U.S. Securities & Exchange Commission v. Silvergate Capital Corporation et al
| U.S. Securities & Exchange Commission |
| Antonio Martino |
| 1:2024cv04987 |
| July 1, 2024 |
| US District Court for the Southern District of New York |
| Andrew L Carter |
| Securities/Commodities |
| 15 U.S.C. § 77 Securities Fraud |
| Plaintiff |
Docket Report
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This docket was last retrieved on August 28, 2024. A more recent docket listing may be available from PACER.
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Filing 37
ORDER granting #36 Letter Motion for Extension of Time to File Response/Reply. SO ORDERED. Responses due by 9/6/2024. (Signed by Judge Andrew L. Carter, Jr on 8/28/2024) (tg)
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Filing 36
CONSENT LETTER MOTION for Extension of Time to File Response/Reply as to #35 Letter, from Defendant Martino Requesting a Pre-Motion Conference addressed to Judge Andrew L. Carter, Jr. from US Securities and Exchange Commission dated August 28, 2024. Document filed by U.S. Securities & Exchange Commission..(Brockett, Hayden)
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Filing 35
LETTER addressed to Judge Andrew L. Carter, Jr. from Adam S Lurie dated August 27, 2024 re: request for a pre-motion conference before Defendant Antonio Martino moves to dismiss the Complaint. Document filed by Antonio Martino. (Attachments: #1 Exhibit A - January 17 Release and Earnings Presentation, #2 Exhibit B - January 5 Release, #3 Exhibit C - Earnings Call, #4 Exhibit D - 2021 10-K).(Lurie, Adam)
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Filing 34
ORDER FOR ADMISSION PRO HAC VICE granting #28 Motion for Doug Davison to Appear Pro Hac Vice. The motion of Doug Davison, for admission to practice Pro Hac Vice in the above captioned action is granted. IT IS HEREBY ORDERED that Applicant is admitted to practice Pro Hac Vice in the above captioned case in the United States District Court for the Southern District of New York. All attorneys appearing before this Court are subject to the Local Rules of this Court, including the Rules governing discipline of attorneys. (Signed by Judge Andrew L. Carter, Jr on 8/8/24) (yv)
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Filing 33
SATISFACTION OF JUDGMENT re: #20 Consent Judgment entered In favor of U.S. Securities & Exchange Commission Against Silvergate Capital Corporation in the amount of $50,000,000.00. Judgment has been satisfied through offsetting payments by SSC of $43,000,000 to the Federal Reserve Board of Governors and $20,000,000.00 to the California Department of Financial Protection and Innovations. Judgment satisfied on 8/5/2024.. Document filed by U.S. Securities & Exchange Commission..(nd) Modified on 8/6/2024 (nd).
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Filing 32
PROPOSED PARTIAL SATISFACTION OF JUDGMENT. Satisfaction of Judgment to be Mailed by the Court. Document filed by U.S. Securities & Exchange Commission..(Mancuso, Peter) Proposed document to be reviewed and processed by Clerk's Office staff (No action required by chambers). Modified on 8/6/2024 (tp). Modified on 8/6/2024 (nd).
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Filing 31
SATISFACTION OF JUDGMENT re: #19 Consent Judgment, Add and Terminate Parties, entered In favor of U.S. Securities & Exchange Commission Against Alan J. Lane in the amount of $1,000,000.00. Judgment satisfied on 7/30/2024. Document filed by U.S. Securities & Exchange Commission. (tp)
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Filing 30
PROPOSED PARTIAL SATISFACTION OF JUDGMENT. Satisfaction of Judgment to be Mailed by the Court. Document filed by U.S. Securities & Exchange Commission..(Mancuso, Peter) Proposed document to be reviewed and processed by Clerk's Office staff (No action required by chambers).
