filing 32 MOTION to Stay and Intervene. Document filed by United States of America..(Rehn, Nathan) |
| Filing 31 NOTICE OF APPEARANCE by Nathan Martin Rehn on behalf of United States of America..(Rehn, Nathan) |
Filing 30
ORDER granting #29 Motion for Robert Howell to Appear Pro Hac Vice (HEREBY ORDERED by Judge P. Kevin Castel)(Text Only Order) (Nacanther, Florence)
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| >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #29 MOTION for Robert Howell 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) |
| Filing 29 MOTION for Robert Howell to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Commodity Futures Trading Commission. (Attachments: #1 Affidavit of Robert Howell, #2 Exhibit Certificate of Good Standing, #3 Text of Proposed Order Granting Admission Pro Hac Vice).(Howell, Robert) |
| Filing 28 WAIVER OF SERVICE RETURNED EXECUTED. Samuel Bankman-Fried waiver sent on 1/3/2023, answer due 3/6/2023. Document filed by Commodity Futures Trading Commission..(Ruvinsky, Nina) |
| Filing 27 NOTICE OF APPEARANCE by Steven Robert Peikin on behalf of Alameda Research LLC, FTX Trading Ltd...(Peikin, Steven) |
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Filing 26
CONSENT ORDER OF JUDGMENT ON LIABILITY AGAINST DEFENDANT CAROLINE ELLISON: To effect partial resolution of the matters alleged in the Amended Complaint against Defendant Caroline Ellison ("Ellison" or "Defendant") as to her liability on the charges in the Amended Complaint without a trial on the metits or auy further judicial proceedings, Defendant: Consents to the entry of this Consent Order of Judgment on Liability Against Ellison ("Consent Order"); The Court, being fully advised in the premises, finds that there is good cause for the entry of this Consent Order and that there is no just reason for delay. The findings and conclusions in this Consent Order are not binding on any other party to this action.as set forth herein. Based upon and in com1ection with the foregoing conduct, pursuant to Section 6c of the Act, 7 U.S.C. 13a-1, Defendant Ellison is permanently restrained, enjoined and prohibited from directly or indirectly: as set forth herein. The Court reserves the determination of further appropriate relief. The injunctive and equitable relief provisions of this Consent Order shall be binding upon the following persons who receive actual notice of this Consent Order, by personal service or otherwise: (1) Defendant; (2) any officer, agent, servant, employee, or attorney of the Defendant; and (3) any other persons who are in active concert or participation with any persons described in subsections (1) and (2) above. This Consent Order may be executed in two or more counterparts, all of which shall be considered one and the same agreement and shall become effective when one or morecounterparts have been signed by each of the parties hereto and delivered (by e-mail, or otherwise) to the other party, it being understood that all parties need not sign the same counterpart. Any counterpart or other signature to this Consent Order that is delivered by any means shall be deemed for all purposes as constituting good and valid execution and delive1y by such party of this ConsentOrder. Defendant understands that the terms of the Consent Order are enforceable through contempt proceedings, and that, in any such proceedings, she may not challenge the validity of this Consent Order. There being no just reason for delay, the Clerk of the Court is hereby directed to enter this Consent Order of Judgement Against Defendant Caroline Ellison as to Liability on Counts I andII of the CFTC's Amended Complaint. IT IS SO ORDERED., Caroline Ellison terminated. (Signed by Judge P. Kevin Castel on 12/23/2022) (ama)
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Filing 25
