Securities and Exchange Commission v. Dupont et al
Securities and Exchange Commission |
Joseph M Dupont, Shawn P Cronin, Stanley Kaplan, Paul Feldman and Jarett G Mendoza |
UNITED STATES OF AMERICA |
1:2023cv05565 |
June 29, 2023 |
US District Court for the Southern District of New York |
Victor Marrero |
Securities/Commodities |
28 U.S.C. § 1331 sv Fed. Question: Securities Violation |
Plaintiff |
Docket Report
This docket was last retrieved on September 25, 2024. A more recent docket listing may be available from PACER.
Document Text |
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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) |
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) |
Filing 14 MOTION to Intervene ., MOTION to Stay . Document filed by UNITED STATES OF AMERICA..(Rothschild, Samuel) |
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) |
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) |
Filing 11 PROPOSED JUDGMENT. Document filed by Securities and Exchange Commission..(Spillane, Margaret) Proposed Judgment to be reviewed by Clerk's Office staff. |
***NOTICE TO COURT REGARDING PROPOSED JUDGMENT. Document No. #11 Proposed Judgment was reviewed and approved as to form. (km) |
***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) |
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). |
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) |
Filing 8 ELECTRONIC SUMMONS ISSUED as to Shawn P Cronin..(pc) |
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) |
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) |
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) |
Filing 4 REQUEST FOR ISSUANCE OF SUMMONS as to Shawn P. Cronin, re: #1 Complaint. Document filed by Securities and Exchange Commission..(Spillane, Margaret) |
Case Designated ECF. (pc) |
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) |
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) |
Filing 3 NOTICE OF APPEARANCE by Margaret Dundon Spillane on behalf of Securities and Exchange Commission..(Spillane, Margaret) |
Filing 2 CIVIL COVER SHEET filed..(Apps, Antonia) |
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) |
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