Securities and Exchange Commission v. Kwok et al
| Securities and Exchange Commission |
| Ho Wan Kwok, Kin Ming Je, Mountains of Spices LLC, G Club Operations LLC, Mei Guo, Qiang Guo, Hing Chi Ngok, Sin Ting Rong, Miles Guo, Miles Kwok, Wengui Guo, Brother Seven, William Je and Mountains of Spices LLC doing business as New York Farm |
| UNITED STATES OF AMERICA |
| 1:2023cv02200 |
| March 15, 2023 |
| US District Court for the Southern District of New York |
| Paul G Gardephe |
| Securities/Commodities |
| 12 U.S.C. § 22 Securities Fraud |
| Plaintiff |
Docket Report
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This docket was last retrieved on September 1, 2023. A more recent docket listing may be available from PACER.
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| Filing 61 NOTICE OF APPEARANCE by John Kilgard on behalf of Ho Wan Kwok..(Kilgard, John) |
Filing 60
STIPULATION AND ORDER OF SUBSTITUTION OF COUNSEL: NOW, THEREFORE, it is hereby stipulated and agreed by and between the undersigned attorneys and Mr. Kwok that Sidhardha Kamaraju and Matthew S. Barkan of Pryor Cashman shall be and are hereby substituted in lieu of Stephen R. Cook, William R. Baldiga and Stephen A. Best of Brown Rudnick as attorneys of record for Mr. Kwok. Mr. Kwok joins this stipulation to make his consent to the withdrawal of Brown Rudnick part of the record. IT IS FURTHER AGREED that this Stipulation may be executed in counterparts. SO ORDERED. (Signed by Judge Paul G. Gardephe on 7/19/2023) Attorney Stephen Cook; William R. Baldiga and Stephen A. Best terminated. (ks)
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| Filing 59 PROPOSED STIPULATION AND ORDER. Document filed by Ho Wan Kwok..(Kamaraju, Sidhardha) |
| Filing 58 NOTICE OF APPEARANCE by Clare Tilton on behalf of Ho Wan Kwok..(Tilton, Clare) |
| Filing 57 NOTICE OF APPEARANCE by Daniel John Pohlman on behalf of Ho Wan Kwok..(Pohlman, Daniel) |
| Filing 56 NOTICE OF APPEARANCE by Matthew Barkan on behalf of Ho Wan Kwok..(Barkan, Matthew) |
| Filing 55 NOTICE OF APPEARANCE by Sidhardha Kamaraju on behalf of Ho Wan Kwok..(Kamaraju, Sidhardha) |
| Filing 54 MEMO ENDORSEMENT on re: #51 Letter filed by Mountains of Spices LLC. ENDORSEMENT: The SEC's application for permission to continue to attempt to serve Defendant Kin MingJe and Relief Defendants Qiang Guo and Sin Tin Rong (see Dkt. No. 46) is granted.In a May 16, 2023 letter (Dkt. No. 46), the SEC reports that it is conducting "a continuinginvestigation with respect to uncharged parties." (Id. at 1) To the extent that DefendantMountains of Spices objects to the SEC's continuing investigation as to uncharged thirdparties (see Dkt. No. 51), its objection is overruled. To the extent that Defendantexpresses concern that the SEC will conduct discovery as to charged parties during theperiod of the stay, the SEC has stated that it "will not issue any investigative subpoenasfor the purpose of gathering evidence against Defendants." ((Dkt. No. 46) at 2)Accordingly, Defendant's concern is unfounded, and its objection is likewise overruled. (Signed by Judge Paul G. Gardephe on 6/13/2023) (rro) |
| Filing 53 MEMO ENDORSEMENT on re: #45 Letter filed by Mountains of Spices LLC. ENDORSEMENT: Defendant Mountains of Spices LLC's application is denied. The instant civil action and the criminal case, United States v. Ho Wan Kwok et al., S1 23 Cr. 118 (AT), arise from the same events, and even though Defendant Mountains of Spices is not a defendant in the criminal case, discovery would likely be relevant to the criminal case. Moreover, in its request to intervene and to stay the instant action, the Government represented that Defendant Mountains of Spices "would oppose a stay on discovery, because it indicated that it intends to move to 'sever' itself as a defendant, but it noted that - should the Court be inclined to issue a stay - Mountains of Spices would request a complete stay." ((Dkt. No. 42) at 1 n.1) Defendant Mountains of Spices does not refute the truth of this statement, and this Court issued a complete stay. While Defendant Mountains of Spices complains that a stay would "severely prejudice [it] because it would delay resolution of the claims against [it] for an indefinite period" ((Dkt. No. 45) at 2), Defendant does not explain the prejudice it would suffer. Accordingly, the application to lift the stay as to Defendant Mountains of Spices is denied. (Signed by Judge Paul G. Gardephe on 6/13/2023) (rro) Modified on 6/14/2023 (rro). |