CONSENT ORDER OF JUDGMENT ON LIABILITY AGAINST DEFENDANT ZIXIAO "GARY" WANG: To effect partial resolution of the matters alleged in the Amended Complaint against Defendant Zixiao "Gary" Wang ("Wang" or "Defendant") as to his liability on the charges in the Amended Complaint without a trial on the merits or any further judicial proceedings, Defendant: as set forth herein. The Court, being fully advised in the premises, finds that there is good cause for the entryof this Consent Order and that there is no just reason for delay. The findings and conclusions in this Consent Order are not binding on any other party to this action. The Court finds: as set forth herein. Based upon and in connection with the foregoing conduct, pursuant to Section 6c of the Act, 7 U.S.C. 13a-1, Defendant Wang is permanently restrained, enjoined and prohibited from, directly or indirectly in connection with any swap, contract of sale of any commodity in interstate commerce, or contract for future delive1y on or subject to the mies of any registered entity, using or employing, or attempting to use or employ, a scheme or artifice to defraud; and/or engaging in, or attempting to engage in, acts, practices, or a course of business that operates or would operate as a fraud or deceit upon any person, in violation of Section 6(c)(1) of the Act, 7U.S.C. 9(1) and Regulation 180.1(a)(l), (3), 17 C.F.R. 180. 1(a)(1), (3) (2021). The Court reserves the determination of fu1ther appropriate relief. The injunctive and equitable relief provisions of this Consent Order shall be binding upon the following persons who receive actual notice of this Consent Order, by personal service or otherwise: (1) Defendant; (2) any officer, agent, servant, employee, or attorney of the Defendant; and (3) any other persons who are in active concert or participation with any persons described in subsections (I) and (2) above. This Consent Order may be executed in two or more counterparts, all of which shall be considered one and the same agreement and shall become effective when one or more counterparts have been signed by each of the parties hereto and delivered (by e-mail, or otherwise) to the other party, it being understood that all parties need not sign the same counterpart. Anycounterpart or other signature to this Consent Order that is delivered by any means shall be deemed for all purposes as constituting good and valid execution and delivery by such party of this Consent Order. Defendant understands that the terms of the Consent Order are enforceable through contempt proceedings, and that, in any such proceedings, he may not challenge the validity of thisConsent Order. There being no just reason for delay, the Clerk of the Court is hereby directed to enter this Consent Order of Judgement Against Defendant Zixiao Wang as to Liability on Count I of the CFTC's Amended Complaint. IT IS SO ORDERED., Zixiao Gary Wang terminated. (Signed by Judge P. Kevin Castel on 12/23/2022) (ama)
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| Filing 24 NOTICE OF APPEARANCE by James McDonald on behalf of Alameda Research LLC, FTX Trading Ltd...(McDonald, James) |
| Filing 23 NOTICE OF APPEARANCE by Jacob Michael Croke on behalf of Alameda Research LLC, FTX Trading Ltd...(Croke, Jacob) |
| Filing 22 NOTICE OF APPEARANCE by Stephanie G Wheeler on behalf of Alameda Research LLC, FTX Trading Ltd...(Wheeler, Stephanie) |
| Filing 21 NOTICE OF APPEARANCE by Stephanie Avakian on behalf of Caroline Ellison..(Avakian, Stephanie) |
| Filing 20 NOTICE OF APPEARANCE by Nicholas Werle on behalf of Caroline Ellison..(Werle, Nicholas) |
| Filing 19 NOTICE OF APPEARANCE by Peter Gillies Neiman on behalf of Caroline Ellison..(Neiman, Peter) |
| Filing 18 NOTICE OF APPEARANCE by Anjan Sahni on behalf of Caroline Ellison..(Sahni, Anjan) |
| Filing 17 NOTICE OF APPEARANCE by Alex B. Miller on behalf of Zixiao Wang..(Miller, Alex) |
| Filing 16 NOTICE OF APPEARANCE by Ilan Tuviah Graff on behalf of Zixiao Wang..(Graff, Ilan) |
| ***NOTICE TO ATTORNEY REGARDING PARTY MODIFICATION. Notice to attorney Nina Ruvinsky. The party information for the following party/parties has been modified: Zixiao Wang. The information for the party/parties has been modified for the following reason/reasons: party name entered incorrectly. (vf) |
| Filing 15 LETTER addressed to Judge P. Kevin Castel from Nina Ruvinsky dated 12/21/2022 re: Proposed Consent Order of Judgment as to Defendant Zixiao Wang. Document filed by Commodity Futures Trading Commission. (Attachments: #1 Exhibit A - Proposed Consent Order).(Ruvinsky, Nina) |
| Filing 14 LETTER addressed to Judge P. Kevin Castel from Nina Ruvinsky dated 12/21/2022 re: Proposed Consent Order of Judgment as to Defendant Caroline Ellison. Document filed by Commodity Futures Trading Commission. (Attachments: #1 Exhibit A - Proposed Consent Order).(Ruvinsky, Nina) |
| Filing 13 AMENDED COMPLAINT amending #1 Complaint against Alameda Research LLC, Samuel Bankman-Fried, FTX Trading Ltd., Caroline Ellison, Zixiao Wang with JURY DEMAND.Document filed by Commodity Futures Trading Commission. Related document: #1 Complaint..(Ruvinsky, Nina) |