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Filing 29
STATUS REPORT. Joint Status Report Document filed by U.S. Securities & Exchange Commission..(Mancuso, Peter)
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Filing 28
MOTION for Doug Davison to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-29618061. Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by Antonio Martino. (Attachments: #1 Affidavit Doug Davison Declaration in Support, #2 Exhibit Certificate of Good Standing, #3 Proposed Order proposesd order).(Davison, Douglas)
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>>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #28 MOTION for Doug Davison to Appear Pro Hac Vice . Filing fee $ 200.00, receipt number ANYSDC-29618061. Motion and supporting papers to be reviewed by Clerk's Office staff.. The document has been reviewed and there are no deficiencies. (rju)
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Filing 27
NOTICE OF APPEARANCE by Elizabeth Myers Raulston on behalf of Antonio Martino..(Raulston, Elizabeth)
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Filing 26
NOTICE OF APPEARANCE by Patrick Coby Ashby on behalf of Antonio Martino..(Ashby, Patrick)
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Filing 25
NOTICE OF APPEARANCE by Adam Samuel Lurie on behalf of Antonio Martino..(Lurie, Adam)
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Filing 24
WAIVER OF SERVICE RETURNED EXECUTED. Antonio Martino waiver sent on 7/9/2024, answer due 9/9/2024. Document filed by U.S. Securities & Exchange Commission..(Mancuso, Peter)
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Filing 23
MEMO ENDORSEMENT on re: #15 Letter filed by U.S. Securities & Exchange Commission. ENDORSEMENT: The Parties are to file a joint status report as to Defendant Martino by July 29, 2024. SO ORDERED. (Signed by Judge Andrew L. Carter, Jr on 7/8/2024) (sgz)
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Filing 22
ORDER FOR ADMISSION PRO HAC VICE granting #4 Motion for Hayden M. Brockett to Appear Pro Hac Vice. (Signed by Judge Andrew L. Carter, Jr on 7/8/2024) (vfr)
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Filing 21
FINAL JUDGMENT AS TO DEFENDANT KATHLEEN FRAHER: IT IS HEREBY FURTHER ORDERED, ADJUDGED, AND DECREED that Defendant is permanently restrained and enjoined from violating Section 17(a)(3) of the Securities Act of 1933 (the "Securities Act") [15 U.S.C. 77q(a)(3)] in the offer or sale of any security by the use of any means or instruments of transportation or communication in interstate commerce or by use of the mails, directly or indirectly to engage in any transaction, practice, or course of business which operates or would operate as a fraud or deceit upon the purchaser by, directly or indirectly, (i) creating a false appearance or otherwise deceiving any person, or (ii) disseminating false or misleading documents, materials, or information or making, either orally or in writing, any false or misleading statement in any communication with any investor or prospective investor, concerning regulatory, operational, or legal risks of any investment. IT IS HEREBY FURTHER ORDERED, ADJUDGED, AND DECREED that Defendant is liable for a civil penalty in the amount of $250,000 pursuant to Section 20(d) of the Securities Act [15 U.S.C. 77t(d)]. Defendant shall satisfy this obligation by paying $250,000 to the Securities and Exchange Commission within 60 days after entry of this Final Judgment, as further set forth herein. The Commission may enforce the Court's judgment for penalties by the use of all collection procedures authorized by law, including the Federal Debt Collection Procedures Act, 28 U.S.C. 3001 et seq., and moving for civil contempt for the violation of any Court orders issued in this action. Defendant shall pay post judgment interest on any amounts due after 60 days of the entry of this Final Judgment pursuant to 28 U.S.C. 1961. The Commission shall hold the funds, together with any interest and income earned thereon (collectively, the "Fund"), pending further order of the Court. The Commission may propose a plan to distribute the Fund subject to the Court's approval. Such a plan may provide that the Fund shall be distributed pursuant to the Fair Fund provisions of Section 308(a) of the Sarbanes-Oxley Act of 2002. The Court shall retain jurisdiction over the administration of any distribution of the Fund and the Fund may only be disbursed pursuant to an Order of the Court. Regardless of whether any such Fair Fund distribution is made, amounts ordered to be paid as civil penalties pursuant to this Judgment shall be treated as penalties paid to the government for all purposes, including all tax purposes. To preserve the deterrent effect of the civil penalty, Defendant shall not, after offset or reduction of any award of compensatory damages in any Related Investor Action based on Defendant's payment of disgorgement in this action, argue