Securities and Exchange Commission v. Dupont et al
Plaintiff: Securities and Exchange Commission
Defendant: Joseph M Dupont, Shawn P Cronin, Stanley Kaplan, Paul Feldman and Jarett G Mendoza
Intervenor: UNITED STATES OF AMERICA
Case Number: 1:2023cv05565
Filed: June 29, 2023
Court: US District Court for the Southern District of New York
Presiding Judge: Victor Marrero
Nature of Suit: Securities/Commodities
Cause of Action: 28 U.S.C. § 1331 sv Fed. Question: Securities Violation
Jury Demanded By: Plaintiff
Docket Report

This docket was last retrieved on September 25, 2024. A more recent docket listing may be available from PACER.

Date Filed Document Text
August 18, 2023 Opinion or Order Filing 16 ORDER granting #14 Motion to Intervene; granting #14 Letter Motion to Stay re: #14 MOTION to Intervene . MOTION to Stay . It is ORDERED that the Government's motion to intervene is GRANTED. It is further ORDERED that this matter is stayed in its entirety until the completion of the Criminal Case. SO ORDERED. (Signed by Judge Victor Marrero on 8/18/2023) (jca)
August 11, 2023 Filing 15 MEMORANDUM OF LAW in Support re: #14 MOTION to Intervene . MOTION to Stay . . Document filed by UNITED STATES OF AMERICA. (Attachments: #1 Exhibit Indictment, #2 Proposed Order Proposed Order).(Rothschild, Samuel)
August 11, 2023 Filing 14 MOTION to Intervene ., MOTION to Stay . Document filed by UNITED STATES OF AMERICA..(Rothschild, Samuel)
August 9, 2023 Opinion or Order Filing 13 JUDGMENT AS TO DEFENDANT JARETT G. MENDOZA The Securities and Exchange Commission having filed a Complaint and Defendant Jarett G. Mendoza 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; 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. IT IS HEREBY FURTHER ORDERED, ADJUDGED, AND DECREED that Defendant shall pay disgorgement of ill-gotten gains, prejudgment interest thereon, and a civil penalty pursuant to Sections 21(d)(3), 21(d)(5), 21(d)(7) and 21A(a) of the Exchange Act [15 U.S.C. 78u(d)(3), 78u(d)(5), 78u(d)(7) and 78u-1(a)]. The Court shall determine the amounts of the disgorgement and civil penalty upon motion of the Commission. 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.) Jarett G Mendoza terminated. (Signed by Judge Victor Marrero on 8/9/2023) (jca)
August 7, 2023 Filing 12 LETTER addressed to Judge Victor Marrero from Margaret D. Spillane dated 08/04/2023 re: Proposed Judgment as to Defendant Mendoza. Document filed by Securities and Exchange Commission. (Attachments: #1 Proposed Order Proposed Consent Judgment as to Jarett Mendoza, #2 Exhibit Consent of Jarett Mendoza).(Spillane, Margaret)
August 7, 2023 Filing 11 PROPOSED JUDGMENT. Document filed by Securities and Exchange Commission..(Spillane, Margaret) Proposed Judgment to be reviewed by Clerk's Office staff.
August 7, 2023 ***NOTICE TO COURT REGARDING PROPOSED JUDGMENT. Document No. #11 Proposed Judgment was reviewed and approved as to form. (km)
August 7, 2023 ***NOTICE TO ATTORNEY REGARDING DEFICIENT PROPOSED JUDGMENT. Notice to attorney Margaret Spillane to RE-FILE Document No. #10 Proposed Judgment. The filing is deficient for the following reason(s): The letter and the judgment need to be filed separately. File the judgment using the event type Proposed Judgment found under the event list Proposed Orders. File the letter using Other Filings, Other Documents, Letter. (km)
August 4, 2023 Filing 10 FILING ERROR - DEFICIENT DOCKET ENTRY - PROPOSED JUDGMENT. Document filed by Securities and Exchange Commission. (Attachments: #1 Proposed Order Proposed Judgment on Consent as to Mendoza, #2 Exhibit Consent of Defendant Mendoza).(Spillane, Margaret) Proposed Judgment to be reviewed by Clerk's Office staff. Modified on 8/7/2023 (km).
August 4, 2023 Filing 9 WAIVER OF SERVICE RETURNED EXECUTED. Shawn P Cronin waiver sent on 7/6/2023, answer due 9/5/2023. Document filed by Securities and Exchange Commission..(Spillane, Margaret)
July 27, 2023 Filing 8 ELECTRONIC SUMMONS ISSUED as to Shawn P Cronin..(pc)
July 26, 2023 Filing 7 WAIVER OF SERVICE RETURNED EXECUTED. Paul Feldman waiver sent on 7/5/2023, answer due 9/5/2023. Document filed by Securities and Exchange Commission..(Spillane, Margaret)
July 26, 2023 Filing 6 WAIVER OF SERVICE RETURNED EXECUTED. Stanley Kaplan waiver sent on 7/5/2023, answer due 9/5/2023. Document filed by Securities and Exchange Commission..(Spillane, Margaret)
July 26, 2023 Filing 5 WAIVER OF SERVICE RETURNED EXECUTED. Joseph M Dupont waiver sent on 7/5/2023, answer due 9/5/2023. Document filed by Securities and Exchange Commission..(Spillane, Margaret)
July 26, 2023 Filing 4 REQUEST FOR ISSUANCE OF SUMMONS as to Shawn P. Cronin, re: #1 Complaint. Document filed by Securities and Exchange Commission..(Spillane, Margaret)
June 30, 2023 Case Designated ECF. (pc)
June 30, 2023 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. (pc)
June 30, 2023 CASE OPENING INITIAL ASSIGNMENT NOTICE: The above-entitled action is assigned to Judge Victor Marrero. 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..(pc)
June 29, 2023 Filing 3 NOTICE OF APPEARANCE by Margaret Dundon Spillane on behalf of Securities and Exchange Commission..(Spillane, Margaret)
June 29, 2023 Filing 2 CIVIL COVER SHEET filed..(Apps, Antonia)
June 29, 2023 Filing 1 COMPLAINT against Shawn P Cronin, Joseph M Dupont, Paul Feldman, Stanley Kaplan, Jarett G Mendoza. Document filed by Securities and Exchange Commission..(Apps, Antonia)

