Securities and Exchange Commission v. SolarWinds Corp. et al
| Securities & Exchange Commission and Securities and Exchange Commission |
| SolarWinds Corp. and Timothy G. Brown |
| 1:2023cv09518 |
| October 30, 2023 |
| US District Court for the Southern District of New York |
| Paul A Engelmayer |
| Securities/Commodities |
| 15 U.S.C. § 77 Securities Fraud |
| Plaintiff |
Docket Report
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This docket was last retrieved on March 25, 2024. A more recent docket listing may be available from PACER.
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Filing 38
ORDER granting #21 Motion for Extension of Time. It is hereby ORDERED that the following schedule shall apply for any motions under Rule 12(b) (6) in this case, including any amici briefs: Motion and opening brief January 26, 2024; Any amicus briefs supporting motion to dismiss, with requests for leave to file February 2, 2024; Amended Complaint, if any February 16, 2024; Opposition brief if no Amended Complaint March 8, 2024; Any amicus briefs opposing motion to dismiss, with requests for leave to file March 15, 2024; Reply brief if no Amended Complaint March 22, 2024; If there is an Amended Complaint, new motion to dismiss (or notice that standing by previous motion) March 22, 2024; If there is an Amended Complaint, new amicus briefs supporting motion to dismiss (or notices that standing by prior briefs) March 29, 2024; If there is an Amended Complaint, opposition brief April 19, 2024; If there is an Amended Complaint, new amicus briefs opposing motion to dismiss ( or notices that standing by prior briefs) April 26, 2024; If there is an Amended Complaint, reply brief May 3, 2024; It is further ORDERED that the Defendants' brief shall take the form of a combined brief of no more than 40 pages, the SEC's opposition brief shall be limited to 50 pages, and the reply brief shall be limited to 15 pages. In the event there are no amici briefs, the SEC shall limit its opposition brief to 40 pages and endeavor to file it sooner, and the Defendants' reply brief shall be due two weeks after the SEC files its opposition brief. If there are more than two amici briefs, the SEC may seek leave to file a longer brief. The Court will likely hear oral argument on the motions to dismiss, on a date to be determined. So ordered.. (Signed by Judge Paul A. Engelmayer on 12/27/2023) (ks)
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| Set/Reset Deadlines: Amended Pleadings due by 2/16/2024. Motions due by 1/26/2024. Responses due by 3/8/2024 Replies due by 3/22/2024. (ks) |
| Filing 37 LETTER addressed to Judge Paul A. Engelmayer from Christopher Bruckmann dated 12/22/2023 re: Entities from which the SEC obtained documents or information. Document filed by Securities and Exchange Commission..(Bruckmann, Christopher) |
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Filing 36
CIVIL CASE MANAGEMENT PLAN AND SCHEDULING ORDER: All parties do not consent to conducting all further proceedings before a Magistrate Judge, including motions and trial. 28 U.S.C. 636(c). This case is to be tried to a jury. Motions due by 2/16/2024. Deposition due by 10/4/2024. Fact Discovery due by 10/4/2024. Expert Discovery due by 12/20/2024. Telephone Conference set for 1/22/2025 at 02:00 PM before Judge Paul A. Engelmayer. Unless otherwise indicated, the Case Management Conference will be held telephonically. The parties should call into the Court's dedicated conference line at (888) 363-4749, and enter Access Code 468-4906, followed by the pound(#) key. (Signed by Judge Paul A. Engelmayer on 12/19/2023) (ks)
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| Filing 35 PROPOSED SCHEDULING ORDER. Document filed by Securities and Exchange Commission..(Bruckmann, Christopher) |
| Filing 34 PROPOSED CASE MANAGEMENT PLAN. Document filed by Securities and Exchange Commission..(Bruckmann, Christopher) |
