Securities and Exchange Commission v. City of Rochester, New York et al
Plaintiff: Securities and Exchange Commission
Defendant: City of Rochester, New York, Rosiland Brooks-Harris, Capital Markets Advisors, LLC, Richard Ganci and Richard Tortora
Case Number: 6:2022cv06273
Filed: June 14, 2022
Court: US District Court for the Western District of New York
Presiding Judge: Elizabeth A Wolford
Nature of Suit: Securities/Commodities
Cause of Action: 28 U.S.C. ยง 1331 Fed. Question: Securities Violation
Jury Demanded By: Plaintiff
Docket Report

This docket was last retrieved on August 12, 2022. A more recent docket listing may be available from PACER.

Date Filed Document Text
August 12, 2022 Filing 14 CONTINUATION OF EXHIBITS by Capital Markets Advisors, LLC, Richard Ganci, Richard Tortora. to #13 MOTION to appear pro hac vice on behalf of Robert Knuts ( Filing fee $ 200 receipt number ANYWDC-4648653.) Notice of Motion and Motion to appear pro hac vice filed by Capital Markets Advisors, LLC, Richard Ganci, Richard Tortora. (Attachments: #1 Affidavit in Support of Robert Knuts' Application to appear pro hac vice)(Ghotbi, Kathryn)
August 12, 2022 E-Filing Notification: #13 MOTION to appear pro hac vice. Action Required. Filer must file a Motion and a Sponsoring Affidavit using the (Continuation of Exhibits) event. (KM)
August 11, 2022 Filing 13 MOTION to appear pro hac vice on behalf of Robert Knuts ( Filing fee $ 200 receipt number ANYWDC-4648653.) by Capital Markets Advisors, LLC, Richard Ganci, Richard Tortora.(Ghotbi, Kathryn)
August 11, 2022 Filing 12 NOTICE of Appearance by Kathryn Elise Ghotbi on behalf of Capital Markets Advisors, LLC, Richard Ganci, Richard Tortora (Ghotbi, Kathryn)
July 28, 2022 Filing 11 TEXT ORDER granting #10 consent request for extension of time. Defendants the City of Rochester and Rosiland Brooks-Harris shall respond to the complaint on or before October 14, 2022. SO ORDERED. Signed by Hon. Elizabeth A. Wolford on 07/28/2022. (CAL)
July 28, 2022 Filing 10 MOTION for Extension of Time to File Response/Reply as to #1 Complaint, Without Objection by Rosiland Brooks-Harris, City of Rochester, New York.(Feldman, Brian)
July 22, 2022 Filing 9 NOTICE of Appearance by Laura Kelley Schwalbe on behalf of Rosiland Brooks-Harris, City of Rochester, New York (Schwalbe, Laura)
July 21, 2022 Filing 8 NOTICE of Appearance by Brian Marc Feldman on behalf of Rosiland Brooks-Harris, City of Rochester, New York (Feldman, Brian)
July 6, 2022 Filing 7 WAIVER OF SERVICE Returned Executed by Securities and Exchange Commission. Rosiland Brooks-Harris waiver sent on 6/16/2022, answer due 8/15/2022. (Hansen, Eugene)
July 6, 2022 Filing 6 WAIVER OF SERVICE Returned Executed by Securities and Exchange Commission. City of Rochester, New York waiver sent on 6/14/2022, answer due 8/15/2022. (Hansen, Eugene)
June 17, 2022 Filing 5 WAIVER OF SERVICE Returned Executed by Securities and Exchange Commission. Richard Tortora waiver sent on 6/14/2022, answer due 8/15/2022. (Hansen, Eugene)
June 17, 2022 Filing 4 WAIVER OF SERVICE Returned Executed by Securities and Exchange Commission. Richard Ganci waiver sent on 6/14/2022, answer due 8/15/2022. (Hansen, Eugene)
June 17, 2022 Filing 3 WAIVER OF SERVICE Returned Executed by Securities and Exchange Commission. Capital Markets Advisors, LLC waiver sent on 6/14/2022, answer due 8/15/2022. (Hansen, Eugene)
June 15, 2022 Filing 2 Summons Issued as to Rosiland Brooks-Harris, Capital Markets Advisors, LLC, City of Rochester, New York, Richard Ganci, Richard Tortora. (TMK)
June 15, 2022 Case Assigned to Hon. Elizabeth A. Wolford. Notification to Chambers of on-line civil case opening. (TMK)
June 15, 2022 AUTOMATIC REFERRAL to Mediation The ADR Plan is available for download at #http://www.nywd.uscourts.gov/alternative-dispute-resolution.(TMK)
June 15, 2022 Notice of Availability of Magistrate Judge: A United States Magistrate of this Court is available to conduct all proceedings in this civil action in accordance with 28 U.S.C. 636c and FRCP 73. The Notice, Consent, and Reference of a Civil Action to a Magistrate Judge form (AO-85) is available for download at #http://www.uscourts.gov/services-forms/forms. (TMK)
June 14, 2022 Filing 1 COMPLAINT against All Defendants, filed by Securities and Exchange Commission. (Attachments: #1 Civil Cover Sheet, #2 Summons (City of Rochester), #3 Summons (Brooks-Harris), #4 Summons (Capital Markets Advisors, LLC), #5 Summons (Ganci), #6 Summons (Tortora))(Hansen, Eugene)

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Plaintiff: Securities and Exchange Commission
Represented By: Eugene Hansen
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Defendant: City of Rochester, New York
Represented By: Brian Marc Feldman
Represented By: Laura Kelley Schwalbe
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Defendant: Rosiland Brooks-Harris
Represented By: Brian Marc Feldman
Represented By: Laura Kelley Schwalbe
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Defendant: Capital Markets Advisors, LLC
Represented By: Kathryn Elise Ghotbi
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Defendant: Richard Ganci
Represented By: Kathryn Elise Ghotbi
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Defendant: Richard Tortora
Represented By: Kathryn Elise Ghotbi
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