Securities and Exchange Commission v. Roberts
| Securities and Exchange Commission |
| Paul D. Roberts |
| 1:2024cv06990 |
| September 16, 2024 |
| US District Court for the Southern District of New York |
| Lewis J Liman |
| Securities/Commodities |
| 15 U.S.C. § 78 m(a) Securities Exchange Act |
| Plaintiff |
Docket Report
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This docket was last retrieved on October 10, 2024. A more recent docket listing may be available from PACER.
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Filing 16
JUDGMENT AS TO DEFENDANT PAUL D. ROBERTS: 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: as further set forth in this Order. 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. XII. 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. XIII. 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. (Signed by Judge Lewis J. Liman on 10/10/2024) (ks)
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| Filing 15 NOTICE of RESPONSE TO ORDER TO BRIEF AUTHORITY #14 re: #14 Order,. Document filed by Securities and Exchange Commission..(Kellogg, Ian) |
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Filing 14
ORDER: On September 23, 2024, Plaintiff filed a proposed partial consent judgment, Dkt. No. 10, accompanied by a consent from Defendant, Dkt. No. 10-1. The parties shall brief the authority of the Court to issue an order settling disgorgement and other monetary relief after the entry of judgment as requested in the proposed consent judgment by no later than October 10, 2024. SO ORDERED. (Signed by Judge Lewis J. Liman on 10/3/2024) (ks)
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| Filing 13 NOTICE OF APPEARANCE by Christian R. Everdell on behalf of Paul D. Roberts..(Everdell, Christian) |
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Filing 12
ORDER granting #7 Motion for Ian J. Kellogg to Appear Pro Hac Vice (HEREBY ORDERED by Judge Lewis J. Liman) (Text Only Order) (bmm)
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Filing 11
ORDER granting #5 Motion for Jodanna L. Haskins to Appear Pro Hac Vice (HEREBY ORDERED by Judge Lewis J. Liman) (Text Only Order) (bmm)
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| Filing 10 MOTION for Judgment (UNOPPOSED). Document filed by Securities and Exchange Commission. (Attachments: #1 Exhibit 1 - Consent of Defendant Paul D. Roberts, #2 Proposed Order - PROPOSED JUDGMENT AS TO DEFENDANT PAUL D. ROBERTS).(Kasper, Gregory) |
| 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. (tro) |
| NOTICE OF CASE REASSIGNMENT to Judge Lewis J. Liman. Judge Unassigned is no longer assigned to the case. (tro) |
| CASE ACCEPTED AS RELATED. Create association to 1:24-cv-06988-LJL. Notice of Assignment to follow. (tro) |
| Filing 9 CIVIL COVER SHEET filed..(Kasper, Gregory) |
| CASE REFERRED TO Judge Lewis J. Liman as possibly related to 1:24-cv-06988. (vf) |
| Case Designated ECF. (vf) |
| CASE OPENING INITIAL ASSIGNMENT NOTICE: The above-entitled action is assigned to Judge Unassigned. (vf) |
| >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #7 MOTION for Ian J. Kellogg 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. (bc) |
| ***NOTICE TO ATTORNEY REGARDING CIVIL. CASE OPENING STATISTICAL ERROR CORRECTION: Notice to attorney Gregory Alan Kasper. The following case opening statistical information was erroneously selected/entered: County code Albany. The following correction(s) have been made to your case entry: the County code has been modified to Suffolk. (vf) |
| ***NOTICE TO ATTORNEY REGARDING DEFICIENT CIVIL COVER SHEET. Notice to attorney Gregory Alan Kasper to RE-FILE Document No. #2 Civil Cover Sheet. The filing is deficient for the following reason(s): Signature Error. Form is not signed. Re-file the document using the event type Civil Cover Sheet found under the event list Other Documents and attach the correct PDF. (vf) |
| >>>NOTICE REGARDING PRO HAC VICE MOTION. Regarding Document No. #5 MOTION for Jodanna L. Haskins 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. (bc) |
| Filing 8 FILING ERROR - DEFICIENT DOCKET ENTRY - PROPOSED ORDER. Document filed by Securities and Exchange Commission. Related Document Number: #7 ..(Kellogg, Ian) Proposed Order to be reviewed by Clerk's Office staff. Modified on 9/17/2024 (bc). |
| Filing 7 MOTION for Ian J. Kellogg 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 IN SUPPORT OF MOTION, #2 Exhibit Certificate of Good Standing, #3 Proposed Order Proposed Order).(Kellogg, Ian) |
| Filing 6 FILING ERROR - DEFICIENT DOCKET ENTRY - PROPOSED ORDER. Document filed by Securities and Exchange Commission. Related Document Number: #5 ..(Haskins, Jodanna) Proposed Order to be reviewed by Clerk's Office staff. Modified on 9/17/2024 (bc). |
| Filing 5 MOTION for Jodanna L. Haskins 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 IN SUPPORT OF MOTION, #2 Exhibit Certificate of Good Standing, #3 Proposed Order Proposed Order).(Haskins, Jodanna) |
| Filing 4 STATEMENT OF RELATEDNESS re: that this action be filed as related to 24-cv-06988. Document filed by Securities and Exchange Commission..(Kasper, Gregory) |
| Filing 3 PROPOSED JUDGMENT. Document filed by Securities and Exchange Commission..(Kasper, Gregory) Proposed Judgment to be reviewed by Clerk's Office staff. |
| Filing 2 FILING ERROR - DEFICIENT - SIGNATURE ERROR - CIVIL COVER SHEET filed..(Kasper, Gregory) Modified on 9/17/2024 (vf). |
| Filing 1 COMPLAINT against Paul D. Roberts. Document filed by Securities and Exchange Commission..(Kasper, Gregory) |
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| Defendant: Paul D. Roberts | |
| Represented By: | Christian R. Everdell |
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| Plaintiff: Securities and Exchange Commission | |
| Represented By: | Gregory Alan Kasper |
| Represented By: | Jodanna Lissette Haskins |
| Represented By: | Ian Kellogg |
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