| Filing 33 NOTICE OF FILING OF OFFICIAL TRANSCRIPT Notice is hereby given that an official transcript of a CONFERENCE proceeding held on 12/14/2023 has been filed by the court reporter/transcriber in the above-captioned matter. The parties have seven (7) calendar days to file with the court a Notice of Intent to Request Redaction of this transcript. If no such Notice is filed, the transcript may be made remotely electronically available to the public without redaction after 90 calendar days....(McGuirk, Kelly) |
| Filing 32 TRANSCRIPT of Proceedings re: CONFERNECE held on 12/14/2023 before Judge Paul A. Engelmayer. Court Reporter/Transcriber: Steven Greenblum, (212) 805-0300. Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction. After that date it may be obtained through PACER. Redaction Request due 1/8/2024. Redacted Transcript Deadline set for 1/18/2024. Release of Transcript Restriction set for 3/18/2024..(McGuirk, Kelly) |
| Minute Entry for proceedings held before Judge Paul A. Engelmayer: Initial Pretrial Conference held on 12/14/2023. Plaintiff's counsel present. Defense counsel present. Court reporter present. (ajs) |
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Filing 31
ORDER REFERRING CASE TO MAGISTRATE JUDGE. Order that case be referred to the Clerk of Court for assignment to a Magistrate Judge for Settlement. Referred to Magistrate Judge Barbara C. Moses. Counsel for plaintiff is directed to contact the Magistrate Judge's chambers to schedule a settlement conference on a mutually agreeable date at such time that the parties agree a conference would be useful. SO ORDERED. (Signed by Judge Paul A. Engelmayer on 12/14/2023) (vfr)
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Filing 30
ORDER: The Court today held an initial pre-trial conference, in which it reviewed in detail the parties' proposed case management plan and proposed schedule governing defendants' anticipated motion to dismiss. As the discussion in today's conference resulted in several modest adjustments to these proposals, the Court directs counsel, by December 19, 2023, to jointly file a revised case management plan consistent with today's discussion. By separate order, the Court is referring this case, for the limited purpose of assisting in potential settlement discussions, to Magistrate Judge Moses. SO ORDERED. (Signed by Judge Paul A. Engelmayer on 12/14/2023) (vfr)
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Filing 29
ORDER GRANTING MOTION FOR ADMISSION PRO HAC VICE: granting #28 Motion for John Jacob Todor to Appear Pro Hac Vice. (Signed by Judge Paul A. Engelmayer on 12/12/2023) (ama)
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| Filing 28 MOTION for John Jacob Todor to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Securities and Exchange Commission. (Attachments: #1 Proposed Order Proposed Order, #2 Affidavit Declaration).(Todor, John) Modified on 12/12/2023 (rju). Modified on 12/12/2023 (vba). |
| >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #28 MOTION for John Jacob Todor 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. (rju) |
| Filing 27 PROPOSED CASE MANAGEMENT PLAN. Document filed by Securities and Exchange Commission..(Bruckmann, Christopher) |
| Filing 26 JOINT LETTER addressed to Judge Paul A. Engelmayer from Christopher Bruckmann and Serrin Turner dated December 11, 2023 re: Case overview. Document filed by Securities and Exchange Commission..(Bruckmann, Christopher) |
| Filing 25 NOTICE OF APPEARANCE by Benjamin Brutlag on behalf of Securities and Exchange Commission..(Brutlag, Benjamin) |
| Filing 24 NOTICE of Service of Order re: #23 Order for Initial Pretrial Conference. Document filed by Securities and Exchange Commission..(Bruckmann, Christopher) |
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Filing 23
ORDER: Initial Conference set for 12/14/2023 at 02:00 PM in Courtroom 1305, 40 Centre Street, New York, NY 10007 before Judge Paul A. Engelmayer. SO ORDERED. (Signed by Judge Paul A. Engelmayer on 12/6/2023) (ks)
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Filing 22