Access additional case information on PACER

Use the links below to access additional information about this case on the US Court's PACER system. A subscription to PACER is required.

Access this case on the New York Southern District Court's Electronic Court Filings (ECF) System

Search for this case: Securities and Exchange Commission v. Dupont et al
Search News [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ]
Search Web [ Unicourt | Legal Web | Google | Bing | Yahoo | Ask ]
Plaintiff: Securities and Exchange Commission
Represented By: Margaret Dundon Spillane
Represented By: Antonia Marie Apps
Search News [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ]
Search Finance [ Google Finance | Yahoo Finance | Hoovers | SEC Edgar Filings ]
Search Web [ Unicourt | Justia Dockets | Legal Web | Google | Bing | Yahoo | Ask ]
Defendant: Joseph M Dupont
Search News [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ]
Search Finance [ Google Finance | Yahoo Finance | Hoovers | SEC Edgar Filings ]
Search Web [ Unicourt | Justia Dockets | Legal Web | Google | Bing | Yahoo | Ask ]
Defendant: Shawn P Cronin
Search News [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ]
Search Finance [ Google Finance | Yahoo Finance | Hoovers | SEC Edgar Filings ]
Search Web [ Unicourt | Justia Dockets | Legal Web | Google | Bing | Yahoo | Ask ]
Defendant: Stanley Kaplan
Search News [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ]
Search Finance [ Google Finance | Yahoo Finance | Hoovers | SEC Edgar Filings ]
Search Web [ Unicourt | Justia Dockets | Legal Web | Google | Bing | Yahoo | Ask ]
Defendant: Paul Feldman
Search News [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ]
Search Finance [ Google Finance | Yahoo Finance | Hoovers | SEC Edgar Filings ]
Search Web [ Unicourt | Justia Dockets | Legal Web | Google | Bing | Yahoo | Ask ]
Defendant: Jarett G Mendoza
Search News [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ]
Search Finance [ Google Finance | Yahoo Finance | Hoovers | SEC Edgar Filings ]
Search Web [ Unicourt | Justia Dockets | Legal Web | Google | Bing | Yahoo | Ask ]
Intervenor: UNITED STATES OF AMERICA
Represented By: Samuel Philip Rothschild
Search News [ Google News | Marketwatch | Wall Street Journal | Financial Times | New York Times ]
Search Finance [ Google Finance | Yahoo Finance | Hoovers | SEC Edgar Filings ]
Search Web [ Unicourt | Justia Dockets | Legal Web | Google | Bing | Yahoo | Ask ]

Disclaimer: Justia Dockets & Filings provides public litigation records from the federal appellate and district courts. These filings and docket sheets should not be considered findings of fact or liability, nor do they necessarily reflect the view of Justia.


Why Is My Information Online?