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Filing 12
ORDER granting #6 Motion for Carlin Metzger to Appear Pro Hac Vice (HEREBY ORDERED by Judge P. Kevin Castel)(Text Only Order) (Nacanther, Florence)
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Filing 11
ORDER granting #5 Motion for Elizabeth Pendleton to Appear Pro Hac Vice (HEREBY ORDERED by Judge P. Kevin Castel)(Text Only Order) (Nacanther, Florence)
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Filing 10
ORDER granting #4 Motion for Nina Ruvinsky to Appear Pro Hac Vice (HEREBY ORDERED by Judge P. Kevin Castel)(Text Only Order) (Nacanther, Florence)
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Filing 9
ORDER INITIAL PRETRIAL CONFERENCE: COUNSEL FOR PLAINTIFF (OR THE REMOVING DEFENDANT) SHALL IMMEDIATELY SEND A COPY OF THIS ORDER TO ALL PARTIES. The call-in information for all teleconferences is: Dial-in: (888) 363-4749. Access Code: 3667981. As further set forth by this Order. SO ORDERED. Initial Conference set for 2/15/2023 at 12:00 PM before Judge P. Kevin Castel. (Signed by Judge P. Kevin Castel on 12/15/2022) (tg)
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| Filing 8 WAIVER OF SERVICE RETURNED EXECUTED. FTX Trading Ltd. waiver sent on 12/15/2022, answer due 2/13/2023. Document filed by Commodity Futures Trading Commission..(Metzger, Carlin) |
| Filing 7 WAIVER OF SERVICE RETURNED EXECUTED. Alameda Research LLC waiver sent on 12/15/2022, answer due 2/13/2023. Document filed by Commodity Futures Trading Commission..(Metzger, Carlin) |
| >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #5 MOTION for Elizabeth Pendleton 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) |
| >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #4 MOTION for Nina Ruvinsky 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) |
| CASE ACCEPTED AS RELATED. Create association to 1:22-cv-10501-PKC. Notice of Assignment to follow. (vba) |
| >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #6 MOTION for Carlin Metzger 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) |
| NOTICE OF CASE REASSIGNMENT to Judge P. Kevin Castel. Judge Unassigned is no longer assigned to the case. (vba) |
| 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. (vba) |
| Filing 6 MOTION for Carlin Metzger to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Commodity Futures Trading Commission. (Attachments: #1 Affidavit of Carlin Metzger, #2 Exhibit Certificate of Good Standing, #3 Text of Proposed Order Granting Admission Pro Hac Vice).(Metzger, Carlin) |
| Filing 5 MOTION for Elizabeth Pendleton to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Commodity Futures Trading Commission. (Attachments: #1 Affidavit of Elizabeth Pendleton, #2 Exhibit Certificate of Good Standing, #3 Text of Proposed Order Granting Admission Pro Hac Vice).(Pendleton, Elizabeth) |
| Filing 4 MOTION for Nina Ruvinsky to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Commodity Futures Trading Commission. (Attachments: #1 Affidavit of Nina Ruvinsky, #2 Exhibit Certificate of Good Standing, #3 Text of Proposed Order Granting Admission Pro Hac Vice).(Ruvinsky, Nina) |
| ***NOTICE TO ATTORNEY REGARDING CIVIL. CASE OPENING STATISTICAL ERROR CORRECTION: Notice to attorney John Cullen Murphy. The following case opening statistical information was erroneously selected/entered: County code Albany. The following correction(s) have been made to your case entry: the County code has been modified to New York. (sj) |
| ***NOTICE TO ATTORNEY REGARDING PARTY MODIFICATION. Notice to attorney John Cullen Murphy. The party information for the following party/parties has been modified: FTX Trading Ltd. d/b/a FTX.com. The information for the party/parties has been modified for the following reason/reasons: alias party type was entered incorrectly. (sj) |
| CASE OPENING INITIAL ASSIGNMENT NOTICE: The above-entitled action is assigned to Judge Unassigned. (sj) |
| CASE REFERRED TO Judge P. Kevin Castel as possibly related to 1:22cv10501. (sj) |
| Case Designated ECF. (sj) |
| Filing 3 STATEMENT OF RELATEDNESS re: that this action be filed as related to 22-10501. Document filed by Commodity Futures Trading Commission..(Murphy, John) |
| Filing 2 CIVIL COVER SHEET filed..(Murphy, John) |
| Filing 1 COMPLAINT against Alameda Research LLC, Samuel Bankman-Fried, FTX Trading Ltd. d/b/a FTX.com. Document filed by Commodity Futures Trading Commission..(Murphy, John) |
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