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Filing 52
MEMO ENDORSEMENT on re: #50 Letter filed by Securities and Exchange Commission. ENDORSEMENT: The conference previously scheduled for June 15, 2023 is adjourned sine die pursuant to the stay order issued by this Court. (Signed by Judge Paul G. Gardephe on 6/13/2023) (rro)
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| Filing 51 LETTER addressed to Judge Paul G. Gardephe from William J. Quinlan dated June 13, 2023 re: Response to June 9 SEC letter. Document filed by Mountains of Spices LLC..(Quinlan, William) |
| Filing 50 LETTER addressed to Judge Paul G. Gardephe from Daniel Loss dated 06/09/2023 re: Adjournment of June 15, 2023 Conference. Document filed by Securities and Exchange Commission..(Loss, Daniel) |
| Filing 49 LETTER addressed to Judge Paul G. Gardephe from William J. Quinlan dated May 19, 2023 re: Reply to May 17 DOJ letter. Document filed by Mountains of Spices LLC..(Quinlan, William) |
| Filing 48 LETTER addressed to Judge Paul G. Gardephe from USA dated May 17, 2023 re: Opposition to MOS's Pre-Motion Letter. Document filed by UNITED STATES OF AMERICA..(Fergenson, Micah) |
| Filing 47 NOTICE OF APPEARANCE by Micah Festa Fergenson on behalf of UNITED STATES OF AMERICA..(Fergenson, Micah) |
| Filing 46 LETTER addressed to Judge Paul G. Gardephe from Daniel Loss dated 05/16/2023 re: service of international defendants and continuing investigation of uncharged parties during stay. Document filed by Securities and Exchange Commission..(Loss, Daniel) |
| Filing 45 LETTER addressed to Judge Paul G. Gardephe from William J. Quinlan dated May 12, 2023 re: Pre-Motion letter to lift stay for a limited purpose. Document filed by Mountains of Spices LLC..(Quinlan, William) |
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Filing 44
MEMO ENDORSEMENT on re: #42 Letter filed by UNITED STATES OF AMERICA ENDORSEMENT: The Application is granted. SO ORDERED (Signed by Judge Paul G. Gardephe on 4/28/2023) (ks)
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| Filing 43 NOTICE OF APPEARANCE by Juliana Newcomb Murray on behalf of UNITED STATES OF AMERICA..(Murray, Juliana) |
| Filing 42 LETTER addressed to Judge Paul G. Gardephe from Juliana Murray / Ryan Finkel / Micah Fergenson dated 4/28/2023 re: Pre-Motion Letter regarding Motion to Intervene and for a Stay. Document filed by UNITED STATES OF AMERICA..(Murray, Juliana) |
| Case Stayed (ks) |
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Filing 41
STIPULATION FOR EXTENSION OF TIME FOR MEI GUO TO ANSWER TO THE COMPLAINT: WHEREFORE, the undersigned respectfully requests that this Court grant an extension for Ms. Guo to file an Answer to the Complaint by or until May 26, 2023. The Application is granted. SO ORDERED. (Signed by Judge Paul G. Gardephe on 4/26/2023) Mei Guo answer due 5/26/2023. (ks)
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Filing 40
STIPULATION TO EXTEND TIME TO RESPOND TO COMPLAINT: Pursuant to Rule 12 Federal Rules of Civil Procedure and Rule I.D of the Individual Rules of Practice of Judge Paul G. Gardephe and Plaintiff Securities and Exchange Commission and Defendant Mountains of Spices, LLC ("MOS") hereby stipulate to extend the deadline for MOS to answer or otherwise respond to the Complaint from April 26, 2023 to May 26, 2023. This is the first extension of the deadline to respond to the Complaint. The Application is granted. SO ORDERED., Motions terminated: #36 MOTION for Extension of Time to File Answer [Stipulation to Extend Time]. filed by Mountains of Spices LLC. (Signed by Judge Paul G. Gardephe on 4/26/2023) Mountains of Spices LLC answer due 5/26/2023. (ks)
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| Filing 39 PROPOSED STIPULATION AND ORDER. Document filed by Mei Guo..(Vartan, Lee) |
| Filing 38 NOTICE OF APPEARANCE by Melissa Falk Wernick on behalf of Mei Guo..(Wernick, Melissa) |