that she is entitled to, nor shall she further benefit by, offset or reduction of such compensatory damages award by the amount of any part of Defendant's payment of a civil penalty in this action ("Penalty Offset"). If the court in any Related Investor Action grants such a Penalty Offset, Defendant shall, within 30 days after entry of a final order granting the Penalty Offset, notify the Commission's counsel in this action and within 30 days pay the amount of the Penalty Offset to the United States Treasury or to a Fair Fund, as the Commission directs. Such a payment shall not be deemed an additional civil penalty and shall not be deemed to change the amount of the civil penalty imposed in this Judgment. For purposes of this paragraph, a "Related Investor Action" means a private damages action brought against Defendant by or on behalf of one or more investors based on substantially the same facts as alleged in the Complaint in this action. IT IS FURTHER ORDERED, ADJUDGED, AND DECREED that the Consent is incorporated herein with the same force and effect as if fully set forth herein, and that Defendant shall comply with all of the undertakings and agreements set forth therein. IT IS FURTHER ORDERED, ADJUDGED, AND DECREED that, solely for purposes of exceptions to discharge set forth in Section 523 of the Bankruptcy Code, 11 U.S.C. 523, the allegations in the complaint are true and admitted by Defendant, and further, any debt for disgorgement, prejudgment interest, civil penalty or other amounts due by Defendant under this Final Judgment or any other judgment, order, consent order, decree or settlement agreement entered in connection with this proceeding, is a debt for the violation by Defendant of the federal securities laws or any regulation or order issued under such laws, as set forth in Section 523(a)(19) of the Bankruptcy Code, 11 U.S.C. 523(a)(19). 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 Final 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 Final Judgment forthwith and without further notice. Kathleen Fraher terminated. (Signed by Judge Andrew L. Carter, Jr on 7/8/2024) (vfr) Transmission to Finance Unit (Cashiers) for processing.
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Filing 20
FINAL JUDGMENT AS TO DEFENDANT SILVERGATE CAPITAL CORPORATION: IT IS HEREBY ORDERED, ADJUDGED, AND DECREED that Defendant is permanently restrained and enjoined from violating Sections 17(a)(2) and (a)(3) of the Securities Act of 1933 (the "Securities Act") [15 U.S.C. 77q(a)(2) and (a)(3)] in the offer or sale of any security by the use of any means or instruments of transportation or communication in interstate commerce or by use of the mails, directly or indirectly, as further set forth herein. IT IS FURTHER ORDERED, ADJUDGED, AND DECREED that Defendant shall pay a civil penalty in the amount of $50,000,000 to the Securities and Exchange Commission pursuant to Section 20(d) of the Securities Act [15 U.S.C. 77t(d)] and Section 21(d)(3) of the Exchange Act [15 U.S.C. 78u(d)(3)]. The amount of the civil penalty shall be offset by any payments made by Defendant and/or its wholly-owned subsidiary, Silvergate Bank, to the Federal Reserve Board of Governors ("FRB") and/or the California Department of Financial Protection and Innovation ("DFPI") to satisfy their penalties within 30 days of the date of entry of this Final Judgment. Within 10 days of any payments made by Defendant and/or Silvergate Bank to the FRB and/or DFPI to satisfy penalties, Defendant shall transmit photocopies of evidence of payment and case-identifying information in a form acceptable to Commission staff. If the civil penalty amount is not offset in full by Defendant's and/or Silvergate Bank's payments to the FRB and/or DFPI, the Defendant shall remit to the Commission the outstanding amount of the civil penalty that is not offset. The Defendant must remit to the Commission a cash payment for any outstanding balance of the civil penalty that is not offset within 30 days of the entry of this Final Judgment. Upon good cause shown, the Commission staff may, in its discretion, grant one or more extensions, up to a total of 90 days, of the period within which payment must be made to satisfy the Defendant's obligations under this Final Judgment. The Commission retains its right to pursue any outstanding amount of the civil penalty that is not offset and may enforce the Court's Final Judgment for penalties by use of all collection procedures authorized by law, including the Federal Debt Collection Procedures Act, 28 U.S.C. 3001 et seq., and moving for civil contempt for violation of any Court orders issued in this action. If the Defendant pays any portion of the penalty to the Commission in accordance with the prior paragraph, the Commission shall hold the funds, together with any interest and income earned thereon (collectively, the "Fund"), pending further order of the Court. The Commission may propose a plan to