ORDER: The Court has received counsels' joint letter proposing a briefing schedule governing the anticipated motion to dismiss, and a potential amended complaint, in this case. Dkt. 21. The Court thanks counsel for this thoughtful letter and for taking such initiative. The Court is likely to approve the proposed schedule in whole or substantial part. Before doing so, however, the Court wishes to hold an initial conference with counsel. Such will enable the Court, inter alia, to consider the proposed schedule alongside an overall case management plan. To this end, the Court, by separate order, is today scheduling an initial conference for Thursday, December 14, 2023, at 2 p.m., and commissioning, in advance of the conference, the submission of a joint proposed case management plan. The conference will be held in person. The Court's judgment is that an in-person, rather than telephonic, conference, is better suited to the demands of this complex case. SO ORDERED. (Signed by Judge Paul A. Engelmayer on 12/6/2023) ( Initial Conference set for 12/14/2023 at 02:00 PM before Judge Paul A. Engelmayer.) (ks)
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| Filing 21 JOINT LETTER MOTION for Extension of Time regarding Motion to Dismiss briefing addressed to Judge Paul A. Engelmayer from Christopher Bruckmann and Serrin Turner dated December 5, 2023. Document filed by Securities and Exchange Commission. (Attachments: #1 Proposed Order Proposed Order).(Bruckmann, Christopher) |
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Filing 20
ORDER GRANTING MOTION TO ADMIT COUNSEL PRO HAC VICE: granting #17 Motion for Sean M. Berkowitz to Appear Pro Hac Vice. (Signed by Judge Paul A. Engelmayer on 12/01/2023) (ama)
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Filing 19
ORDER GRANTING MOTION TO ADMIT COUNSEL PRO HAC VICE: granting #18 Motion for Kirsten C. Lee to Appear Pro Hac Vice. (Signed by Judge Paul A. Engelmayer on 12/01/2023) (ama)
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| >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #17 MOTION for Sean M. Berkowitz to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-28627816. 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. #18 MOTION for Kirsten C. Lee to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-28627840. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (sgz) |
| Filing 18 MOTION for Kirsten C. Lee to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-28627840. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Timothy G. Brown, SolarWinds Corp.. (Attachments: #1 Affidavit / Declaration of Kirsten C. Lee in Support of Motion to Admit Counsel Pro Hac Vice, #2 Exhibit A - Certificate of Good Standing, #3 Proposed Order Granting Motion to Admit Counsel Pro Hac Vice).(Lee, Kirsten) |
| Filing 17 MOTION for Sean M. Berkowitz to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-28627816. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Timothy G. Brown, SolarWinds Corp.. (Attachments: #1 Affidavit / Declaration of Sean M. Berkowitz in Support of Motion to Admit Counsel Pro Hac Vice, #2 Exhibit A - Certificate of Good Standing, #3 Proposed Order Granting Motion to Admit Counsel Pro Hac Vice).(Berkowitz, Sean) |
| Filing 16 NOTICE OF APPEARANCE by Serrin Andrew Turner on behalf of Timothy G. Brown, SolarWinds Corp...(Turner, Serrin) |
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Filing 15
ORDER FOR ADMISSIONPRO HAC VICE granting #13 Motion for M. Alexander Koch to Appear Pro Hac Vice. (Signed by Judge Paul A. Engelmayer on 11/6/2023) (ks)
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| Filing 14 NOTICE OF APPEARANCE by Mateo DE LA Torre on behalf of Timothy G. Brown..(DE LA Torre, Mateo) |
| Filing 13 MOTION for M. Alexander Koch to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-28529655. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Timothy G. Brown. (Attachments: #1 Affidavit of M. Alexander Koch, #2 Proposed Order Proposed Order).(Koch, Michael) |
| Filing 12 NOTICE OF APPEARANCE by Michael J Biles on behalf of Timothy G. Brown..(Biles, Michael) |
| >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #13 MOTION for M. Alexander Koch to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-28529655. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (vba) |
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Filing 11