| Filing 37 NOTICE OF APPEARANCE by Lee David Vartan on behalf of Mei Guo..(Vartan, Lee) |
| Filing 36 MOTION for Extension of Time to File Answer [Stipulation to Extend Time]. Document filed by Mountains of Spices LLC..(Schmitt, Eric) |
| Filing 35 SUMMONS RETURNED EXECUTED. Mei Guo served on 4/3/2023, answer due 4/24/2023. Service was accepted by Tom Dunsing, Security Guard. Document filed by Securities and Exchange Commission..(Loss, Daniel) |
| Filing 34 WAIVER OF SERVICE RETURNED EXECUTED. G Club Operations LLC waiver sent on 3/30/2023, answer due 5/30/2023. Document filed by Securities and Exchange Commission..(Loss, Daniel) |
| Filing 33 SUMMONS RETURNED EXECUTED. Mountains of Spices LLC served on 4/5/2023, answer due 4/26/2023. Service was accepted by Nancy Dougherty, authorized recipient for New York Secretary of State. Document filed by Securities and Exchange Commission..(Loss, Daniel) |
| Filing 32 SUMMONS RETURNED EXECUTED. Hing Chi Ngok served on 4/3/2023, answer due 4/24/2023. Service was accepted by Tom Dunsing, Security Guard. Document filed by Securities and Exchange Commission..(Loss, Daniel) |
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Filing 31
ORDER FOR ADMISSION PRO HAC VICE granting #23 Motion for William J. Quinlan to Appear Pro Hac Vice.. (Signed by Judge Paul G. Gardephe on 4/4/2023) (kv)
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Filing 30
ORDER FOR ADMISSION PRO HAC VICE granting #25 Motion for Stephen A. Best to Appear Pro Hac Vice.. (Signed by Judge Paul G. Gardephe on 4/4/2023) (kv)
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Filing 29
ORDER FOR ADMISSION PRO HAC VICE granting #22 MOTION for Eric T. Schmitt to Appear Pro Hac Vice. The motion of Eric T. Schmitt for admission to practice Pro Hac Vice in the above captioned action is granted. SO ORDERED. (Signed by Judge Paul G. Gardephe on 4/4/2023) (jca)
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Filing 28
ORDER FOR ADMISSION PRO HAC VICE granting #24 MOTION for Stephen R. Cook to Appear Pro Hac Vice. The motion of Stephen R. Cook, for admission to practice Pro Hac Vice in the above-captioned action is granted. (Signed by Judge Paul G. Gardephe on 4/4/2023) (jca)
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| Filing 27 WAIVER OF SERVICE RETURNED EXECUTED. Ho Wan Kwok waiver sent on 3/27/2023, answer due 5/26/2023. Document filed by Securities and Exchange Commission..(Loss, Daniel) |
| >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #22 MOTION for Eric T. Schmitt to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-27535564. Motion and supporting papers to be reviewed by Clerk's Office staff. The document has been reviewed and there are no deficiencies. (dsh) |
| >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #23 MOTION for William J. Quinlan to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-27535688. Motion and supporting papers to be reviewed by Clerk's Office staff. The document has been reviewed and there are no deficiencies. (dsh) |
| >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #25 MOTION for Stephen A. Best to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-27536787. Motion and supporting papers to be reviewed by Clerk's Office staff. The document has been reviewed and there are no deficiencies. (dsh) |
| >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #24 MOTION for Stephen R. Cook to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-27536096. Motion and supporting papers to be reviewed by Clerk's Office staff. The document has been reviewed and there are no deficiencies. (dsh) |
| Filing 26 NOTICE OF APPEARANCE by William R. Baldiga on behalf of Ho Wan Kwok..(Baldiga, William) |
| Filing 25 MOTION for Stephen A. Best to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-27536787. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Ho Wan Kwok. (Attachments: #1 Affidavit Declaration of Stephen A. Best, #2 Exhibit A - VA Bar Certificate of Good Standing, #3 Exhibit B - DC Bar Certificate of Good Standing, #4 Text of Proposed Order Proposed Order).(Best, Stephen) |