distribute the Fund subject to the Court's approval. Such a plan may provide that the Fund shall be distributed pursuant to the Fair Fund provisions of Section 308(a) of the Sarbanes-Oxley Act of 2002. The Court shall retain jurisdiction over the administration of any distribution of the Fund, and the Fund may only be disbursed pursuant to an Order of the Court. The Commission forgoes any right to collect post-judgment interest on this award. Regardless of whether any such Fair Fund distribution is made, amounts ordered to be paid as civil penalties pursuant to this Judgment shall be treated as penalties paid to the government for all purposes, including all tax purposes. To preserve the deterrent effect of the civil penalty, Defendant shall not, after offset or reduction of any award of compensatory damages in any Related Investor Action based on Defendant's payment of disgorgement in this action, argue that it is entitled to, nor shall it further benefit by, offset or reduction of such compensatory damages award by the amount of any part of Defendant's payment of a civil penalty in this action ("Penalty Offset"). If the court in any Related Investor Action grants such a Penalty Offset, Defendant shall, within 30 days after entry of a final order granting the Penalty Offset, notify the Commission's counsel in this action and pay the amount of the Penalty Offset to the United States Treasury or to a Fair Fund, as the Commission directs. Such a payment shall not be deemed an additional civil penalty and shall not be deemed to change the amount of the civil penalty imposed in this Judgment. For purposes of this paragraph, a "Related Investor Action" means a private damages action brought against Defendant by or on behalf of one or more investors based on substantially the same facts as alleged in the Complaint in this action. IT IS FURTHER ORDERED, ADJUDGED, AND DECREED that the Consent is incorporated herein with the same force and effect as if fully set forth herein, and that Defendant shall comply with all of the undertakings and agreements set forth therein. 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 Final 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 Final Judgment forthwith and without further notice. Silvergate Capital Corporation terminated. (Signed by Judge Andrew L. Carter, Jr on 7/8/2024) (vfr) Transmission to Finance Unit (Cashiers) for processing.
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Filing 19
FINAL JUDGMENT AS TO DEFENDANT ALAN J. LANE: IT IS HEREBY ORDERED, ADJUDGED, AND DECREED that Defendant is permanently restrained and enjoined from violating Sections 17(a)(2) and (a)(3) of the Securities Act of 1933 (the "Securities Act") [15 U.S.C. 77q(a)(2) and (a)(3)] in the offer or sale of any security by the use of any means or instruments of transportation or communication in interstate commerce or by use of the mails, directly or indirectly, as further set forth herein. IT IS FURTHER ORDERED, ADJUDGED, AND DECREED that, as provided in Federal Rule of Civil Procedure 65(d)(2), the foregoing paragraph also binds the following who receive actual notice of this Final Judgment by personal service or otherwise: (a) Defendant's officers, agents, servants, employees, and attorneys; and (b) other persons in active concert or participation with Defendant or with anyone described in (a). IT IS FURTHER ORDERED, ADJUDGED, AND DECREED that, pursuant to Section 21(d)(5) of the Exchange Act [15 U.S.C. 78u(d)(5)], Defendant is prohibited, for five years following the date of entry of this Final Judgment, from acting as an officer or director of any issuer that has a class of securities registered pursuant to Section 12 of the Exchange Act [15 U.S.C. 78l] or that is required to file reports pursuant to Section 15(d) of the Exchange Act [15 U.S.C. 78o(d)]. IT IS FURTHER ORDERED, ADJUDGED, AND DECREED that Defendant shall pay a civil penalty in the amount of $1,000,000 to the Securities and Exchange Commission pursuant to Section 20(d) of the Securities Act [15 U.S.C. 77t(d)]. Defendant shall make this payment within 30 days after entry of this Final Judgment. The Commission may enforce the Court's judgment for penalties by the use of all collection procedures authorized by law, including the Federal Debt Collection Procedures Act, 28 U.S.C. 3001 et seq., and moving for civil contempt for the violation of any Court orders issued in this action. Defendant shall pay post-judgment interest on any amounts due after 30 days of the entry of this Final Judgment pursuant to 28 USC 1961. The Commission shall hold the funds, together with any interest and income earned thereon (collectively, the "Fund"), pending further order of the Court. The Commission may propose a plan to distribute the Fund subject to the Court's approval. Such a plan may provide that the Fund shall be distributed pursuant to the Fair Fund provisions of Section 308(a) of the Sarbanes-Oxley Act of 2002. The Court