ORDER GRANTING MOTION FOR ADMISSION PRO HAC VICE granting #3 Motion for Kristen McElligott Warden to Appear Pro Hac Vice (ks)
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Filing 10
ORDER GRANTING MOTION FOR ADMISSION PRO HAC VICE granting #4 Motion for William Bradley Ney to Appear Pro Hac Vice. (Signed by Judge Paul A. Engelmayer on 10/31/2023) (ks)
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| Filing 9 WAIVER OF SERVICE RETURNED EXECUTED. Timothy G. Brown waiver sent on 10/30/2023, answer due 12/29/2023. Document filed by Securities and Exchange Commission..(Bruckmann, Christopher) |
| Filing 8 WAIVER OF SERVICE RETURNED EXECUTED. SolarWinds Corp. waiver sent on 10/30/2023, answer due 12/29/2023. Document filed by Securities and Exchange Commission..(Bruckmann, Christopher) |
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Filing 7
ORDER GRANTING MOTION FOR ADMISSION PRO HAC VICE granting #5 Motion for Lory Stone to Appear Pro Hac Vice; granting #6 Motion for Lory Stone to Appear Pro Hac Vice. (Signed by Judge Paul A. Engelmayer on 11/1/2023) (ks)
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| >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #6 MOTION for Lory Christine Stone 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 6 MOTION for Lory Christine Stone to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Securities and Exchange Commission. (Attachments: #1 Affidavit Declaration (Signed) of Lory Stone, #2 Proposed Order Proposed Order for Lory Stone, #3 Exhibit Certificate of Good Standing for Lory Stone).(Stone, Lory) |
| Filing 5 FILING ERROR - DEFICIENT DOCKET ENTRY - MOTION for Lory Christine Stone to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Securities and Exchange Commission. (Attachments: #1 Affidavit Declaration of Lory Stone, #2 Proposed Order Proposed Order of Lory Stone, #3 Exhibit Certificate of Good Standing of Lory Stone).(Stone, Lory) Modified on 10/31/2023 (va). |
| Filing 4 MOTION for William Bradley Ney to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Securities & Exchange Commission. (Attachments: #1 Affidavit Declaration of W. Bradley Ney, #2 Proposed Order Proposed Order, #3 Exhibit Certificate of Good Standing).(Ney, William) |
| CASE OPENING INITIAL ASSIGNMENT NOTICE: The above-entitled action is assigned to Judge Paul A. Engelmayer. 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..(jgo) |
| >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #3 MOTION for Kristen McElligott Warden 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. (vba) |
| Magistrate Judge Barbara C. Moses is designated to handle matters that may be referred in this case. 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. (jgo) |
| Case Designated ECF. (jgo) |
| >>>NOTICE REGARDING DEFICIENT MOTION TO APPEAR PRO HAC VICE. Notice to RE-FILE Document No. #5 MOTION for Lory Christine Stone to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff. The filing is deficient for the following reason(s): the declaration was not signed or dated. Re-file the motion as a Motion to Appear Pro Hac Vice - attach the correct signed PDF - select the correct named filer/filers - attach valid Certificates of Good Standing issued within the past 30 days - attach Proposed Order. (va) |
| ***DELETED DOCUMENT. Deleted NOTICE REGARDING PRO HAC VICE MOTION. The notice was incorrectly filed in this case. (va) |
| >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #4 MOTION for William Bradley Ney 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. (va) |
| Filing 3 MOTION for Kristen McElligott Warden to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Securities & Exchange Commission. (Attachments: #1 Affidavit Declaration of Kristen M. Warden, #2 Proposed Order Proposed Order, #3 Exhibit DC Certificate of Good Standing, #4 Exhibit NY Certificate of Good Standing).(Warden, Kristen) |
| Filing 2 CIVIL COVER SHEET filed..(Bruckmann, Christopher) |
| Filing 1 COMPLAINT against Timothy G. Brown, SolarWinds Corp.. (Filing Fee $ 402.00.)Document filed by Securities & Exchange Commission..(Bruckmann, Christopher) |
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