| Filing 24 MOTION for Stephen R. Cook to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-27536096. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Ho Wan Kwok. (Attachments: #1 Affidavit Declaration of Stephen R. Cook in Support of Motion for Admission Pro Hac Vice, #2 Exhibit A - CA Bar Certificate of Good Standing, #3 Exhibit B - DC Bar Certificate of Good Standing, #4 Text of Proposed Order Proposed Order).(Cook, Stephen) |
| Filing 23 MOTION for William J. Quinlan to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-27535688. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Mountains of Spices LLC. (Attachments: #1 Affidavit Affidavit in support of Motion for Admission, #2 Exhibit Certificate of Good Standing, #3 Exhibit Certificate of Good Standing, #4 Exhibit Certificate of Good Standing, #5 Text of Proposed Order Proposed Order).(Quinlan, William) |
| Filing 22 MOTION for Eric T. Schmitt to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-27535564. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Mountains of Spices LLC. (Attachments: #1 Affidavit Affidavit in support of Motion for Admission, #2 Exhibit Certificate of Good Standing, #3 Exhibit Certificate of Good Standing, #4 Text of Proposed Order Proposed Order).(Schmitt, Eric) |
| Filing 21 ELECTRONIC SUMMONS ISSUED as to Sin Ting Rong..(jgo) |
| Filing 20 ELECTRONIC SUMMONS ISSUED as to Qiang Guo..(jgo) |
| Filing 19 ELECTRONIC SUMMONS ISSUED as to Mountains of Spices LLC..(jgo) |
| Filing 18 ELECTRONIC SUMMONS ISSUED as to Mei Guo..(jgo) |
| Filing 17 ELECTRONIC SUMMONS ISSUED as to Kin Ming Je..(jgo) |
| Filing 16 ELECTRONIC SUMMONS ISSUED as to Ho Wan Kwok..(jgo) |
| Filing 15 ELECTRONIC SUMMONS ISSUED as to Hing Chi Ngok..(jgo) |
| Filing 14 ELECTRONIC SUMMONS ISSUED as to G Club Operations LLC..(jgo) |
| Filing 13 REQUEST FOR ISSUANCE OF SUMMONS as to Mountains of Spices LLC, re: #1 Complaint. Document filed by Securities and Exchange Commission..(Loss, Daniel) |
| Filing 12 REQUEST FOR ISSUANCE OF SUMMONS as to G Club Operations LLC, re: #1 Complaint. Document filed by Securities and Exchange Commission..(Loss, Daniel) |
| Filing 11 REQUEST FOR ISSUANCE OF SUMMONS as to Sin Ting Rong, re: #1 Complaint. Document filed by Securities and Exchange Commission..(Loss, Daniel) |
| Filing 10 REQUEST FOR ISSUANCE OF SUMMONS as to Qiang Guo, re: #1 Complaint. Document filed by Securities and Exchange Commission..(Loss, Daniel) |
| Filing 9 REQUEST FOR ISSUANCE OF SUMMONS as to Mei Guo, re: #1 Complaint. Document filed by Securities and Exchange Commission..(Loss, Daniel) |
| Filing 8 REQUEST FOR ISSUANCE OF SUMMONS as to Hing Chi Ngok, re: #1 Complaint. Document filed by Securities and Exchange Commission..(Loss, Daniel) |
| Filing 7 REQUEST FOR ISSUANCE OF SUMMONS as to Kin Ming Je, re: #1 Complaint. Document filed by Securities and Exchange Commission..(Loss, Daniel) |
| Filing 6 REQUEST FOR ISSUANCE OF SUMMONS as to Ho Wan Kwok, re: #1 Complaint. Document filed by Securities and Exchange Commission..(Loss, Daniel) |
| Filing 5 NOTICE OF APPEARANCE by William T. Conway, III on behalf of Securities and Exchange Commission..(Conway, William) |
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Filing 4
NOTICE OF PRETRIAL CONFERENCE: Initial Conference set for 6/15/2023 at 11:00 AM in Courtroom 705, 40 Centre Street, New York, NY 10007 before Judge Paul G. Gardephe. SO ORDERED. (Signed by Judge Paul G. Gardephe on 3/17/2023) (ks)
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| CASE OPENING INITIAL ASSIGNMENT NOTICE: The above-entitled action is assigned to Judge Paul G. Gardephe. 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..(gp) |
| Magistrate Judge Gabriel W. Gorenstein 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. (gp) |
| Case Designated ECF. (gp) |
| Filing 3 CIVIL COVER SHEET filed..(Loss, Daniel) |
| Filing 2 NOTICE OF APPEARANCE by Daniel Loss on behalf of Securities and Exchange Commission..(Loss, Daniel) |
| Filing 1 COMPLAINT against G Club Operations LLC, Mei Guo, Qiang Guo, Kin Ming Je, Ho Wan Kwok, Mountains of Spices LLC, Hing Chi Ngok, Sin Ting Rong. Document filed by Securities and Exchange Commission..(Apps, Antonia) |
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