shall retain jurisdiction over the administration of any distribution of the Fund and the Fund may only be disbursed pursuant to an Order of the Court. Regardless of whether any such Fair Fund distribution is made, amounts ordered to be paid as civil penalties pursuant to this Judgment shall be treated as penalties paid to the government for all purposes, including all tax purposes. To preserve the deterrent effect of the civil penalty, Defendant shall not, after offset or reduction of any award of compensatory damages in any Related Investor Action based on Defendant's payment of disgorgement in this action, argue that he is entitled to, nor shall he further benefit by, offset or reduction of such compensatory damages award by the amount of any part of Defendant's payment of a civil penalty in this action ("Penalty Offset"). If the court in any Related Investor Action grants such a Penalty Offset, Defendant shall, within 30 days after entry of a final order granting the Penalty Offset, notify the Commission's counsel in this action and pay the amount of the Penalty Offset to the United States Treasury or to a Fair Fund, as the Commission directs. Such a payment shall not be deemed an additional civil penalty and shall not be deemed to change the amount of the civil penalty imposed in this Judgment. For purposes of this paragraph, a "Related Investor Action" means a private damages action brought against Defendant by or on behalf of one or more investors based on substantially the same facts as alleged in the Complaint in this action. IT IS FURTHER ORDERED, ADJUDGED, AND DECREED that, solely for purposes of exceptions to discharge set forth in Section 523 of the Bankruptcy Code, 11 U.S.C. 523, the allegations in the complaint are true and admitted by Defendant, and further, any debt for disgorgement, prejudgment interest, civil penalty or other amounts due by Defendant under this Final Judgment or any other judgment, order, consent order, decree or settlement agreement entered in connection with this proceeding, is a debt for the violation by Defendant of the federal securities laws or any regulation or order issued under such laws, as set forth in Section 523(a)(19) of the Bankruptcy Code, 11 U.S.C. 523(a)(19). 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 Final 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 Final Judgment forthwith and without further notice. Alan J. Lane terminated. (Signed by Judge Andrew L. Carter, Jr on 7/7/2024) (vfr) Transmission to Finance Unit (Cashiers) for processing.
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Filing 18
PROPOSED JUDGMENT. Document filed by U.S. Securities & Exchange Commission..(Mancuso, Peter) Proposed Judgment to be reviewed by Clerk's Office staff.
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Filing 17
PROPOSED JUDGMENT. Document filed by U.S. Securities & Exchange Commission..(Mancuso, Peter) Proposed Judgment to be reviewed by Clerk's Office staff.
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Filing 16
PROPOSED JUDGMENT. Document filed by U.S. Securities & Exchange Commission..(Mancuso, Peter) Proposed Judgment to be reviewed by Clerk's Office staff.
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Filing 15
LETTER addressed to Judge Andrew L. Carter, Jr. from Peter A. Mancuso dated July 3, 2024 re: Consents and Final Judgments. Document filed by U.S. Securities & Exchange Commission..(Mancuso, Peter)
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***NOTICE TO COURT REGARDING PROPOSED JUDGMENT. Document No. #18 Proposed Judgment was reviewed and approved as to form. (tp)
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***NOTICE TO COURT REGARDING PROPOSED JUDGMENT. Document No. #17 Proposed Judgment was reviewed and approved as to form. (tp)
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***NOTICE TO ATTORNEY REGARDING DEFICIENT PROPOSED JUDGMENT. Notice to attorney Peter Mancuso to RE-FILE Document No. #14 Proposed Judgment. The filing is deficient for the following reason(s): the letter and proposed documents were not filed separately. Re-file the document using the event type Proposed Judgment found under the event list Proposed Orders - select the correct filer/filers - attach the correct signed (scanned signature image) and dated PDF. (tp)
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***NOTICE TO COURT REGARDING PROPOSED JUDGMENT. Document No. #16 Proposed Judgment was reviewed and approved as to form. (tp)
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Filing 14
FILING ERROR - DEFICIENT DOCKET ENTRY - PROPOSED JUDGMENT. Document filed by U.S. Securities & Exchange Commission. (Attachments: #1 Proposed Order SCC proposed consent and final judgment, #2 Proposed Order Lane proposed consent and final judgment, #3 Proposed Order Fraher proposed consent and final judgment).(Mancuso, Peter) Proposed Judgment to be reviewed by Clerk's Office staff. Modified on 7/8/2024 (tp).
