Securities and Exchange Commission v. Hollender et al
| Securities and Exchange Commission |
| Scott J Hollender, Gabriel F Migliano, Jr., Frank M Vecchio, GSH Empire, Inc. and 21st Century Gold & Silver Inc. |
| 1:2023cv02456 |
| March 23, 2023 |
| US District Court for the Southern District of New York |
| Lewis A Kaplan |
| Securities/Commodities |
| 12 U.S.C. § 22 Securities Fraud |
| Plaintiff |
Docket Report
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Filing 21
JUDGMENT AS TO DEFENDANT FRANK M. VECCHIO The Securities and Exchange Commission having filed a Complaint and Defendant Frank M. Vechio ("Defendant") having entered a general appearance; consented to the Court's jurisdiction over Defendant and the subject matter of this action; consented to entry of this Judgment without admitting or denying the allegations of the Complaint ( except as to jurisdiction and except as otherwise provided herein in paragraph V); waived findings of fact and conclusions of law; and waived any right to appeal from this Judgment: 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: (a) to employ any device, scheme, or artifice to defraud; (b) to make any untrue statement of a material fact or to omit to state a material fact necessary in order to make the statements made, in the light of the circumstances under which they were made, not misleading; or (c) to engage in any act, practice, or course of business which operates or would operate as a fraud or deceit upon any person. IT IS FURTHER ORDERED, ADJUDGED, AND DECREED that this Court shall retain jurisdiction of this matter for the purposes of enforcing the terms of this Judgment. There being no just reason for delay, pursuant to Rule 54(b) of the Federal Rules of Civil Procedure, the Clerk is ordered to enter this Judgment forthwith and without further notice. (And as further set forth herein.) Frank M Vecchio terminated. (Signed by Judge Lewis A. Kaplan on 5/11/2023) (jca)
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| Filing 20 LETTER addressed to Judge Lewis A. Kaplan from Daniel Loss dated 05/10/2023 re: proposed judgment as to Frank M. Vecchio. Document filed by Securities and Exchange Commission..(Loss, Daniel) |
| ***NOTICE TO COURT REGARDING PROPOSED JUDGMENT. Document No. #19 Proposed Judgment was reviewed and approved as to form. (km) |
| Filing 19 PROPOSED JUDGMENT. Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit Consent of Frank M. Vecchio).(Loss, Daniel) Proposed Judgment to be reviewed by Clerk's Office staff. |
| Filing 18 WAIVER OF SERVICE RETURNED EXECUTED. Gabriel F Migliano, Jr waiver sent on 3/30/2023, answer due 5/30/2023. Document filed by Securities and Exchange Commission..(Loss, Daniel) |
| Filing 17 WAIVER OF SERVICE RETURNED EXECUTED. Frank M Vecchio waiver sent on 4/4/2023, answer due 6/5/2023. Document filed by Securities and Exchange Commission..(Loss, Daniel) |
| Filing 16 SUMMONS RETURNED EXECUTED. GSH Empire, Inc. 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 15 WAIVER OF SERVICE RETURNED EXECUTED. Scott J Hollender waiver sent on 3/29/2023, answer due 5/30/2023. Document filed by Securities and Exchange Commission..(Loss, Daniel) |
| Filing 14 ELECTRONIC SUMMONS ISSUED as to GSH Empire, Inc. (vf) |
| Filing 13 ELECTRONIC SUMMONS ISSUED as to 21st Century Gold & Silver Inc.. (vf) |
| Filing 12 ELECTRONIC SUMMONS ISSUED as to Frank M Vecchio. (vf) |
| Filing 11 ELECTRONIC SUMMONS ISSUED as to Gabriel F Migliano, Jr. (vf) |
| Filing 10 ELECTRONIC SUMMONS ISSUED as to Scott J Hollender. (vf) |
| Filing 9 REQUEST FOR ISSUANCE OF SUMMONS as to GSH Empire, Inc., re: #1 Complaint. Document filed by Securities and Exchange Commission..(Loss, Daniel) |
| Filing 8 REQUEST FOR ISSUANCE OF SUMMONS as to 21st Century Gold & Silver Inc., re: #1 Complaint. Document filed by Securities and Exchange Commission..(Loss, Daniel) |
| Filing 7 REQUEST FOR ISSUANCE OF SUMMONS as to Frank M. Vecchio, re: #1 Complaint. Document filed by Securities and Exchange Commission..(Loss, Daniel) |
| Filing 6 REQUEST FOR ISSUANCE OF SUMMONS as to Gabriel F. Migliano, Jr., re: #1 Complaint. Document filed by Securities and Exchange Commission..(Loss, Daniel) |
| Filing 5 REQUEST FOR ISSUANCE OF SUMMONS as to Scott J. Hollender, re: #1 Complaint. Document filed by Securities and Exchange Commission..(Loss, Daniel) |
| CASE ACCEPTED AS RELATED. Create association to 1:22-cv-03897-LAK. Notice of Assignment to follow. (aea) |
| NOTICE OF CASE REASSIGNMENT to Judge Lewis A. Kaplan. Judge Unassigned is no longer assigned to the case. (aea) |
| 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. (aea) |
| CASE OPENING INITIAL ASSIGNMENT NOTICE: The above-entitled action is assigned to Judge Unassigned. .(pc) |
| Case Designated ECF. (pc) |
| ***NOTICE TO ATTORNEY REGARDING CIVIL. CASE OPENING STATISTICAL ERROR CORRECTION: Notice to attorney Daniel Loss. The following case opening statistical information was erroneously selected/entered: Arbitration code e (Exempt); Fee Status code none (no fee required);. The following correction(s) have been made to your case entry: the Arbitration code has been deleted; the Fee Status code has been modified to wv (waived);. (pc) |
| CASE REFERRED TO Judge Lewis A. Kaplan as possibly related to 22cv3897. (pc) |
| Filing 4 STATEMENT OF RELATEDNESS re: that this action be filed as related to 22-cv-3897 (LAK). Document filed by Securities and Exchange Commisison..(Loss, Daniel) |
| Filing 3 CIVIL COVER SHEET filed..(Loss, Daniel) |
| Filing 2 NOTICE OF APPEARANCE by Daniel Loss on behalf of Securities and Exchange Commisison..(Loss, Daniel) |
| Filing 1 COMPLAINT against 21st Century Gold & Silver Inc., GSH Empire, Inc., Scott J Hollender, Gabriel F Migliano, Jr, Frank M Vecchio. Document filed by Securities and Exchange Commisison..(Apps, Antonia) |
| ***NOTICE TO ATTORNEY REGARDING PARTY MODIFICATION. Notice to attorney Antonia Marie Apps. The party information for the following party/parties has been modified: Securities and Exchange Commission. The information for the party/parties has been modified for the following reason/reasons: party name contained a typographical error. (gp) |
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