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Filing 13
RULE 7.1 CORPORATE DISCLOSURE STATEMENT. No Corporate Parent. Document filed by Silvergate Capital Corporation..(Buretta, John)
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Filing 12
NOTICE OF APPEARANCE by Michael Nathaniel Levy on behalf of Silvergate Capital Corporation..(Levy, Michael)
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Filing 11
NOTICE OF APPEARANCE by Jonathan Hale Friedman on behalf of Alan J. Lane..(Friedman, Jonathan)
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Filing 10
NOTICE OF APPEARANCE by Jorge Gerardo Tenreiro on behalf of U.S. Securities & Exchange Commission..(Tenreiro, Jorge)
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Filing 9
NOTICE OF APPEARANCE by Laura E. Meehan on behalf of U.S. Securities & Exchange Commission..(Meehan, Laura)
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***NOTICE TO ATTORNEY REGARDING DEFICIENT PLEADING. Notice to Attorney Jorge Gerardo Tenreiro to RE-FILE Document No. #1 Complaint. The filing is deficient for the following reason(s): the pleading was not signed by an attorney of record. Re-file the pleading using the event type Complaint found under the event list Complaints and Other Initiating Documents - attach the correct signed PDF - select the individually named filer/filers - select the individually named party/parties the pleading is against. (jgo)
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***NOTICE TO ATTORNEY REGARDING CIVIL CASE OPENING STATISTICAL ERROR CORRECTION: Notice to attorney Jorge Gerardo Tenreiro. The following case opening statistical information was erroneously selected/entered: County code XX Out of State;. The following correction(s) have been made to your case entry: the County code has been modified to New York;. (jgo)
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Case Designated ECF. (jgo)
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CASE OPENING INITIAL ASSIGNMENT NOTICE: The above-entitled action is assigned to Judge Andrew L. Carter, Jr. 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)
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Magistrate Judge Stewart D. Aaron 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)
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Filing 8
NOTICE OF APPEARANCE by Lindsay J. Timlin on behalf of Silvergate Capital Corporation..(Timlin, Lindsay)
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Filing 7
NOTICE OF APPEARANCE by Benjamin Gruenstein on behalf of Silvergate Capital Corporation..(Gruenstein, Benjamin)
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Filing 6
NOTICE OF APPEARANCE by John D Buretta on behalf of Silvergate Capital Corporation..(Buretta, John)
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Filing 5
NOTICE OF APPEARANCE by Haimavathi Varadan Marlier on behalf of Kathleen Fraher..(Marlier, Haimavathi)
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Filing 4
MOTION for Hayden McClure Brockett to Appear Pro Hac Vice . Motion and supporting papers to be reviewed by Clerk's Office staff. Document filed by U.S. Securities & Exchange Commission. (Attachments: #1 Affidavit of Hayden Brockett, #2 Proposed Order for Admission Pro Hac Vice, #3 Exhibit DC Certificate of Good Standing, #4 Exhibit Maryland Certificate of Good Standing).(Brockett, Hayden)
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Filing 3
NOTICE OF APPEARANCE by Peter Mancuso on behalf of U.S. Securities & Exchange Commission..(Mancuso, Peter)
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Filing 2
CIVIL COVER SHEET filed..(Tenreiro, Jorge)
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Filing 1
COMPLAINT against Kathleen Fraher, Alan J. Lane, Antonio Martino, Silvergate Capital Corporation. Document filed by U.S. Securities & Exchange Commission..(Tenreiro, Jorge) Modified on 7/2/2024 (jgo). Modified on 7/3/2024 (jgo).
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>>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #4 MOTION for Hayden McClure Brockett 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)
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